OBTAINING A CULTURAL RESOURCE USE PERMIT

FOR BLM MANAGED LANDS IN NEVADA

May 6, 1999

1. Complete all items on the application form included in the package. A formal Curation Agreement between the applicant and an approved curation facility is required for all cultural resource permits, regardless of the type of work proposed. A copy of the signed agreement has to be included in the application.

2. At least 8 weeks prior to the proposed work, send one copy of the completed application form and required additional information to:

State Director (NV-930)

Bureau of Land Management

Nevada State Office

P. O. Box 12000

Reno, Nevada 89520

3. Incomplete applications will not be reviewed. When the application is complete, it is reviewed and the BLM either issues the permit with required stipulations attached, or denies the permit and notifies the applicant.

4. Permits can be denied, in whole or in part, for administrative reasons or for cause.

5. At least two weeks before you begin fieldwork, send one copy of the completed Fieldwork Authorization Request Form to the Field Manager of the BLM Field Office with administrative jurisdiction over the lands, involved. You must have a permit in hand before an authorization can be issued and cannot begin work without a fieldwork authorization.

6. The Field Manager either issues the written Fieldwork Authorization, with local stipulations attached, or denies the application and notifies the applicant and the State Office.

7. If you wish to question any decision regarding the application or permit, you may file a written request for a review, by the Nevada State Director, within 30 days of receipt of the decision (43 CFR 7.36 and BLM Manual 8130). The request should set out in writing the reasons for the State Director to reconsider the decision. You can also request, in writing, a conference with the State Director to discuss the decision. If after the initial state review, you wish to further question the decision, you may within 30 days of receipt of the results of the State Director's review, request, in writing, a review by the Director, Bureau of Land Management.

8. Any questions concerning permitting should be directed to Pat Barker at (702) 861-6482 or Susan McCabe at (702) 861-6466.

GENERAL CONSIDERATIONS

1. The permit requirements described here apply to public lands and surface estate managed by the BLM in Nevada.

2. Permits may be issued to appropriately qualified applicants, provided that the work proposed furthers the public interest; does not unduly conflict with other uses; and is consistent with relevant management plans or policy.

3. Permits, or fieldwork authorizations, may not be issued to other Federal agencies. Federal Employees proposing to do off-duty personal research are subject to the regular permit approval process. Permits may not be issued to BLM employees, or their immediate family, for work associated with the management of cultural resources on public lands, or for consultation services provided directly or indirectly to a BLM land use applicant.

4. Ethnographic work related to public lands does not require a Cultural Resource Use permit. However, ethnographers working to assist the BLM in complying with a legal requirement, have to be reviewed and approved by the State Office prior to initiating field studies. Ethnographers have to meet the Secretary of the Interior's professional qualification Standards.

5. The permittee must agree that all materials collected or excavated from BLM managed lands and all associated records, data, photographs, maps and other materials remain the property of the United States Government and that at the end of the project have to be housed with an approved curatorial facility. Formal Curation Agreements between the applicant and an approved curation facility are required for all cultural resource permit, including Survey and Recordation Permits.

a. The following curation facilities in Nevada have been reviewed and approved by the BLM and can be used for collections from BLM administered lands.

1. The Nevada State Museum

Capitol Complex

Carson City, NV 89710

(702) 885-4810

2. Desert Research Institute

P.O. Box 220

Reno, NV 89506

(702) 673-7302

3. University of Nevada, Museum

4505 S. Maryland Parkway

Las Vegas, NV 89154

(702) 739-3382

4. Department of Anthropology

University of Nevada

Reno, NV 89557

(702) 784-6704

b. Based on documentation supplied by the applicant, other facilities may be approved after the BLM determines that the facility substantially meets the standards at 36 CFR Part 79.

c. Each application must include written certification, signed by a properly authorized official of the proposed curatorial facility, agreeing to assume permanent curatorial responsibility for all materials collected or generated under the permit on behalf of the United States Government. The certification must acknowledging that the United States Government retains ownership of any collections and records, data, photographs, maps and other materials housed in the facility generated under the certification.

