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Skip Navigation HomeHelpResourcesContact Us Advanced Search Start of Main Content Guidelines Permitting Archaeological Investigations and Other Activities: Sunken Military Craft and Terrestrial Military Craft This Proposed Rule document was issued by the Navy Department (USN) For related information, Open Docket Folder Show agency attachment(s) DEPARTMENT OF DEFENSE
[No. USN-2011-0016]
AgencyDepartment of the Navy, DoD.
SummaryThe Department of the Navy (DoN) is revising its rules to assist the Secretary in managing sunken military craft under the jurisdiction of the DoN pursuant to the Sunken Military Craft Act (SMCA), and to issue revised application guidelines for research permits on terrestrial military craft under the jurisdiction of the DoN.
DatesInterested parties should submit written comments on or before March 7, 2014.
AddressesYou may submit comments, identified by docket number and/or Regulatory Information Number (RIN) and title, by any of the following methods:
Instructions: All submissions received must include the agency name and docket or RIN number for thisFederal Registerdocument. The general policy for comments and other submissions from members of the public is to make these submissions available for public viewing on the Internet at http://regulations.gov as they are received without change, including any personal identifiers or contact information.
For Further Information ContactDr. Robert Neyland, Head, Underwater Archaeology Branch, Naval History & Heritage Command, Department of the Navy, 805 Kidder Breese Street SE., BL 57, Washington Navy Yard, DC 20374, email: NHHCUnderwaterArchaeology@navy.mil. Supplementary InformationExecutive SummaryThis proposed rule serves as a revision of the current 32 CFR part 767 and incorporates existing regulations together with the expanded authority provided to the Secretary of the Navy by the SMCA (Pub. L. 108-375, 10 U.S.C. 113 Note and 118 Stat. 2094-2098) in regards to permitting activities directed at sunken military craft that are otherwise prohibited by the SMCA (10 U.S.C. 1402(a)-1402(b)). The proposed rule replaces the current regulations and establishes a single permitting process for members of the public wishing to engage in activities that disturb, remove, or injure DoN sunken and terrestrial military craft for archaeological, historical, or educational purposes. As per the limitations on application expressed in (10 U.S.C. 1402(c)(1)), section 1402 shall not apply to actions taken by, or at the direction of, the United States.
The current rule is based on provisions of the National Historic Preservation Act (NHPA) (16 U.S.C. 470) which sets forth the responsibility for each agency to preserve and manage historic properties under their respective jurisdiction and control and 5 U.S.C. 301, which authorizes the DoN to promulgate regulations regarding the custody, use, and preservation of its records, papers and property. The rule institutes a permitting program that authorizes controlled access to disturb these historic properties, which remain property of the DoN, for prescribed purposes. It is the policy of the DoN to preserve these sites in situ unless site disturbance, removal, or injury is necessary for their protection or justified for research and educational purposes. Archaeological science and sound management principles support this strategy that affords the DoN the ability to efficiently oversee its more than 17,000 historic wrecks dispersed around the globe.
The existing regulations only apply to ships and aircraft that are classified as historic structures or archaeological sites, regardless of location, and do not carry the enforcement provisions necessary to serve as a deterrent to their unauthorized disturbance. The SMCA was enacted in 2004 and codified these existing principles of preservation of title and sovereign immunity in regards to sunken military craft. As defined in the SMCA, the term sunken military craft includes all sunken warships, all naval auxiliaries, and other vessels that were owned or operated by a government on military noncommercial service when they sank. The term also includes all sunken military aircraft or spacecraft owned or operated by a government when they sank. In addition, associated contents such as equipment, cargo, and the remains and personal effects of the crew and passengers are also protected if located within a craft's debris field. It is important to note that the SMCA is not limited to historic sunken military craft of the United States. All U.S. sunken military craft are covered, regardless of location or time of loss, while all foreign sunken military craft in U.S. waters, consisting of U.S. internal waters, the U.S. territorial sea, and the U.S. contiguous zone, are also afforded protection from disturbance by the SMCA. A permitting process may be implemented by the Secretary of a military department or the department in which the Coast Guard is operating in order to permit activities directed at sunken military craft that are otherwise prohibited.
Sunken military craft are not only of historical importance to the Nation, having served in all of its most critical moments, but are also often war graves and memorials to the men and women who served aboard them. Many carry unexploded ordnance that can pose public safety hazards or oil and other materials that, if not properly handled, may cause substantial harm to the environment. Furthermore, many hold state secrets and technologies of significance to national security. Therefore, it is important for these sites to be respected and remain undisturbed and for the U.S. to promote the international law rules that sunken military craft are entitled to sovereign immunity and preservation of title. When otherwise prohibited activities are permitted, they must be conducted in a professional manner and with archaeological, historical or educational purposes in mind. Accordingly, the SMCA declares that the “law of finds” does not apply to any U.S. sunken military craft or any foreign sunken military craft in U.S. waters. No salvage rights or awards are to be granted with respect to U.S. sunken military craft without the express permission of the U.S., or with respect to foreign sunken military craft located in U.S. waters without the express permission of the relevant foreign state.
This proposed rule is promulgated based on the authority granted to the Secretary of the Navy by the SMCA to establish a permitting program allowing controlled public access to sunken military craft that is otherwise prohibited. As stewards of the DoN's historic ship and aircraft wrecks, the Naval History & Heritage Command (NHHC) continues its role as the authority responsible for administering this revised permitting program. As a result of the need to incorporate the existing regulations and provisions set forth in the SMCA, the proposed rule adopts the definition of sunken military craft present in the Act and develops a counterpart—terrestrial military craft—to refer to DoN wrecked craft located on land that are either historic structures or archaeological sites.
NHHC will serve as the permitting authority for the disturbance of non-historic DoN sunken and terrestrial military craft and consider such applications in the cases where there is a clear demonstrable benefit to the DoN under the special use permit provisions. Special use permits will only be issued in cases when internal DoN coordination does not result in any objection. Finally, the NHHC will also serve as the permitting authority for those foreign sunken military craft located in U.S. waters that through and under the terms of an agreement with the respective foreign state are included within NHHC's management purview. Non-intrusive activities including diving adjacent to or remotely documenting sites do not require a permit or authorization from the NHHC though this does not preclude the obligation to obtain permits or other authorizations otherwise required by law. The regulations stipulate an application process for disturbance of historic sunken military craft and terrestrial military craft. Applicants must meet certain requirements and qualifications which are set forth in the proposed rules in order to demonstrate careful planning, professional credentials, and a long-term view of the effects of the proposed activities on the craft and any recovered material.
