xvEPA
United States
Environmental Protection
Agency
Advisory Control
On Historic
Preservation
National Council Of
State Historic Preservation
Officers
(A-104)
(WH-547)
20E-4001
Programmatic Agreement
On Historic Preservation
for the State Revolving Fund
Printer1- Beveled Paper
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Contents
Attachment 1.
Attachment 2.
Attachment 3.
Programmatic Agreement on
Historic Preservation
40CFR Part 35: State Revolving Fund
Program Regulations
36 CFR Part 800: Protection of
Historic Properties
Notice: Archelogy And Historic Preservation:
Secretary of the Interior's Standards
and Guidelines
Attachment 4. Identification of Historic Properties
Attachment 5. Public Participation In Section 106 Review:
A Guide for Agency Officials
Attachment 6. SRF AGENCY/SHPO Coordination
Attachment 7. Miscellaneous References
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Programmatic
Agreement
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(EPA) PW-95934563-0
PROGRAMMATIC AGREEMENT
AMONG
THE ENVIRONMENTAL PROTECTION AGENCY,
THE ADVISORY COUNCIL ON HISTORIC PRESERVATION, AND
THE NATIONAL CONFERENCE OF STATE HISTORIC
PRESERVATION OFFICERS
CONCERNING COMPLIANCE WITH
THE NATIONAL HISTORIC PRESERVATION ACT
UNDER
EPA'S STATE WATER POLLUTION CONTROL REVOLVING FUND PROGRAM
WHEREAS, the .U.S. Environmental Protection Agency (EPA)
awards capitalization grants to States to establish State
Revolving Fund (SRF) programs within State Agencies (each
hereinafter referred to as "SRF Agency") authorized under the
Clean Water Act (CWA) (33 U.S.C. 1251 et. seg., as amended); and
WHEREAS, the EPA has issued Initial Guidance for the SRF
program (January 1988), Appendix D of which (Attachment 1)
contains criteria for approval of State Environmental Review
Processes (SERPs); and
WHEREAS, Sections 106 and 110(b), (d) and (f) of the
National Historic Preservation Act (NHPA) (16 U.S.C. 470f and
470h-2(b), (d), and (f)) apply to all SRF assistance directly
made available to States by federal capitalization grants (EPA
federal assistance); and
WHEREAS, projects carried out with EPA federal assistance
may have effects on properties included in, or eligible for
inclusion in, the National Register of Historic Places (historic
properties); and
WHEREAS, the EPA has consulted with the Advisory Council on
Historic Preservation (Council) and the National Conference of
State Historic Preservation Officers (NCSHPO) pursuant to Section
800.13 of the regulations (36 CFR Part 800, et seq.) implementing
Sections 106 and 110(f) of the NHPA;
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NOW, THEREFORE, the EPA, the Council, and the NCSHPO agree
that the SRF program shall be administered in accordance with the
following stipulations, which will be deemed to satisfy EPA's
Section 106 and 110(f) responsibilities for all EPA SRF program
actions and SRF Agency program actions undertaken with EPA
federal assistance.
Stipulations
EPA will ensure that the following measures are carried out:
1. purpose and Applicability.
(a) This Programmatic Agreement [PA] sets forth the
process by which EPA will meet its responsibilities under
Sections 106 and 110(d) and 110(f) of the NHPA with the
assistance of SRF agencies. As such, it sets forth the basis for
SRF Agency review of individual projects that may affect historic
properties, find establishes how EPA will be involved in such
review.
(b) This PA is applicable to the review of CWA Section 212
(wastewater treatment facilities), 319 (non-point source
pollution control) and 320 (estuary protection) projects that
receive EPA federal assistance under an SRF Agency's program.