APPLICATION REVIEW AND EVALUATION.

a. Each application is examined upon receipt to determine if it is contains all required information and includes a curation agreement. Applications that are missing necessary information or required documentation will not be processed until the applicant provides the needed information or documentation.

b. In cases where the BLM determines that Native American cultural values may be harmed as a result of issuing a permit, the BLM will notify appropriate tribal groups prior to the issuance of the permit and consider any tribal response in the decision making process prior to approval of a permit. If the BLM decides that Native American cultural concerns outweigh the benefits of the proposed work, the permit will not be issued.

c. Applicants must show that the work proposed would further knowledge of cultural resources in the public interest. Work that conforms to the use of a cultural property in BLM land use plans or that furthers the Section 106 consultation process, are considered to be in the public interest. Applications for excavation, research, or field school projects must include documentation that sets forth a methodological/theoretical framework appropriate to work proposed, and proposes a schedule for timely and professional reporting of completed work.

d. Speculative permits or permits for which there is not an immediate and definite need will not be issued. Permits must not be viewed or used as a Federal certification of consultants' credentials, a license to practice, or a precondition for consultants to compete for jobs.

e. All applications will be reviewed to determine the compatibility of the proposed work with any approved management plan or established policy, objectives, or requirements applicable to the management of the public lands and resources involved. Permit applications proposing incompatible work may be modified through limitations or terms and conditions, or denied (administrative denial).

ORGANIZATIONAL QUALIFICATIONS

Applications are reviewed in the State Office to determine if the applicant own or have access to adequately institutional facilities and support for the work proposed. Applications may be denied on the basis of inadequate institutional facilities and support or if the organization has a documented history of inadequate performance under a previous permit (e.g., revocation for cause).

(1) Applicants must show that they have the organizational capability to accomplish the work proposed. An organizational resume or summary of organizational experience should be submitted to provide the following minimum information:

(a) Statement of applicant's organizational ability to accomplish work, including:

(i) Location(s) and description of necessary facilities and equipment.

(ii) Organizational structure and staffing.

(ii) Specification of which and to what extent facilities, equipment, and staff listed would be involved in the proposed work.

(b) Statement of applicant's organizational history in completing type of work proposed, including:

(i) Similar past projects.

(ii) Past Government contracts.

(iii) Selected bibliography of project or contract reports and/or publications resulting from (i) and (ii) above.

(iv) For the last three years, identify the nature and current status of all previous and current Federal permits issued by any agency. Include the agency, the agency permit number, cultural resource uses permitted, the permit's effective dates. The applicant should also identify pending or planned applications for Federal Cultural Resource Use permits or ARPA permits.

(c) Other pertinent organizational experience, such as research and special studies.

(d) If the applicant is a newly formed entity, any information that might take the place of information about similar past projects and past Government contracts should be provided. In such cases, individual capabilities of personnel will carry greater weight in evaluation of organizational qualifications. Lack of an organizational history should not be the principal factor in a recommendation for permit denial.

INDIVIDUAL PROFESSIONAL QUALIFICATIONS

Applications are reviewed in the State Office to determine if the applicants are adequately qualified for the work proposed. Applicants may be disqualified on the basis of failure to meet qualifying criteria, which may include documented history of inadequate performance under a previous permit (e.g., revocation for cause). Similarly, individuals named in applications may be excluded from a permit or have their intended roles changed for insufficient qualifications or documented inadequate performance under a previous permit.

There are three levels of qualification, each involving specific duties and requirements. A person may operate at more than one level if all qualifications are met. In order to qualify for a permit, the applicant organization must satisfy all levels: Administrator, Principal Investigator, and Crew Chief.

1. Permit Administrator. Applications must show the name of the individual proposed to be responsible for carrying out the terms and conditions of the permit and otherwise complying with legal requirements applicable to the permitted activity. This individual must be legally empowered to obligate the applicant organization and must sign the application and other official correspondence such as permit amendments. Unless this individual is also named under (b) or (c) below, this individual need not be professionally qualified as a field investigator and cannot direct field investigations.