The proposed rule also incorporates provisions for a special use permit to be issued in the case of certain activities directed at sunken military craft that would result in the wrecksite's disturbance, removal, or injury but otherwise be minimally intrusive. The standards that must be met for special use permits are more easily attainable as are the reporting requirements, though data collected must be shared with NHHC.
As more than half of the DoN's sunken military craft rest beyond U.S. waters, the U.S. government has an interest in reaching agreements with foreign nations, and in particular the major maritime powers, seeking assurances that our sunken military craft will be respected and protected and offering foreign nations reciprocal treatment. In order to encourage universal respect and such mutually-beneficial treatment of sunken military craft, the Secretary of the Navy, in consultation with the Secretary of State, may consider requests by foreign states to incorporate their military craft located in U.S. waters within the DoN permitting program. The foreign state must assert its sovereign immunity over its craft, request assistance by the U.S. government, and acknowledge the provisions that will apply to their sunken military craft if incorporated into the DoN permitting program. Following such a request and appropriate consultation, an understanding to this effect may be reached with that foreign state.
The final major provision of the proposed rule affects violations of the SMCA or of the permitting program and outlines penalties and enforcement procedures. Violators may be punished by a fine not to exceed $100,000 per violation, with each day of a violation counting as a separate incident, may be liable for damages, and may suffer loss of their vessel and other equipment associated with the violation.
The proposed revision to the rule codifies existing legislation and stated public policy and does not carry a significant burden of cost to the public. With stricter enforcement provisions acting as a deterrent and a management policy based on the principle of in situ preservation, the proposed rule makes the protection of war-related and other maritime graves, the preservation of historical resources, the proper handling of safety and environmental hazards, and the safeguarding national security interests more effective, efficient, and affordable. At the same time, the proposed rule enables the public to have controlled intrusive access to sites otherwise prohibited from disturbance, bringing to light new knowledge about the Nation's maritime heritage, and honoring the service of those Sailors lost at sea.
The revisions to this rule are part of DoD's retrospective plan under EO 13563 completed in August 2011. DoD's full plan can be accessed at http://exchange.regulations.gov/exchange/topic/eo-13563. BackgroundThe DoN is revising 32 CFR part 767 pursuant to the SMCA in order to implement a permitting system regulating research activities directed at DoN sunken military craft that otherwise are prohibited by the SMCA. The proposed rule also revises existing regulations by incorporating those permitting provisions stemming from 5 U.S.C. Chapter 301, 16 U.S.C. Chapter 470, and the SMCA into a single comprehensive set of rules for research activities directed at sunken military craft and terrestrial military craft under the jurisdiction of the DoN, regardless of location or passage of time. Sunken military craft and terrestrial military craft are non-renewable cultural resources that often serve as war-related and other maritime graves, safeguard state secrets, carry environmental and safety hazards such as oil and ordnance, and hold significant historical and archaeological value. Access to these sites requires DoN oversight to ensure site preservation, the sanctity of war and other maritime graves, public safety, and sound environmental stewardship. In addition, DoN oversight ensures that research carrying the potential to disturb such sites is conducted to professional standards under existing laws and guidelines such as those of the Federal Archaeology Program and the NHPA. The proposed rule allows for theincorporation of foreign sunken military craft in this permitting system upon request and agreement with the foreign state. Furthermore, it identifies penalties and enforcement procedures to be followed in the event of violations to the proposed rule affecting sunken military craft. The proposed rule will replace the existing section to reflect current agency regulations. Interested persons are invited to comment in writing on this amendment. All written comments received will be considered in making the proposed amendments to this part. It has been determined that this proposed rule amendment is not a major rule within the criteria specified in Executive Order 12866, as amended by Executive Order 13258, and does not have substantial impact on the public.Matters of Regulatory ProcedureExecutive Order 12866, “Regulatory Planning and Review” and Executive Order 13563, “Improving Regulation and Regulatory Review”
It has been determined that 32 CFR Part 767 is not a significant regulatory action. The rule does not:
(4) raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in these Executive Orders.Unfunded Mandates Reform Act (Sec. 202, Pub. L. 104-4)It has been certified that 32 CFR Part 767 does not contain a Federal Mandate that may result in the expenditure by State, local, and tribal governments, in aggregate, or by the private sector, of $100 million or more in any one year.Public Law 96-354, “Regulatory Flexibility Act” (5 U.S.C. 601)It has been certified that 32 CFR Part 767 is not subject to the Regulatory Flexibility Act (5 U.S.C. 601) because it would not, if promulgated, have a significant economic impact on a substantial number of small entities.Public Law 96-511, “Paperwork Reduction Act” (44 U.S.C. Chapter 35)It has been certified that 32 CFR Part 767 does not impose any reporting or recordkeeping requirements under the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35).Federalism (Executive Order 13132)It has been certified that 32 CFR Part 767 does not have federalism implications, as set forth in Executive Order 13132. This rule does not have substantial direct effects on:
List of Subjects in 32 CFR Part 767Evaluation of permit applications, Historic sunken military craft and terrestrial military craft site permits, Special use permits, Foreign sunken military craft, Civil penalties, Liability for damages, Enforcement actions, Prohibited acts, Permit requirements.
For the reasons set forth in the preamble, the Department of the Navy proposes to revise 32 CFR part 767 to read as follows:Part 767 Guidelines for Archaeological Investigation Permits and Other Research on Sunken Military Craft and Terrestrial Military Craft Under the Jurisdiction of the Department of the NavySubpart a Regulations and ObligationsSec.767.1
Policy.Subpart B Permit Requirements767.6
Application to foreign sunken military craft and U.S. sunken military craft not under the jurisdiction of the DoN.Subpart C Enforcement Provisions for Violations of the Sunken Military Craft Act and Associated Permit Conditions767.16
Authority10 U.S.C. 113 note; Pub. L. 108-375, Title XIV, sections 1401 to 1408, Oct. 28, 2004, 118 Stat. 2094; 5 U.S.C. 301; 16 U.S.C. 470.