2. Responsibilities of EPA and SRF Agencies.
In compliance with its responsibilities under the NHPA and
as a condition of its award of any capitalization grant to a
State, EPA shall require that the SRF Agency or another
ue5j.gnatcd State agency carry cut tlie jTcCfujujrciueivts of 36 CFR
800.4 through 800.6, with reference to 36 CFR 800.1, 800.2,
800.3, 800.8, 800.9, 800.10, 800.11, 800.12 and 800.14 (see 36
CFR Part 800, Attachment 2) and applicable Council standards and
guidelines for all SRF Agency actions that receive EPA federal
assistance. EPA will participate in the process to the extent
mutually agreed upon by the EPA Regional Administrator and the
SRF Agency, but at a minimum, EPA must be notified by the SRF
Agency if after routine consultation or coordination with the
State Historic Preservation Officer (SHPO) disputes remain
pursuant to stipulation 15.
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3_. Use of SRF Certification Reviews and Annual Reviews.
(a) Certification reviews. EPA will review, or re-review
as may be necessary, the certification each State is required to
provide as a part of its initial application for SRF
capitalization grant funding to ensure that:
(1) The State has the authority and capability to carry out
the responsibilities assigned to the SRF Agency as described in
this PA; and
(2) The SRF Agency will carry out such responsibilities.
(b) Programmatic coordination and consultation. Whenever
an EPA Regional Administrator prepares for an annual review of an
SRF Agency's program, the EPA Regional Administrator will afford
the appropriate SHPO and the Council the opportunity to comment
on their experiences with EPA's and the SRF Agency's execution of
their respective responsibilities assigned under this PA and the
SRF capitalization grant agreement, and shall consider such
comments in the conduct of its annual review. If problems are
reported witlji the execution of responsibilities under this PA,
the EPA will consult with the SHPO or the Council and other
interested persons if appropriate, and if mutually agreed that
participation is necessary, the EPA will invite the SHPO or the
Council to participate directly in the EPA's annual review on SRF
program matters involving their jurisdiction or expertise.
(c) Annual reviews. (1) During each annual review of an
SRF Agency's program, the EPA Regional Administrator will ensure
that the SRF Agency is using:
(i) adequate expertise to carry out its responsibilities
consistent with the professional qualifications standards found
in the "Secretary of ..the Interior's Standards and Guidelines for
Archeology and Historic Preservation" (48 FR 44738-9) (Attachment
3);
(ii) effective mechanisms for carrying out the
responsibilities assigned to it under the capitalization grant
agreement, in accordance with this PA, including those assigned
pursuant to stipulation 2 above;
(iii) effective mechanisms for identifying historic
properties subject to potential effect by SRF Agency actions
using EPA federal assistance, taking into account the Council's
publication: "Identification of Historic Properties: a
Decisionaaking Guide for Managers" (1988) (Attachment 4);
(iv) effective procedures for involving interested parties
and the public in the review process taking into account the
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Council publication: "Public Participation in Section 106
Review: A Guide for Agency Officials" (1989) (Attachment 5); and
(v) effective mechanisms for avoiding, minimizing, or
mitigating adverse effects on historic properties.
(2) The EPA will further ensure that deficiencies noted in
carrying out of responsibilities under this PA and
capitalization grant agreement (including any alternative review
process contained in an approved SERP), as a result of oversight
provided by the Council, SHPO and EPA's annual reviews, are
remedied or effectively rebutted with appropriate documentation.
Notification of deficiencies, suggested remedies affecting the
work of the SRF Agency, and proposed EPA action (if any), shall
be included in the report sent to the:SRF Agency at the
conclusion of an annual review. If the report identifies
deficiencies, remedies or actions concerning NHPA compliance, a
copy of those portions of the report will be sent to the
appropriate SHPO and the Council.
4. state/SHPO Consultation/Coordination.
!
The Regional Administrator will ensure that a State's
capitalization grant agreement provides consultation and
coordination between the SRF Agency and the SHPO that is
consistent with 36 CFR 800.4, 800.5, and 800.14, and with the
guidance outlined in Attachment 6. i
5. Dispute Resolution.
(a) Either the SRF Agency or the SHPO may, at its own
discretion, request that the EPA Regional Office and/or the
Council participate in the review of individual SRF projects or
assist in resolving disputes that may arise between the two
State agencies. The EPA and the Council will participate in
reviewing and assisting the State agencies if so requested, and
may participate at their own discretion, when significant -issues
are raised from other sources, without such a request.