2. Principal Investigator. Applications must include the name of any individual(s) proposed to be responsible for planning, supervising, and overseeing field projects, including responsibility for the professional quality of evaluations and recommendations. Principal investigators shall have primary accountability for technical completeness and competence of work conducted under the permit. They shall be responsible for development of work plans or research designs, performance of crew chiefs, selection standards and limitations on work assignments of crew members, analysis and interpretation of field data, integrating results into comparative regional perspectives, and for preparation of reports. For each proposed Principal Investigator, the applicant must demonstrate that the individual has achieved the following:

(i) Adequate professional instruction. This may be obtained in either of the following two ways:

(A) Formal education resulting in a graduate degree in the appropriate discipline. or

(B) Formal education resulting in a bachelor's degree in the appropriate discipline for the permitted activity plus at least 24 months of professionally supervised experience including similar duties as proposed in the application.

(ii) Competence in theory and methods, as well as, in recording, collecting, handling, analyzing, evaluating, and reporting cultural resource data, relative to the type and scope of work proposed.

(iii) Ability to plan, equip, staff, organize, and supervise activity of the type and scope proposed.

(iv) Ability to carry research to completion, as evidenced by timely completion of theses, research reports, and similar documents.

(v) Completion of at least 16 months of professional cultural resource management experience including similar duties as proposed in the application. This experience must include at least 4 months of experience with comparable cultural resources in similar cultural contexts and environmental settings. If equivalency is claimed under (ii)(B) above, the 16 months of experience required in this paragraph is to be included in, not in addition to, the required 24 months.

3. Crew Chief. Applications must include the name of any individual(s) proposed to be responsible for carrying out field projects. Crew chiefs shall be responsible for the technical quality of field work, for the direct on-the-ground supervision of all aspects of field work and data gathering, for proposing resource evaluations and recommendations for further treatment, and for preparing field records and descriptive reports. For each proposed Crew Chief, the applicant must demonstrate that the individual has achieved the following:

(i) Adequate professional instruction, obtained in either of the following two ways:

(A) Formal education resulting in a baccalaureate degree in appropriate discipline (anthropology/archaeology, history, architecture) and at least 12 months of pertinent professionally supervised experience, with increasing responsibility leading to duties similar to those proposed in the application. or

(B) Equivalent training and experience, including at least 30 months of professionally supervised experience including increasing responsibilities leading up to responsibilities equivalent to those proposed in the application.

(ii) Competence in recording, collecting, handling, analyzing, evaluating, and reporting cultural property data, relative to the type and scope of work proposed.

(iii) Demonstrated ability to supervise activity of the type and scope proposed.

(iv) Completion of at least 4 months of professional cultural resource management experience with comparable cultural resources in similar cultural contexts and environmental settings. This may be part of the experience required in (i)(A) and (B) above.

4. Individual qualifications can be documented by a professional vitae containing information such as the following, with greater weight being given to field experience that corresponds to work proposed in the application.

(i) Survey and excavation reports of cultural resource management or Section 106 (or other compliance) projects that the individual carried out or supervised.

(ii) National Register documentation based on the individual's field work, resulting in property listings or determinations of eligibility.

(iii) Materials such as presentations, booklets, brochures, lesson plans, or videos that interpret the results of the individual's cultural resource investigations for the general public.

(iv) Publications including articles in professional journals, monographs, books, or chapters in edited books, related to the preservation of cultural properties.

(v) Presentations at regional, national, or international professional conferences related to the preservation of cultural properties.

(vi) Professional service on boards or committees of regional, national, or international professional organizations concerned with the preservation of cultural properties.

(vii) Awards, research grants, research fellowships, or invitations to teaching posts.

5. The same individual may be proposed to perform any combination of permit administrator, principal investigator, and crew chief duties, provided that evidence is submitted to show that all pertinent qualifications are met for those positions.

FIELD WORK AUTHORIZATIONS

All permits require fieldwork authorizations, which may take the form of written documentation, a record of pare-field checks of office records, or oral authorizations by telephone. The primary purpose of fieldwork authorizations is to determine whether areas have been previously surveyed, whether there are conflicts with other resources, or other factors (such as safety issues) that could affect timing and scope of the proposed fieldwork. For any recommendation to postpone fieldwork, the cultural resource specialist shall prepare a letter to the permittee, setting out in detail the reasons for delay and when work may begin. Fieldwork authorizations should not normally be used to apply additional terms and conditions to the permit beyond what was attached at original issuance, nor should the fieldwork authorization process be used as a second level of review of proposed personnel.