Subpart a Regulations and Obligations§ 767.1
(a) To assist the Secretary in managing sunken military craft under the jurisdiction of the Department of the Navy (DoN) pursuant to the Sunken Military Craft Act (SMCA), 10 U.S.C. 113 note; Public Law 108-375, Title XIV, sections 1401 to 1408, Oct. 28, 2004, 118 Stat. 2094, and to provide application rules for research permits on applicable military craft under the jurisdiction of the DoN.
(c) To ensure DoN consistency with other applicable Federal laws. The Secretary is responsible for managing DoN historic military craft, including those that also qualify as sunken military craft, under the guidelines of the Federal Archeology Program. In order for the Secretary's management policy to be consistent to the extent practicable with the Federal Archeology Program, the NHPA (16 U.S.C. 470), Protection of Archaeological Resources: Uniform Regulations (32 CFR part 229), and Curation of Federally-Owned and Administered Archaeological Collections (36 CFR part 79), the DoN has implemented a permitting process applicable to DoN historic military craft consistent with and applying theArchaeological Resources Protection Act (ARPA) of 1979 as amended, 16 U.S.C. 470aa-mm, permitting criteria. The DoN's application of ARPA's permitting criteria promotes consistency among federal agencies. The regulations provide qualified individuals and entities with access to DoN historic military craft for purposes consistent with ARPA and the SMCA.
§ 767.2
Archaeological site means the place or places where the remnants of a past culture survive in a physical context that allows for the interpretation of these remains. A historic sunken military craft or a terrestrial military craft is considered an archaeological site when it lacks the structural integrity of an intact craft and when its wrecksite retains archaeological or historical value.
Disturb or Disturbance means directly or indirectly affecting the physical condition of any portion of a sunken military craft or terrestrial military craft, altering the position or arrangement of any portion of a sunken military craft or terrestrial military craft, or influencing the wrecksite or its immediate environment in such a way that any portion of a craft's physical condition is affected or its position or arrangement is altered.
Debris field means an area, whether contiguous or non-contiguous, that consists of portions of one or more sunken military craft or terrestrial military craft distributed due to, or as a consequence of, a wrecking event and post-depositional site formation processes. An artifact field forms part of a debris field.
Historic structure means a structure made up of interdependent and interrelated parts in a definite pattern or organization that has been deemed historic. Constructed by man, it is often an engineering project large in scale. If a historic structure has lost its historic configuration or pattern of organization through deterioration or demolition, it is considered an archaeological site. A historic sunken military craft or terrestrial military craft is a historic structure when it is relatively intact and when it and its location retain historical, architectural, or associative value.
Injure or injury means to inflict material damage on or impair the soundness of any portion of a sunken military craft or terrestrial military craft.
Secretary means the Secretary of the Navy or his or her designee. The Director of the NHHC is the Secretary's designee for DoN ship and aircraft wreck historical and archaeological policy; the permitting of activities that disturb foreign sunken military craft in U.S. waters and DoN sunken military craft; the initiation of enforcement actions; and, assessment of civil penalties or liability for damages. The Secretary's designee for appeals of Notices of Violations is the Defense Office of Hearings and Appeals (DOHA).
(2) In the case of a sunken Coast Guard military craft, the Secretary of the Department in which the Coast Guard is operating.
Sunken Military Craft means all or any portionof—
Sunken Military Craft Act refers to the provisions of 10 U.S.C. 113 note; Pub.L. 108-375, Title XIV, sections 1401 to 1408, Oct. 28, 2004, 118 Stat. 2094.
Terrestrial military craft means the physical remains of all or any portion of a historic ship, aircraft, spacecraft, or other craft, intact or otherwise, manned or unmanned, along with all associated contents, located on land and under the jurisdiction of the DoN. Terrestrial military craft sites are classified as either historic structures or archaeological sites and are distinguished from sunken military craft by never having sunk in a body of water.
United States Territorial Sea means the waters of the United States territorial sea claimed by and described in Presidential Proclamation 5928,dated December 27, 1988. Accordingly, the territorial sea of the United States extends to 12 nautical miles from the baselines of the United States determined in accordance with international law.
Wrecksite means the location of a sunken military craft or terrestrial military craft. The craft may be intact, scattered or completely deteriorated, may presently be on land or in water, and may be a historic structure or an archaeological site. The wrecksite includes any physical remains of the craft and all associated contents.
§ 767.4
(a) Unauthorized activities directed at sunken military craft or terrestrial military craft. No person shall engage in or attempt to engage in any activity directed at a sunken military craft or terrestrial military craft that disturbs, removes, or injures any sunken military craft or terrestrial military craft, except—
(b) Possession of sunken military craft or terrestrial military craft. No person may possess, disturb, remove, or injure any sunken military craft or terrestrial military craft in violation, where applicable, of—
(2) Any regulation set forth in this part or anypermit issued under it; or
(c) Limitations on Application. Prohibitions in section 1402 of the SMCA shall not apply to—
(1) Actions taken by, or at the direction of, the UnitedStates.
(2) Any action by a person who is not a citizen, national,or resident alien of the United States, except in accordancewith—
§ 767.5
(a) As stewards of the DoN's historic sunken military craft and wrecksites, the NHHC is responsible for managing these irreplaceable resources for the continued education and appreciation of present and future generations. To ensure consistent and effective stewardship, the NHHC has developed a comprehensive program that encompasses the following categories: preservation planning; wrecksite management; curation; and public information, interpretation, and education. The NHHC strongly encourages cooperation with other Department of Defense commands, Federal and State agencies, educational institutions, and individuals interested in preserving DoN's maritime and aviation heritage.
(b) Historic sunken military craft and terrestrial military craft will generally be managed in place unless wrecksite disturbance, recovery, or injury is justified and necessary to protect the craft or the environment, to conduct research, or provide for public education. While the NHHC prefers non-destructive, in situ research on sunken military craft and terrestrial military craft, it recognizes that wrecksite disturbance, removal, or injury may become necessary or appropriate. At such times, wrecksite disturbance, removal, or injury may be permitted by the NHHC with respect to DoN sunken military craft for archaeological, historical, or educational purposes, subject to conditions set forth in accordance with these regulations. Historic shipwrecks under the jurisdiction of the DoN that do not qualify as sunken military craft are to be provided the same consideration and treatment as terrestrial military craft.