(b) In situations where disagreements among the SRF Agency
and SHPO cannot be resolved in consultation with either the EPA
Regional Office or the Council, the EPA will be responsible for
resolving the dispute in consultation with the Council in
accordance with 36 CFR 800.4 through 800.6 as applicable.
6. Applicable Guidance.
(a) Implementation of this PA will be guided by Attachments
1 through 6 and such program guidance or regulations as EPA may
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issue subsequently, and the applicable regulations, standards,
guidelines and explanatory bulletins of the Council and the
Department of the Interior.
(b) In consultation with SRF Agencies and the NCSHPO, the
EPA and Council may from time to time jointly develop and provide
SRF Agencies and SHPOs with additional guidance or training.
7. Distribution.
Following the Council's publication of the required notice
of an approved PA in the Federal Register, EPA will distribute
copies of this PA and its attachments to all EPA Regional SRF and
National Environmental Policy Act (NEPA) Coordinators, SRF
Agencies, SHPOs, and requesting parties.
8.
Amendment.
Any party to this PA may request that it be amended,
whereupon the parties will consult pursuant to 36 CFR 800.13 to
consider such amendment.
9.
Terminatii
on.
Any party to this PA may terminate it by providing ninety
(90) days notice to the other parties, provided that the parties
will consult during the period prior to termination to seek
agreement on amendments or other actions that would avoid
termination. In the event of termination, the EPA will ensure
compliance with 36 CFR 800.4 through 800.6 with regard to
individual undertakings covered by this PA.
Execution of this PA, and carrying out its terms, evidences
that the EPA has satisfied its Section 106 and 110(f)
responsibilities under the NHPA for Title VI of the CWA.
IST4JRIC PRESERVATION
Date:
f
'ECTION AGENCY
•*-t-
Date:.
By:
Director, Of f ,i64 of "Municipal pollution Control
NATIONAL CON
STORIC PRESERVATION
Date*
President
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Attachment 1
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Monday
March 19, 1990
Part III
Environmental
Protection Agency
40 CFR Part 35
State Revolving Fund Program
Implementation Regulations; Rule
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10176 Federal Register / Vol. 55. No. 53 / Monday, March 19. 1990 / Rules and Regulations
ENVIRONMENTAL PROTECTION
AGENCY
40CFRPart35
[FRL-3677-5]
RIN 204O-AB64
State Revolving Fund Program
Implementation Regulations
AGENCY: Environmental Protection
Agency.
ACTION: Interim rule with request for
comments.
SUMMARY: This interim rule implements
the State water pollution control
revolving fund capitalization grant
program. The program, under which the
Environmental Protection Agency (EPA)
awards grants to States to capitalize
funds that will provide assistance fer
water pollution control purposes, was
established in the Water Quality Act of
1987 as a new title VI to the Clean
Water Act. .
DATES: This interim rule is effective
March 19,1990. Comments must be
received on or before May 18,1990.
ADDRESSES: Comments may be mailed
to Geoffrey Cooper. Office of Municipal
Pollution Control (WH-546).
Environmental Protection Agency, 401 M
Street. SW., Washington, DC 20460.
FOR FURTHER INFORMATION CONTACT
Geoffrey Cooper (202/382-2287).
SUPPLEMENTARY INFORMATION:
Table of Contents
1. Statutory Authority
II. Purpose
III. The SRF Capitalization Grant Program of
Title VI (40 CFR 35, Subpart K)
IV. SRF Program Implementation
V. Major Matters in this Rule
A. Payments and cash draws (40 CFR
35.3155 and .15.3160)
B. Refinancinc 140 CFR 35.312n(h)!
C. State Match (40 CFR 35.3135(b!l
D "First Use" Requirements (40 CFR
35.3135(6))
CFR 35.3140)
F. Cross-cutting Authorities (40 CFR
35.3145)
VI. Regulation Development
A. Regulatory Impact Analysis
B. Regulatory Flexibility Act
C. Paperwork Reduction Act
I. Statutory Authority
This interim rule implements section
205(m) and title VI of the Federal Water
Pollution Control Act (33 U.S.C. 1285(m)
and 33 U.S.C. 1381-1387). which is
commonly known as the Clean Water
Act (the Act). Title VI was established
in the Act by the Water Quality Act of
1987 (the Amendments; Pub. L. 100-»).