DISPUTES

Any applicant, permittee, or person listed on a permit or application (disputant) may dispute the decision of the authorized officer with respect to denial of an application or fieldwork authorization request, the inclusion of specific terms and conditions in a permit or fieldwork authorization, or the modification, suspension, or revocation of a permit.

1. The disputant must file a written request to the authorized officer to review the authorized officer's decision, stating reasons for reconsideration of the decision. The authorized officer may modify or sustain the original decision, in either case providing the disputant with written explanation.

2. Either the disputant or the authorized officer may request a conference to discuss the basis of the original decision. The authorized officer may modify or sustain the original decision, in either case providing the disputant with a written explanation.

3. The disputant, if unsatisfied with the appeal decision, may request that the decision be reviewed at the next higher organizational level. Decisions of a District Manager may be reviewed by the State Director, and those of a State Director may be reviewed by the Director. The Director may request that the Departmental Consulting Archaeologist participate in the Director's review. The authorized officer's decision shall stand during the course of any higher level review.

4. Disputes which remain unresolved after exhausting opportunities listed under this section, may be formally appealed to the Interior Board of Land Appeals by following the procedures in 43 CFR Part 4, Subpart E. The authorized officer's decision shall stand during the appeal period.

5. Any other affected person wishing to appeal a decision connected with a permit may file a formal appeal with the Interior Board of Land Appeals (43 CFR (4)(E). The authorized officer's decision shall stand during the appeal period.

Completing the Cultural Resource Use Permit Applications Forms

CULTURAL RESOURCE USE PERMIT APPLICATION FORM (8151-1, Temporary)

1. Name of applicant. Enter the official name of the company or individual as it is to appear on the permit.

2. Mailing address. Enter the address to which all correspondence regarding the permit should be sent. It is not necessary to enter branch offices on the permit application. This information should be entered as part of the organizational capabilities (item 9A)

3. Telephone number. Provide the number at which the individual or organization can be reached for any questions regarding the permit or any work conducted under the permit.

4. Nature of cultural resource work proposed. There are three types of the cultural resource use permit. Check the box which best describes the types of work that you expect to conduct under this permit. The following activities are subject to permitting:

a. Survey and Recordation may be authorized for applicants who propose to identify, evaluate, record, or conduct similar non-impacting studies of cultural properties that will not include excavation and/or removal of material remains or other significant disturbance of cultural properties. As agreed in advance and specifically limited in the permit terms and conditions, such permits may authorize collection of isolated archaeological materials, not in association with cultural properties, and minor probing. Survey and Recordation permits may be issued on a multiple-Field Office or Statewide basis, for extended periods of time, to facilitate Section 106 compliance inventories and surveys. As appropriate, this type of permit may also be used to authorize non-impacting research projects.

b. Limited Testing and/or Collection may be authorized for applicants who propose to do small-scale testing and/or systematic collection and removal of material remains during field identification, evaluation, and recording activities, so that the significance or research potential of a cultural property may be better understood but not substantially diminished. Work proposed under Limited Testing and/or Collection permits may be used to determine future mitigation strategies. These are site-specific permits.

c. Excavation and/or Removal may be authorized for applicants who propose to excavate or remove material remains at a greater scale than the limited testing described in b. above, with the result that the significance and/or future research potential of a cultural property or properties may be substantially altered. This category of permit includes major testing programs designed to answer research questions and to guide future data recovery efforts. Ordinarily, this type of permit will require notification and consultation with Indian Tribes pursuant to the Archaeological Resources Protection Act (ARPA) and the Native American Graves Protection Act (NAGPRA) because of the substantial likelihood that the work authorized could result in harm to or destruction of sites having religious or cultural importance to Indian Tribes or disturb cultural items subject to NAGPRA. These are site-specific permits.

d. A combination of activities, described above, may be authorized in a single permit, as appropriate to the extent and nature of work proposed in the application.

5. Location of proposed work. For any type of permit, identify the area of proposed work as specifically as possible. In those cases where the permit will cover a specific project or area, give the legal description and provide a map of the project. Use an additional sheet if necessary. List any previously identified cultural resource in Item 5b.