(c) In addition to managing historic sunken military craft and terrestrial military craft, the NHHC will serve as the permitting authority for the disturbance of non-historic DoN sunken military craft. Permit applications will only be issued in instances where there is a clear demonstrable benefit to the DoN, and only special use permits can be issued in the case of non-historic sunken military craft. In such instances, prior to issuing a special use permit, the NHHC will consult with appropriate DoN offices within affected commands or offices, including, but not limited to, the Naval Sea Systems Command, Naval Air Systems Command, Space and Naval Warfare Systems Command, Naval Supply Systems Command, Naval Facilities Engineering Command, Navy Personnel Command, Supervisor of Salvage and Diving, Office of the Judge Advocate General of the Navy, the Office of the Chief of Naval Operations, or any other interested office.
(d) The NHHC will serve as the permitting authority for disturbance of those foreign state sunken military craft located in U.S. waters addressed in § 767.15 of this part. The NHHC, in consultation with the Department of State as appropriate, will make a reasonable effort to inform the applicable agency of a foreign state of the discovery or significant changes to the condition of its sunken military craft upon becoming aware of such information.
(e) The DoN recognizes that, in accordance with section 1402(a)(3) of the Act, certain federal agencies have statutory authority to permit specific activities directed at DoN sunken military craft. The NHHC will coordinate, consult, and enter into interagency agreements with those federal agencies to ensure effective management of DoN sunken military craft and compliance with applicable law.
(f) Notwithstanding any other section of this part, no act by the owner of a vessel, or authorized agent of the owner of a vessel, under a time charter, voyage charter, or demise charter to the DoN and operated on military service at the time of its sinking, provided that the sunken military craft is not considered historic as determined by the NHHC, shall be prohibited by, nor require a permit under, the SMCA or these regulations. This paragraph (f) shall not be construed to otherwise affect any right or remedy of the United States existing at law, in equity, or otherwise, in regard to any such sunken military craft, in regard to cargo owned by the United States on board or associated with any such craft, or in regard to other property or contents owned by the United States on board or associated with any such sunken military craft.
(g) The NHHC reserves the right to deny an applicant a permit if the proposed activity does not meet the permit application requirements; is inconsistent with DoN policy or interests; does not serve the best interests of the sunken military craft or terrestrial military craft in question; in the case of foreign sunken military craft, is inconsistent with the desires of a foreign sovereign; is inconsistent with an existing resource management plan; is directed towards a sunken military craft or terrestrial military craft upon which other activities are being considered or have been authorized; will be undertaken in such a manner as will not permit the applicant to meet final report requirements; raises ethicalconduct concerns or concerns over commercial exploitation; raises concerns over national security, foreign policy, environmental or ordnance issues; or out of respect for any human remains that may be associated with a wrecksite. The NHHC also reserves the right to deny an applicant a permit if the applicant has not fulfilled requirements associated with preceding permits issued by NHHC to the applicant.Subpart B Permit Requirements§ 767.6
(c) Applicants must submit two printed copies of their completed application, as well as a digital version, at least 120 days in advance of the requested effective date to allow sufficient time for evaluation and processing. Completed applications should be sent to the Department of the Navy, U.S. Naval History and Heritage Command, Underwater Archaeology Branch, 805 Kidder Breese St. SE., Washington Navy Yard, Washington, DC 20374-5060.
(5) An analysis of the extent and nature of potential environmental impacts from permitted activities and any associated permits or authorizations required by foreign, federal, state, or local law;
(7) In addition to identification and qualifications of the Principal Investigator (PI), required by Sec. 767.8 of this part, identification of all other members of the research team and their qualifications. Changes to the primary research team subsequent to the issuance of a permit must be authorized via a permit amendment request as per § 767.10(a) of this part;
(10) Where the application is for the excavation and/or removal of artifacts from a sunken military craft or terrestrial military craft, or for the excavation and/or removal of a sunken military craft or terrestrial military craft in its entirety:
(i) A conservation plan, estimated cost, and the name of the university, museum, laboratory, or other scientific or educational institution in which the material will be conserved, including written certification, signed by an authorized official of the institution, of willingness to assume conservation responsibilities must be included.
(iii) The name of the facility in which the recovered materials and copies of associated records derived from the work will be preserved. This will include written certification, signed by an authorized official of the institution, of willingness to assume curatorial responsibilities for the collection. The named repository must, at a minimum, meet the standards set forth in 36 CFR part 79, Curation of Federally-Owned and Administered Archaeological Collections as per § 767.9(h) of this part.
(iv) Acknowledgement that the applicant is responsible for all conservation-related and long-term curation costs.
(e) If the applicant believes that compliance with one or more of the factors, criteria, or procedures in the regulations contained in this part are not practicable, the applicant should set forth why and explain how the purposes of the SMCA (if applicable), these regulations, and the policies of the DoN are better served without compliance with the specified requirements. If the NHHC determines there is merit in the request and that full compliance is not required to meet these priorities, the NHHC will provide a written waiver to the applicant stipulating which factors, criteria, or procedures may be foregone or amended. However, NHHC will not waive statutory procedures or requirements.
(f) Persons carrying out official NHHC duties under the direction of the NHHC Director, or his/her designee, or conducting activities at the direction of or in coordination with the NHHC as recognized through express written permission by the NHHC Director, or his/her designee, need not follow the permit application procedures set forth in this section and §§ 767.7 and 767.9 to 767.12 of this part if those duties or activities are associated with the management of archaeological resources. Where appropriate, such persons will coordinate with Federal Land Managers, the Bureau of Ocean Energy Management, and/or State Historic Preservation Offices prior to engaging in the aforementioned activities. The NHHC Director, or his/her designee, shall ensure that the provisions of §§ 767.6(d), 767.8, and 767.11 of this part have been met by other documented means consistent with the Federal Archeology Program and, that such documents and all resulting data will be archived within the NHHC.