Under section 501(a) of the Act. the
Administrator of the Environmental
Protection Agency (EPA) is authorized
to "Prescribe such regulations as are
necessary to carry out his functions .
under (the) Act." 33 U.S.C. 1361(a).
II. Purpose
Under the newly .created title VJ'of the
Clean Water Act, qualifying States-will
be awarded grants by the EPA to
establish and capitalize State water
pollution control revolving funds (SRFs).
From these funds, the States may
provide loans and other forms of
assistance, but may not provide grants.
for (1) wastewater treatment facility
construction, (2) implementation of
nonpoint source management programs.
and (3) development and
implementation of estuary conservation
and management plans.
In developing this regulation to
implement the provisions of title VI,
EPA has attempted to identify all the
major program requirements applicable
to the SRF program. To that end, this
regulation includes items required by
the statute and those additional
minimum program requirements that
EPA considers necessary for effective
program management. Administrative
requirements applicable to all EPA
assistance agreements are contained in
EPA's general assistance regulations at
40 CFR part 31 and debarment and
suspension regulations at 40 CFR part
32.
Mote.—Previous drafts of these regulations.
which have been informally reviewed by
Agency and State personnel, began al-tOCFR
35.4000 and ended with 40 CFR 35.40X0.
Because the 5 35.4000 series is already
occupied, the numbering scheme has been
changed. These regulations now begin at40
CFR 35.3100 and end at 40 CFR 35.3170. Also.
the numbering sequence, which in previous
.draft was divided by 10. is now divided by 5
to eliminate H level of subparagraphs.
ill. The SKF Capitalization Grant
Program of Title VI (40 CFR 35. Subpart
K)
The new title VI of the Act authorizes
EPA to award capitalization grants to
States that have established SRFs that
comply with the requirements of title VI.
The States must also contribute to the
capitalization of their SRFs by
depositing State monies equaling at
least 20 percent of each grant payment.
From these funds the States may
provide loans and other types of
financial assistance, but may not
provide grants, to local communities.
intermunicipal, interstate and State
agencies for the contribution of publicly
owned wastewater treatment facilities,
and to eligible recipients for
implementation of the new nonpoint
source pollution control program-end for
development and implementation of
•estuary protection plans.
Congress anticipated that most of the
financial assistance provided by the
'SRFs would be in the form of loans:
Loan repayments would then provide a
•continuing source of capital for States to
make additional assistance available to
localities and other eligible recipients
Tor water.pollution control facilities and
programs.
The SRF capitalization grants program
is fundamentally different from the
established construction grants
programs. In the construction grants
program EPA awards grants directly to
municipalities for the Federal share of
eligible costs of treatment work
construction. The program is Federally
administered and most of the program
activities are conducted by the States
under delegation agreements. The
Federal role in the capitalization grants
program is limited to program-level
grants-making and review. Each SRF is
to.be administered and operated by the
State, with minimal Federal
requirements imposed on its structure.
IV. SRF Program Implementation
At least three major objectives are
apparent in the language and the
legislative history of title VI. Congress
devised the SRF capitalization grant
program to enable States to quicken the
pace of wastewater treatment facility
construction in order to meet the
enforceable requirements of the Clean
Water Act, to increase the emphasis on
nonpoint source pollution control and
•the protection of estuaries and to
facilitate the establishment of
.permanent institutions in each State thai
•would provide continuing sources of
financing needed to maintain water
quality. EPA intends to achieve these
objectives by implementing the program
pursuant to this rule.
•Before this rule was promulgated, the
SRF capitalization grant program was
implemented in accordance with the
requirements set forth in the Initial
Guidance for State Revolving Funds.
The Initial Guidance was signed by the
Assistant Administrator for Water and
January 28,1988 and made available to
the public by the Agency on February 2.