6. Purpose of proposed work. Explain, as precisely as possible, the nature of work anticipated under this permit.

7. Time of proposed work. This block is used to request a specific time period for which the permit will be valid. The effective dates of the final permit will be based on this information in association with any existing management constraints and any additional information provided in the application submission.

8. Name of individual(s) responsible for planning and supervising fieldwork and approving reports, evaluations, and recommendations. Any individuals proposing to conduct fieldwork under this permit must be listed in this item. This includes people formerly approved as principal investigators and/or crew chief. For each individual listed in this item, specific job functions must be stated (i.e., principal investigator (historic, prehistoric, or both; crew chief [historic, prehistoric, or both], etc.).

9A. Organization qualifications. Include the location of the company headquarters and any branch offices and the facilities and equipment available to conduct the type of work proposed. For a company or individual proposing to conduct work under a survey and/or limited testing permit, for example, it is simply necessary to provide a description of the type equipment available for standard survey and testing work. For any permit under which detailed studies are proposed, a much more detailed description of the available facilities and equipment to conduct the proposed work is necessary. The purpose is to show that you have the necessary equipment and staffing to conduct the proposed work.

9B. Summary of organization history. Include a brief history of the organization listing any Federal permits held along with the information requested in this section of the application. For new companies, refer to the qualifications of the involved individuals and provide a statement of the scope of the organization.

9C. Individual qualifications. Provide a vitae for each individual to be listed on the permit that includes a complete detailed listing of the relevant experience of the individual indicating the number of months spent at each activity or job. Individuals proposed for inclusion on the permit will be evaluated exclusively on the basis of the information submitted in the application.

9D. Certification of proposed curatorial facility. An agreement to curate materials collected/or generated as a result of work conducted under this permit must be submitted with the permit application. This agreement may be in the form a letter to your organization from the proposed curatorial facility. Any agreement provided as part of your application must be signed by an official of the curatorial facility. The curation certification must be current for each application.

10. Name of individual(s) responsible for carrying out terms and conditions of permit. The individual listed in this item of the application must be an authorized officer of the applicant's organization. By listing an individual in this section, you are certifying that this individual is legally empowered to obligate your organization. Normally only one individual should be listed in this section although in some cases two individuals may be acceptable.

11. Signature. The application must be signed by the individual(s) listed in item 10.

12. Date. The application must be dated.

FIELDWORK AUTHORIZATION REQUEST FORM (8151.3, Temporary)

You cannot conduct any fieldwork until you have received written authorization to proceed. Fieldwork authorizations are always processed at the Field Office level. At least two weeks prior to any fieldwork, provide one copy of the authorization request to the Field Manager in the BLM Field Office with administrative jurisdiction over the lands involved.

1. Include the permit number and effective dates of permit (date issued and termination date).

2. Name of permittee. Enter the name of the permit holder as it appears on the permit.

3. Nature of the cultural resource work. Identify as specifically as possible the type of work proposed under this fieldwork authorization. The type and area of work identified on the request must agree with the level of permit that has been issued to your organization. For example, a field work authorization that identifies testing as part of the proposed work cannot be honored for a contractor operating under a Survey and Recordation permit.

4. Location of work. Identify the area(s) of proposed work to be conducted under this fieldwork authorization. The fieldwork authorization cannot be issued to exceed the jurisdictional boundaries of your permit. If the proposed work crosses Field Office boundaries, then separate authorization requests are be required for each Field Office. The area of concern must be clearly identified using legal locations on the request form. In these cases, a map must be provided which accurately locates the immediate area of the proposed work.

5. Period during which work will be conducted. Enter a realistic estimate of the time necessary to conduct the proposed work. The time requested cannot exceed the expiration date of the permit.

6. Name of individual responsible for planning and supervising fieldwork and approving reports, evaluations, and planning. This item must include all individuals who will be working in a supervisory capacity under the authorization. Only those individuals listed on the permit as Principal Investigators or Crew Chiefs are authorized to supervise fieldwork.

7. Signature. The request must be signed. The signature should be that of the individual listed in item No. 8 of the permit; however, it may be any individual listed in item No. 7 of the permit.

8. Date. The request must be dated.