(a) Permit applications are reviewed for completeness, compliance with program policies, and adherence to the regulations of this subpart. Incomplete applications will be returned to the applicant for clarification. Complete applications are reviewed by NHHCpersonnel who, when appropriate, may seek outside guidance or peer reviews. In addition to the criteria set forth in §§ 767.6(d) and 767.8 of this part, applications are also judged on the basis of: project objectives being consistent with DoN policy and the near- and long-term interests of the DoN; relevance or importance of the proposed project; archaeological, historical, or educational purposes achieved; appropriateness and environmental consequences of technical approach; conservation and long-term management plan; qualifications of the applicants relative to the type and scope of the work proposed; and funding to carry out proposed activities. The NHHC will also take into consideration the historic, cultural, or other concerns of a foreign state when considering an application to disturb a foreign sunken military craft of that state located within U.S. waters, subsequent to an agreement with the foreign state as per § 767.15 of this part. The same consideration may be applied to U.S. sunken military craft that are not under the jurisdiction of the DoN, following an agreement with the Secretary of any military department, or in the case of the Coast Guard, the Secretary of the Department in which the Coast Guard is operating, as set forth in § 767.15(e) of this part.
(b) The NHHC will consult with the appropriate federal resource manager when it receives applications for research at wrecksites located in areas that include units of the National Park System, National Wildlife Refuge System, National Marine Sanctuary System, Marine National Monuments, within lease blocks managed by the Bureau of Ocean Energy Management, or within areas of responsibility of other Federal Land Managers.
(c) The NHHC will consult with the appropriate State Historic Preservation Office (SHPO) or Tribal Historic Preservation Office (THPO) when it receives applications for research at wrecksites located on state lands, including lands beneath navigable waters as defined in the Submerged Lands Act, 43 U.S.C. 1301-1315, or tribal lands.
(d) The applicant is responsible for obtaining any and all additional permits or authorizations, such as but not limited to those issued by another federal or state agency, or foreign government. In the case of U.S. sunken military craft or terrestrial military craft located within foreign jurisdictions, the NHHC may review and issue a conditional permit authorizing activities upon receipt of the appropriate permits and authorizations of the applicable foreign government by the applicant. The applicant must file a copy of the foreign government authorization with the NHHC when submitting the preliminary report stipulated in § 767.9(d) of this part and final report stipulated in § 767.9(f) of this part. Failure to do so will be considered a permit violation.
(e) Based on the findings of the NHHC evaluation, NHHC personnel will recommend an appropriate action to the NHHC Deputy Director. If approved, the NHHC Deputy Director, or his or her designee, will issue the permit; if denied, applicants are notified of the reason for denial and may request reconsideration within 30 days of receipt of the denial. Requests for reconsideration must be submitted in writing to: Director of Naval History, Naval History and Heritage Command, 805 Kidder Breese St. SE., Washington Navy Yard, Washington DC 20374-5060.
(a) The minimum professional qualification standards for Archeology as determined by the Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation (http://www.cr.nps.gov/local-law/arch_stnds_0.htm).
(b) At least one year of full-time professional supervisory experience in the archaeological study of historic maritime resources or historic aviation resources. This experience requirement may concurrently account for certain stipulations of § 767.8(a);
(c) The demonstrated ability to plan, equip, fund, staff, organize, and supervise the type and scope of activity proposed;
§ 767.9
(b) Upon receipt of a permit, permit holders shall counter-sign the permit and return copies to the NHHC and the applicable SHPO, THPO, or foreign government official prior to conducting permitted activities on the wrecksite. When the sunken military craft or terrestrial military craft is located within federal areas such as a unit of the National Park System, the National Wildlife Refuge System, the National Marine Sanctuary System, or Marine National Monuments, the permit holder shall provide copies of countersigned permits to the applicable federal resource manager. Upon NHHC confirming receipt of the counter-signed permit, the permitted activities may commence, provided that any other regulatory and permitting requirements that may be applicable are met.
(c) Permits shall be carried on-site and made available upon request for inspection to regional preservation personnel or federal or state law enforcement officials. Permits are non-transferable. Permit holders are expected to remain on-site for the duration of operations prescribed in the permit. In the event a permit holder is unable to directly oversee operations, the permit holder must nominate a suitable qualified representative who may only serve in that function upon written approval by NHHC.
(d) Permit holders must abide by all provisions set forth in the permit as well as applicable state or federal regulations. Permit holders must abide by applicable regulations of a foreign government for activities directed at a sunken military craft when the sunken military craft is located in the internal waters, territorial sea, or contiguous zone of a foreign State, as defined by customary international law as reflected in the United Nations Convention on the Law of the Sea. If the sunken military craft is located on the continental shelf of a foreign nation, there may also be laws or regulations pertaining to the foreign nation's sovereign rights and jurisdiction relating to its continental shelf or EEZ that may apply to the proposed activities. To the extent possible, if the physical environment is impacted by the permitted activity, it must be returned to the condition that existed before the activity occurred.
(e) Upon completion of permitted activities and at least 30 days prior to the original permit expiring, the permitholder shall submit to the NHHC a preliminary report that includes a working and diving log, the latter where appropriate, listing days spent conducting field research, activities pursued, working area locations including precise coordinates, an inventory of artifacts observed or recovered, and preliminary results and conclusions.
(f) In the case of one or more permit extensions received through the process identified in § 767.10(b) of this part, a preliminary report that includes all the information stated in paragraph (d) of this section is to be submitted by the permit holder annually at least 30 days prior to the renewed permit's expiration date.
(g) The permit holder shall prepare and submit a final report as detailed in Sec. 767.11 of this part, summarizing the results of the permitted activity to the NHHC, and the applicable SHPO, THPO, federal or state resource manager, or foreign government official within an appropriate time frame as specified in the permit. Failure to submit a final report within the specified time-frame will be considered a permit violation. If the final report is not due to be submitted within two years of commencement of a permitted activity, interim reports must be filed biannually, with the first interim report submitted within two years of commencement of the activity. The interim report must include information required by § 767.11 of this part to the maximum extent possible, a report on the progress that has been achieved to date, as well as the remaining objectives to be accomplished until submission of the final report.
(h) The permit holder shall agree to protect all sensitive information regarding the location and character of the wrecksite that could potentially expose it to non-professional recovery techniques, looters, or unauthorized salvage. Sensitive information includes specific location data and information about the cargo of a sunken military craft or terrestrial military craft, the existence of armaments and munitions, or the presence of or potential presence of human remains. Sensitive cargo might also include hazardous materials other than munitions.