1988 (53 FR 2887). A supplementary
.memorandum to the Initial Guidance
was signed by the Assistant
Administrator for Water on September
30.1988 and issued to the Agency's
Regional offices and appropriate State
agencies. Program requirements
•contained in these two documents are
superseded by these regulations.
'The Initial Guidance, the SRF
Management Manual and other
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Federal Register / Vol. 55. No. 53 / Monday. March 19. 1990 / Rules and Regulations 10177
memoranda such as periodic question
fend answer documents, and model
(agreements and reports, will provide
guidance on SRF program
implementation. State specific details
regarding the operation of revolving
loan fund programs will be developed
between the States and EPA Regional
Offices during the capitalization grant
agreement process.
Shortly after enactment of the 1987
Amendments, the Agency convened a
workgroup to prepare a Concept Paper
outlining an approach to implementation
of the new program. Regional personnel,
personnel from other Federal agencies
such as the Treasury Department.
representatives of State environmental
protection agencies and municipal
interests participated on the workgroup
preparing the Concept Paper and, later,
the draft of the Initial Guidance. The
Concept Paper was made available for
public comment on April 8,1987 (52 FR
12249). Through the late spring and early
summer of 1987, the workgroup analyzed
comments on this document and began
preparing the draft Initial Guidance,
which was also issued for public
comment on September 4,1987 (52 FR
33643).
The Agency then analyzed the
public's response to the implementation
^approach reflected in the draft Initial
'Guidance Nearly half of the response
were from the State agencies that will
administer the program. Other
respondents included municipalities and
municipal interests, financial firms and
engineers. Issues raised were resolved
and incorporated in the final Initial
Guidance, which forms the basis for
these interim regulations. Several of the
key provisions in the regulations are
discussed below.
V. Major Matters in this Rule
A. Payments and cash draws (40 CFR
35.3155 and 4O CFR 35.3160)
The payments issue received the most
attention throughout the development of
the Initial Guidance. For each
capitalization grant, the Agency will
make payments by increasing die
amount of funds available for cash draw
in a letter of credit (LOC). These
payments will be made quarterly
according to a payment schedule
negotiated between the Regional office
and the State. The State wUl draw cash
under the letter of credit according to
rules applicable to each form of
assistance.
By making grant amounts available in
keeping with the State's binding
commitments and by permitting cash
draws from the LOC at the time
construction costs or other eligible costs
are incurred, the letter of credit
mechanism will enable States to
effectively operate SRF programs, and to
use the fund for any purpose permitted
by the Act while enabling the Federal
government to manage outlays
efficiently.
With its first capitalization grant, the
State must submit a schedule of
estimated quarterly disbursements from
the grant for the year following the grant
award date. At the end of the third
quarter of each Federal fiscal year
thereafter, the State must submit a
schedule of estimated quarterly
disbursements for the following Federal
fiscal year. If the State anticipates that
actual quarterly disbursements may
deviate significantly (by more than ten
percent) from the estimated amounts, it
must notify the Agency.
B. Refinancing (40 CFR 35.3120(b))
In addition to loans and other forms of
assistance, title VI authorizes an SRF to
refinance local "debt obligations
incurred after March 7,1985," the date
on which the Water Quality Act was
introduced in the Senate. The statutory
language does not indicate whether a
community must have commenced
construction after that date as well.
However, the legislative history of this
provision indicates that Congress was
seeking to spur construction of needed
projects while title VI was being
considered, and not to encourage
communities to refinance construction
that had been completed or that was
underway on that date Therefore, an
SRF may refinance debt where that debt
was incurred and building began after
March 7.1985.
Projects that began between March 7,
1985 and the issuance of the Initial
Guidance on January 28,1988 must
comply with the requirements of title VI
in order to be eligible for refinancing.
For example, if a State wishes to count
the costs of refinancing a project toward
satisfaction of title II requirements in
section 602(b)(5), that project must have
undergone an environmental review that
conformed generally with the National
Environmental Policy Act Projects that
began after the Initial Guidance was
issued but before the effective date of
this rule must comply with the statutory
requirements and with any additional
requirements in the Initial Guidance.
