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Archaeological and Historic Resources in Project Management
Section 106 of the National Historic Preservation Act
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The National Historic Preservation Act of 1966, As Amended
1. Consider the effects your undertaking (project) has on historic resources.
2. Give the Advisory Council on Historic Preservation an opportunity to comment.
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NHPA – In Brief
1.How to consider Effects?
A. Is it an undertaking?– Project activity or program
funded in whole or in part under the direct or indirect jurisdiction of a Federal agency
Carried out on behalf of a Federal agency Carried out with Federal financial assistance Requiring a Federal permit, license, or approval Subject to State or Local regulation delegated by a
Federal Agency
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NHPA – In Brief
B. Who’s involved?– Other Federal authorities, such as FHWA– Appropriate State Historic Preservation Officer
(SHPO) or Tribal Historic Preservation Officer (THPO)
– Other consulting parties– The public
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NHPA – In Brief
C. Identify Historic Properties (districts, sites, buildings, structures, and objects that are listed or eligible for listing in the National Register of Historic Places)– Define the Area of Potential Effect– Identify or inventory for historic properties– Evaluate significance and integrity
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NHPA – In Brief
D. Assess Effects
– Does the undertaking have an effect on historic resources? Yes or No
– Is that effect adverse? Yes or No
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NHPA – In Brief
E. Resolve Adverse Effects
– Revise undertaking to avoid adverse effects– Consult on how to resolve adverse effects– Bind commitments into a Memorandum of
Agreement
Remember: Consultation does not always mean agreement.
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NHPA – In Brief
2. Council opportunity to comment
– Section 106 built around consultation– SHPO generally acts as ACHP’s agent– Council gets involved:
• On its own initiative
• At the request of a federal agency
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USFWS, FHWA, and Roads
Whose project sets the respective roles
– If FHWA is lead Federal agency, then USFWS is a consulting party if the project goes through a refuge or Federal land
– If USFWS is lead Federal agency, then FHWA might or might not be a consulting party
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FHWA as Lead Federal Agency
FHWA is not a land-owning or managing agency
FHWA tends to be effect-driven in 106 application
NEPA is the umbrella legislation FHWA emphasizes avoidance, minimization,
and mitigation in that order
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FHWA as Lead Federal Agency
FHWA has 4(f) requirements – see handout FHWA usually relies heavily on state DOT for
expertise and work effort Each FHWA division sets own protocols FHWA Division or State DOT usually has
Cultural Resources expert as point of contact
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USFWS as Lead Federal Agency
You have land managing responsibilities Section 110 responsibilities Desirable to inventory lands in advance of
projects.
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How to do Section 106 Better
• There is enormous flexibility in Section 106
– Level of effort should be commensurate with impacts
– Combine steps where possible– Work programmatically
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How to do Section 106 Better
• Flip side of flexibility– Section 106 is a process, not a permit– A flexible process is complicated
Recommendation: Use the expertise of cultural resource professionals who understand Section 106
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How to do Section 106 Better
Set the Area of Potential Effect (APE)
Define the project early– Early scoping allows interaction with design team– Early scoping sets workable schedule
Define the project precisely– Use professional expertise– Include staging and borrow and waste areas
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How to do Section 106 Better
• Effective Background Research
– Historic Contexts– Archaeological predictive models/sensitivity
models– Use existing databases, such as CRGIS
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How to do Section 106 Better
Work Programmatically
– Use programmatic agreements (PA) to exempt activities
– Use PA’s to collapse steps– Use PA’s to get delegation on decision-making– Focus on the mundane, not the rare example
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How to do Section 106 Better
Role of the SHPO
– The SHPO’s role is to advise, not to permit– Consultation requires discussion, not agreement– Except for eligibility, Federal Agency has last
word
Remember: Cultivate a good working relationship with SHPO based on mutual understanding of roles and trust.
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How to do Section 106 Better
Public involvement under 106 and NEPA
– 36CFR800 allows use of NEPA public involvement to satisfy requirements under Section 106
– Consulting parties could be other agencies, local historical groups, Tribes, landowners.
– Level of effort to find/involve consulting parties is commensurate with nature of projects and impacts
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How to do Section 106 Better
Federally recognized Tribes
– Government-to-government relationship– Find out which tribes were ancestral to area
beyond current tribal lands– Relationship-building is key
• Requires patience and trust-building– Earth-disturbing activities tend to be what triggers
interest– Work toward establishing protocol as letter of
understanding or MOA for consultation
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How to do Section 106 Better
Archaeology and Avoidance
– Impacts usually confined to project’s area of ground disturbance
– Explore less-disturbing vegetation clearance methods (cutting flush versus grubbing)
– Geotextile and file as temporary or permanent avoidance
– Site burial under asphalt might not be adverse effect
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Section 4(f)
Applies only to USDOT Transportation projects
Definition of use, which includes use of refuge lands, as well as historic properties
Alternatives that avoid use Test of prudent and feasible for viable
alternative
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Concluding Main Points
1. Work with available experts on cultural resources
- USFWS staff- FHWA or state DOT staff- SHPO staff- Consultants
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Concluding Main Points
2. Establish project definition, APE, and scope of needed work early
- Use cultural resource experts to define APE
3. Use the flexibility inherent in Section 106, including effect-driven approaches
4. Work programmatically5. Complete cultural resource inventories in
advance of projects.