(i) All recovered DoN sunken military craft, terrestrial military craft, and their associated contents, remain the property of the United States. These resources and copies of associated archaeological records and data must be preserved by a suitable university, museum, or other scientific or educational institution that, at a minimum, meets the standards set forth in 36 CFR part 79, Curation of Federally-Owned and Administered Archaeological Collections, at the expense of the applicant or facility, unless otherwise agreed upon in writing by the NHHC. The curatorial facility must establish a loan of resources agreement with the NHHC and maintain it in good standing. If a loan of resources agreement is not established, or at the discretion of the NHHC, resources are to be managed, conserved and curated directly by the NHHC at the expense of the applicant and at no cost to the government, unless otherwise agreed upon in writing by the NHHC. Copies of associated archaeological and conservation records and data will be made available to the NHHC, and to the applicable SHPO, THPO, the federal or state resource manager, or foreign government official upon request.
(j) The disposition of foreign sunken military craft or associated contents shall be determined on a case-by-case basis in coordination with the foreign state prior to the issuance of a NHHC permit.
(k) In the event that credible evidence for or actual human remains, unexploded ordnance, or environmental pollutants such as oil are discovered during the course of research, the permit holder shall cease all work and immediately notify the NHHC. Permitted work may not resume until authorized by the NHHC.
(l) The permittee shall purchase and maintain comprehensive general liability insurance, or post an equivalent bond, against claims arising out of activities conducted under the permit and agrees to hold the United States harmless against such claims.
§ 767.10
(a) Requests for amendments to active permits (e.g., a change in study design or research personnel) must conform to the regulations in this part. All information deemed necessary by the NHHC to make an objective evaluation of the amendment must be included as well as reference to the original application. Requests for amendments must be sent to the Deputy Director, Naval History and Heritage Command, 805 Kidder Breese St. SE., Washington Navy Yard, Washington DC 20374-5060. A pending amendment request does not guarantee approval. Proposed activities cannot commence until approval is granted. All requests for permit amendments must be submitted during the period within which an existing permit is active and at least 30 days prior to the desired effect date of the amendment. Time-sensitive amendments must be submitted in writing to the contact information included in the permit and will be considered and expedited on a case-by-case basis.
(b) Permit holders desiring to continue research activities beyond the original permit expiration date must apply for an extension of a valid permit prior to its expiration. A pending extension request does not guarantee an extension of the original permit. All requests for a permit extension must be sent to the Deputy Director, Naval History and Heritage Command, 805 Kidder Breese St. SE., Washington Navy Yard, Washington DC 20374-5060, at least 30 days prior to the original permit's expiration date. Reference to the original application may be given in lieu of a new application, provided the scope of work does not change significantly. Applicants may apply for one-year extensions subject to annual review.
(c) Permit holders may appeal denied requests for amendments or extensions to the appeal authority listed in § 767.7(e) of this part.
§ 767.11
(c) Feature map(s) of any recovered artifacts showing their position within the wrecksite;
(e) If applicable, a section that includes an inventory of recovered artifacts, description of the conserved artifacts, laboratory conservation records, documentation of analyses undertaken, photographs of the artifacts before and after conservation treatment, and recommended curation conditions;
(g) A summary of the survey and/or excavation process including methods and techniques employed, an account of operational phases, copies of applicable logs, as well as thorough analysis of the recovered data.
(h) An evaluation of the completed permitted activity that includes an assessment of the success of the goals specified in the permit application;
(i) Recommendations for future activities, if applicable.
(j) An account of how the public interpretation or dissemination plandescribed in the permit application has been or is being carried out. Additionally, identification of any sensitive information that should be protected and withheld from public disclosure as detailed in § 767.9(g) of this part; and
(k) If a wrecksite is deemed by the NHHC to be eligible or potentially eligible for the National Register of Historic Places then a completed draft National Register of Historic Places nomination form must be attached as an appendix to the final report. The eligibility determination will be made by the NHHC upon review of the preliminary report that is to be submitted by the permit holder.
(a) Any person proposing to engage in an activity to document a sunken military craft utilizing remotely-operated or autonomously-operated equipment or collect data or samples from a wrecksite that would result in the wrecksite's disturbance but otherwise be minimally intrusive may apply for a special use permit. Any person proposing to engage in an activity that would disturb, remove, or injure a non-historic sunken military craft may apply for a special use permit.
(b) To request a special use permit application form, please refer to § 767.6(b) and (c) of this part. Special use permit applications must be sent to the Deputy Director, Naval History and Heritage Command, 805 Kidder Breese St. SE., Washington Navy Yard, Washington DC 20374-5060.
(1) A statement of the project's objectives and an explanation on how they would serve the NHHC's objectives stated in § 767.5 of this part;
(3) An analysis of the extent and nature of potential direct or indirect environmental impacts on the resources from permitted activities;
(5) Any permits or authorizations required by foreign, federal, state, tribal, or local law.
(1) The proposed activity is compatible with NHHC policies and in the case of non-historic sunken military craft is not opposed by consulted DoN parties;
(2) The activities carried out under the permit are conducted in a manner that is minimally intrusive and does not purposefully or significantly disturb, destroy or injure the sunken military craft or wrecksite;
(3) When applicable, the pilot(s) of remotely-operated equipment holds a commercial certificate of operation from a nationally-recognized organization;
(e) The permittee shall submit the following information subsequent to the conclusion of the permitted activity within an appropriate time frame as specified in the permit:
(2) Identification of any sensitive information that should be protected and withheld from public disclosure as detailed in § 767.9(g) of this part;
(f) The following additional sections of subpart B shall apply to special use permits: §§ 767.7(e); 767.9(a), (b), (c), (e), (f), (g), (I,) (j), and (k); 767.10(a), (b), and (c); 767.13; and 767.14 of this part.
(g) All sections of subpart A shall apply to special use permits and all sections of subpart C shall apply to special use permits pertaining to sunken military craft.
(h) Unless stipulated in the special use permit, the recovery of artifacts associated with any wrecksite is strictly prohibited.
§ 767.13
Permitted activities will be monitored to ensure compliance with the conditions of the permit. In addition to remotely monitoring operations, NHHC personnel, or other designated authorities, may periodically assess work in progress through on-site monitoring at the location of the permitted activity. The discovery of any potential irregularities in performance under the permit by NHHC on-site personnel, other designated authorities, or the permit holder, must be promptly reported to the NHHC for appropriate action. Adverse action may ensue as per § 767.14 of this part. Findings of unauthorized activities will be taken into consideration when evaluating future permit applications.
