As part of its role, BOEM also issues permits for geological and  geophysical data acquisition on the OCS, including seismic surveys,  under the Outer Continental Shelf Lands Act and regulations under the  act. BOEM does not have statutory review time frame requirements for  issuing geological and geophysical seismic survey permits. Entities whose  seismic survey activities may result in incidental take of marine mammals  obtain an incidental take authorization from NMFS or FWS, or both,  depending on the affected species. The MMPA  provides that NMFS or FWS shall issue incidental harassment  authorizations within 120 days of receiving an application. Both NMFS and FWS Did Not Accurately Record Certain Review Dates Because Neither Agency’s Guidance Sufficiently Describes How to Record Such Dates

From 2011 through 2016, NMFS did not accurately record the dates on  which it determined applications to be adequate and complete, and FWS  did not record those dates at all; therefore, it is not possible to determine  NMFS and FWS time frames for reviewing incidental take authorization  applications. Based on our review of NMFS data, in at  least two cases, the date NMFS recorded for the determination of  adequacy and completeness of an application was after the date when  the proposed incidental take authorization was published in the Federal  Register. This  outcome is inconsistent with federal internal control standards, which call  for management to use quality information to achieve agency objectives  and design control activities, such as accurate and timely recording of  transactions, to achieve objectives and respond to risk. Without analyzing how long it takes to review incidental  harassment authorization applications, from the date the agency  determines that an application is adequate and complete until the date an  application is approved or denied, and comparing it to the statutory review  time frame, NMFS and FWS will be unable to determine whether they are  meeting their objectives of completing reviews within the statutory time  frame of 120 days. Conclusions

Offshore seismic surveys provide federal agencies and commercial  entities with a wide range of information, including data on fault zones  and geology that may indicate the presence of oil and gas. Until NMFS and FWS develop guidance that clarifies how and when  staff should record the date the agency determines the “adequacy and  completeness” of an application, the agencies and applicants will  continue to have uncertainty around review time frames for incidental take  authorizations. The Department of Commerce provided comments on behalf of the  National Marine Fisheries Service (NMFS). The Department of the Interior provided comments on behalf of the  Bureau of Ocean Energy Management (BOEM) and the U.S. Fish and  Wildlife Service (FWS). Appendix I: Objectives, Scope, and Methodology

This report examines (1) BOEM’s process for reviewing seismic survey  permit applications in each OCS region, the number of applications  reviewed from 2011 through 2016, and BOEM’s review time frames; (2)  NMFS’s and FWS’s processes for reviewing incidental-take authorization  applications related to seismic surveys in each OCS region, the number  of such applications reviewed by the agencies from 2011 through 2016,  and their review time frames; and (3) the status of pending seismic survey  permit applications and related incidental take authorizations in the  Atlantic OCS region. To examine the review time frames for seismic survey permit applications  and related incidental take authorizations from 2011 through 2016, as  well as pending applications, and the extent to which NMFS and FWS are  meeting their statutory time frames for reviewing incidental harassment  authorization applications related to seismic survey permits, we obtained  data from BOEM, NMFS, and FWS.
Why GAO Did This Study

Offshore seismic surveys provide federal agencies and other entities with a wide range of data, from research on fault zones to geology that may indicate the presence of oil and gas. Companies seeking to conduct such surveys to find oil and gas resources in the OCS must obtain a permit from BOEM—which oversees offshore oil and gas activities. Man-made sources of ocean noise, such as seismic surveys, may harm marine mammals. Entities whose activities may cause the taking of marine mammals, which includes harassing or injuring an animal, may obtain incidental take authorizations for seismic surveys from NMFS or FWS, depending on the potentially affected species.
GAO was asked to provide information on the seismic permitting process. This report examines (1) BOEM's review process, the number of permit applications reviewed from 2011 through 2016, and its review time frames; and (2) NMFS's and FWS's review process, the number of incidental take authorization applications reviewed from 2011 through 2016, and their review time frames, among other objectives. GAO reviewed laws and regulations and agency documents, analyzed data on applications to BOEM, NMFS, and FWS, and interviewed agency officials.

What GAO Found

The Department of the Interior's Bureau of Ocean Energy Management's (BOEM) process and time frames for reviewing seismic survey applications differ by region along the Outer Continental Shelf (OCS). From 2011 through 2016, BOEM reviewed 297 applications and issued 264 seismic survey permits, and the reviews' time frames differed by region (see table). As part of the process, BOEM may require approved “incidental take” authorizations from the Department of Commerce's National Marine Fisheries Service (NMFS) or Interior's U.S. Fish and Wildlife Service (FWS), given the possibility such surveys may disturb or injure marine mammals. BOEM does not have statutory review time frame requirements for issuing permits, and officials said the agency starts its formal review once it determines that an application is complete. In some cases, the agency issued a permit on the same day it determined an application was complete.
NMFS and FWS follow a similar general process for reviewing incidental take authorization applications related to seismic survey activities. From 2011 through 2016, NMFS and FWS reviewed 35 and approved 28 such applications across the three OCS regions, including some authorizations related to BOEM permits as well as research seismic surveys not associated with BOEM permits. NMFS was unable to provide accurate data for the dates the agency determines an application is adequate and complete—and FWS does not record this date. For example, based on GAO's review of NMFS data, in at least two cases, the date NMFS recorded the application had been determined adequate and complete was after the date when the proposed authorization was published in the Federal Register . Federal internal control standards call for agencies to use quality information. Without guidance on how to accurately record review dates, agencies and applicants will continue to have uncertainty around review time frames. Further, under the Marine Mammal Protection Act, the agencies are to review one type of incidental take authorization application—incidental harassment authorization applications—within 120 days of receiving an application for such authorizations. NMFS and FWS have not conducted an analysis of their review time frames. Not conducting such an analysis is inconsistent with federal internal control standards that call for agency management to design control activities to achieve objectives and respond to risks. Without analyzing the review time frames for incidental harassment authorization applications and comparing them to statutory review time frames, NMFS and FWS are unable to determine whether they are meeting their objectives to complete reviews in the 120-day statutory time frame.

What GAO Recommends

GAO is recommending that both NMFS and FWS develop guidance clarifying how and when staff should record review dates of incidental take authorization applications and analyze how long the reviews take. NMFS agreed and FWS partially agreed with our recommendations.