§ 767.14
The NHHC Deputy Director, or his/her designee may amend, suspend, or revoke a permit in whole or in part, temporarily or indefinitely, if in his/her view the permit holder has acted in violation of the terms of the permit or of other applicable regulations, or for other good cause shown. Any such action will be communicated in writing to the permit holder or the permit holder's representative and will set forth the reason for the action taken. The permit holder may request the Director of NHHC reconsider the action as per § 767.7(e) of this part.
§ 767.15
(1) The foreign government must assert its sovereign immunity over a specified sunken military craft or group of sunken military craft;
(b) Upon receipt and favorable review of a request from a foreign government, the Secretary of the Navy, or his or her designee, in consultation with the Department of State, will proceed to accept the specified sunken military craft or group of sunken military craft into the present permitting program. The Secretary of the Navy, or his or her designee, in consultation with the Department of State, reserves the right to decline a request by the foreign government. Should there be a need toformalize an understanding with the foreign government in response to a submitted request stipulating conditions such as responsibilities, requirements, procedures, and length of effect, the Secretary of State, or his or her designee, in consultation with the Secretary of Defense, or his or her designee, will proceed to formalize an understanding with the foreign government. Any views on such a foreign government request or understanding expressed by applicable federal, tribal, and state agencies will be taken into account.
(c) Persons seeking a permit to disturb foreign sunken military craft located in U.S. waters that have been accepted into the present permitting program or are covered under a formalized undertanding as per Sec. 767.15(b) of this section, may submit a permit application for consideration by the NHHC as per subparts B and C of this part.
(d) In the case where there is reasonable dispute over the sovereign immunity status of a foreign sunken military craft, the Secretary of the Navy maintains the right to postpone action on §§ 767.6 and 767.12 of this part, as well as requests under § 767.15(a) of this part, until the dispute over the sovereign immunity status is resolved.
(e) The Secretary of any military department or in the case of the Coast Guard, the Secretary of the Department in which the Coast Guard is operating, may request that the Secretary of the Navy administer a permitting program for sunken military craft under his or her cognizance. Upon the agreement of the Secretary of the Navy, subparts B and C of this part shall apply to those agreed upon craft.Subpart C Enforcement Provisions for Violations of the Sunken Military Craft Act and Associated Permit Conditions§ 767.16
Civil penalties for violation of Act or permit conditions.
§ 767.17
§ 767.18
(a) A NOVA will be issued by the Director of NHHC and served in person or by registered, certified, return receipt requested, or express mail, or by commercial express package service, upon the respondent, or in the case of a vessel respondent, the owner of the vessel. A copy of the NOVA will be similarly served upon the permit holder, if the holder is not the respondent. The NOVA will contain:
(3) The findings and conclusions upon which the Director of NHHC bases the assessment;
(c) Prior to assessing a civil penalty or liability for damages, the Director of NHHC will take into account information available to the Agency concerning any factor to be considered under the SMCA and any other information required by law or in the interests of justice. The respondent will have the opportunity to review information considered and present information, in writing, to the Director of NHHC. At the discretion of the Director of NHHC, a respondent will be allowed to present information in person.
§ 767.19
(a) Whenever this Part requires service of a document, such service may effectively be made on the respondent, the respondent's agent for service of process or on a representative designated by that agent for receipt of service. Refusal by the respondent, the respondent's agent, or other designated representative to be served, or refusal by his or her designated representative of service of a document will be considered effective service of the document as of the date of such refusal. Service will be considered effective on the date the document is mailed to an addressee's last known address.
(b) Any document served upon a respondent must be signed by:
(1) The person or persons serving the same; or
(2) Other person having authority to sign.
(c) A document will be considered served and/or filed as of the date of the postmark; or (if not mailed) as of the date actually delivered in person; or as shown by electronic mail transmission.
(d) Time periods begin to run on the day following service of the document or date of the event. Saturdays, Sundays, and Federal holidays will be included in computing such time, except that when such time expires on a Saturday, Sunday, or Federal holiday, such period will be extended to include the next business day. This method of computing time periods also applies to any act, such as paying a civil penalty or liability for damages, required by this part to take place within a specified period of time.
§ 767.20
(5) Take no action, in which case the NOVA becomes final in accordance with § 767.22(a) of this part.
(b) The respondent or permit holder may seek amendment, modification, orrescindment of the NOVA to conform to the facts or law as that person sees them by notifying the Director of NHHC in writing at the address specified in the NOVA. If amendment or modification is sought, the Director of NHHC will either amend the NOVA or decline to amend it, and so notify the respondent, permit holder, or vessel owner, as appropriate.
(c) The respondent or permit holder may, within the 45-day period specified in paragraph (a) of this section, request in writing an extension of time to respond. The Director of NHHC may grant an extension in writing of up to 30 days unless he or she determines that the requester could, exercising reasonable diligence, respond within the 45-day period.
(d) The Director of NHHC may, for good cause, grant an additional extension beyond the 30-day period specified in paragraph (c) of this section.
(f) If the respondent or permit holder desires a hearing, the request must be in writing, dated and signed, and must be sent by mail to the Director, Defense Office of Hearings and Appeals, 875 North Randolph St., Suite 8000, Arlington VA, 22203. The Director, Defense Office of Hearings and Appeals may, at his or her discretion, treat any communication from a respondent or a permit holder as a proper request for a hearing. The requester must attach a copy of the NOVA. A single hearing will be held for all parties named in a NOVA and who timely request a hearing.
§ 767.21
(b) In any DOHA hearing held in response to a request under § 767.20(f) of this part, the Administrative Judge will render a final written Decision which is binding on all parties.
§ 767.22
If no request for a hearing is timely filed as provided in § 767.20(f) of this part, the NOVA becomes effective as the final administrative decision and order of the Agency on the 45th day after service of the NOVA or on the last day of any delay period granted.
§ 767.23
(a) Respondent must make full payment of the civil penalty, enforcement costs and/or liability for damages assessed within 30 days of the date upon which the assessment becomes effective as the final administrative decision and order of the Agency. Payment must be made by mailing or delivering to the Agency at the address specified in the NOVA a check or money order made payable in U.S. currency in the amount of the assessment to the “Treasurer of the United States,” or as otherwise directed.
(b) Upon any failure to pay the civil penalty, enforcement costs and/or liability for damages assessed, the Agency may request the Department of Justice to recover the amount assessed in any appropriate district court of the United States, or may act under any law or statute that permits recovery, arrest, attachment, or garnishment of property and/or funds to satisfy a debt owed to the United States.
(a) The Director of NHHC, in his/her sole discretion, may compromise, modify, remit, or mitigate, with or without conditions, any civil penalty or liability for damages imposed, or which is subject to imposition, except as provided in this Subpart.
(b) The compromise authority of the Director of NHHC under this section is in addition to any similar authority provided in any applicable statute or regulation, and may be exercised either upon the initiative of the Director of NHHC or in response to a request by the respondent or other interested person. Any such request should be sent to the Director of NHHC at the address specified in the NOVA.
(c) Neither the existence of the compromise authority of the Director of NHHC under this section nor the Director's exercise thereof at any time changes the date upon which an assessment is final or payable.
§ 767.25
(b) The Director of NHHC may, in consideration of a respondent's ability to pay, increase or decrease a penalty from an amount that would otherwise be warranted by other relevant factors. A penalty may be increased if a respondent's ability to pay is such that a higher penalty is necessary to deter future violations, or for commercial violators, to make a penalty more than the profits received from acting in violation of the SMCA, or any regulation or permit issued thereunder. A penalty may be decreased if the respondent establishes that he or she is unable to pay an otherwise appropriate penalty amount.
(c) Except as provided in paragraph (d) of this section, if a respondent asserts that a penalty should be reduced because of an inability to pay, the respondent has the burden of proving such inability by providing verifiable, complete, and accurate financial information to the Director of NHHC. The Director of NHHC will not consider a respondent's inability to pay unless the respondent, upon request, submits such financial information as the Director of NHHC determines is adequate to evaluate the respondent's financial condition. Depending on the circumstances of the case, the Director of NHHC may require the respondent to complete a financial information request form, answer written interrogatories, or submit independent verification of his or her financial information. If the respondent does not submit the requested financial information, he or she will be presumed to have the ability to pay the penalty.
(1) Financial information relevant to a respondent's ability to pay includes, but is not limited to, the value of respondent's cash and liquid assets and non-liquid assets, ability to borrow, net worth, liabilities, income, prior and anticipated profits, expected cash flow, and the respondent's ability to pay in installments over time. A respondent will be considered able to pay a penalty even if he or she must take such actions as pay in installments over time, borrow money, liquidate assets, or reorganize his or her business. The Director of NHHC's consideration of a respondent's ability to pay does not preclude an assessment of a penalty in an amount that would cause or contribute to the bankruptcy or other discontinuation of the respondent's business.
(2) Financial information regarding respondent's ability to pay should besubmitted to the Director of NHHC as soon after receipt of the NOVA as possible. In deciding whether to submit such information, the respondent should keep in mind that the Director of NHHC may assess de novo a civil penalty, enforcement costs and/or liability for damages either greater or smaller than that assessed in the NOVA.
§ 767.26
§ 767.27
(a) NHPA of 1966, as amended, 16 U.S.C. 470 et seq. (1999), and Protection of Historic Properties, 36 CFR part 800. These regulations govern the section 106 review process established by the NHPA.
(b) National Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321 et seq., and Protection of the Environment, 40 CFR 1500-1508. These regulations require agencies to consider the effects of their actions on the human environment.
(c) Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation, available at http://www.cr.nps.gov/local-law/arch_stnds_0.htm. These guidelines establish standards for the preservation planning process with guidelines on implementation.
(d) ARPA of 1979, as amended, 16 U.S.C. 470aa-mm, and the Uniform Regulations, 43 CFR part 7, subpart A. These regulations establish basic government-wide standards for the issuance of permits for archaeological research, including the authorized excavation and/or removal of archaeological resources on public lands or Indian lands.
(j) Naval History and Heritage Command Instruction 5510.4. (NAVHISTCENINST 5510.4, 14 December 1995). Subject: Disclosure of Information from the Naval Shipwreck Database.
Commander, Office of the Judge Advocate General, U.S. Navy,Federal Register Liaison Officer.
[FR Doc. 2013-31068 Filed 1-3-14; 8:45 am]BILLING CODE 3810-FF-P
Attachments View All (0) View document: No documents available. Attachments View All (0) Comment Now! Comment Period Closed Mar 7 2014, at 11:59 PM ET ID: USN-2011-0016-0001 Tracking Number: View original printed format: Document Information Date Posted: Jan 6, 2014RIN: 0703-AA90CFR: 32 CFR Part 767Federal Register Number: 2013-31068 Show More Details Submitter Information Comments51 Comments Received* See Attached View Comment Once again, Professor Neyland, under cover of darkness tries to paralyze a complete legitimate industry with weasel wording and administrative double-speak... View Comment As a former Mayor, and 14 year elected official, I am always embarrassed by governments' continual attempts to suppress what private citizens, small business... View Comment Docket Information This document is contained in USN-2011-0016 Related Dockets: NoneRelated RINs: NoneRelated Documents: Guidelines for Permitting Archaeological Investigations and... Related Comments: View all * This count refers to the total comment/submissions received on this document, as of 11:59 PM yesterday. Note: Agencies review all submissions, however some agencies may choose to redact, or withhold, certain submissions (or portions thereof) such as those containing private or proprietary information, inappropriate language, or duplicate/near duplicate examples of a mass-mail campaign. This can result in discrepancies between this count and those displayed when conducting searches on the Public Submission document type. For specific information about an agency’s public submission policy, refer to its website or the Federal Register document. Document text and images courtesy of the Federal Register Home Search Advanced Search Browse By Category Learn About Us eRulemaking Program Media Toolkit Agencies Awards & Recognition Enhancements & Fixes Resources Site Data Regulatory Agenda Agency Reports Required by Statute API Overview Developers Help How to use Regulations.gov FAQs Glossary Connect With Contact Us Privacy and Security Notice User Notice Accessibility Statement Partner Sites We the People Federal Register Reginfo Congress.gov USA.gov E-Gov Opengov Participate Today!