Projects that begin after the effective
date of this rule must meet all of its
requirements.
C. State Match (40 CFR 35.3135(b)}
The Act requires the State to deposit
State monies in the SRF in an amount
equaling at least 20 percent of each
Federal grant payment. During
development of the Initial Guidance,
considerable discussion arose over
whether the SRF itself could participate
in acquiring the State's matching
amount, or whether the match must be
derived from traditional sources of
revenues, such as annual legislative
appropriations.
As provided for in the Initial.
Guidance, this rule permits States to
issue bonds to acquire the match, and
retire bonds with the interest earned by
the Fund. Other proposed mechanisms
by which the fund will participate in
deriving the match must be reviewed on
an individual basis to ensure that they
do not impair the SRFs integrity and to
demonstrate that the money is not
derived from other Federal sources,
unless specifically permitted by the
Federal law under which it is available.
The rule also permits the State to
provide its match in an LOC or other
financial arrangement similar to the
Federal LOC, provided that the State's
proportional share is converted to casli
when the Federal letter of credit is
drawn upon.
D. "First Use" Requirements (40 CFR
35.3135(e))
Congress directed States to address
certain projects needing construction to
comply with the enforceable
requirements of the Act, before SRF
funds can be used for other eligible
purposes. This requirement applies to
the Federal grant the State match and
repayments of principal and payments
of interest from the first round of loans
issued from the Federal grant Before
these funds may be used for any
purpose authorized by the Act, the
State's National Municipal Policy major
and minor treatment works must be
maintaining progress toward compliance
with the enforceable goals, deadlines
and requirements of the Act
This interpretation of section 602(b)(5)
is consistent with the legislative history
of the Act The Conference Report to the
1987 Amendments explains that "funds
as a result of capitalization grants"
include the grant, the State match and
the repayments of loans issued from the
grant. The Act describes the projects
that must comply with the enforceable
requirements of the Act including the
municipal compliance deadline of July 1.
1988.
E. Environmental Review Requirements
(40 CFR 353140)
Under section 802{b)(6), all section 212
publicly owned treatment works
projects assisted with funds "directly
made available by" capitalization
grants, including activities conducted
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10178 Federal Register / Vol. 55, No. 53 / Monday, March 19. 1990 / Rules and Regulations
under sections 319 and 320 that are also
section 212 publicly owned treatment
works, must undergo environmental
reviews that are substantially similar to
the reviews conducted in the title II
program under the National
Environmental Policy Act (NEPA).
During development of the Initial
Guidance, this matter emerged as one
for which the Agency felt an additional
program requirement was necessary.
This rule extends less detailed
environmental review requirements to
all section 212 projects funded from
sources other than funds "directly made
available by" capitalization grants. The
statutory basis for imposing this
requirement, which is in keeping with
the Agency's mission, is section 602(b)
of the Act. Section 602(a) authorizes the
Administrator to include requirements
in the capitalization grant agreement
that are not specified in that section.
Projects that are statutorily subject to
review under section 602(b)[6) must
undergo a State environmental review
process that reflects the essential
elements of NEPA. All other section 212
treatment works projects are subject to
less detailed environmental review
requirements.
F. Grass-cutting Authorities (40 CFR
35.3145)
There are a number of other Federal
laws and directives that apply by their
own terms to all projects or activities
receiving Federal financial assistance,
regardless of whether the statute
authorizing the assistance makes them
applicable. The Agency has determined
that these "cross-cutting" authorities
apply to SRF programs or projects
assisted with funds "directly made
available by" capitalization grants,
which are funds equaling the amount of
the Federal grant. The Agency has also
determined that all activities of the
State capitalization grant recipient (for
example, the State's administration of
the program] are subject to the Civil
Rights Act, pursuant to the Civil Rights
Restoration Act of 1988. A list of these
cross-cutting authorities is attached as
Appendix F of the Initial Guidance.
Each capitalization grant agreement will
contain a condition ensuring that the
projects or activities assisted with funds
"dirertlv marie available hy"
capitalization grants will comply with
the cross-cutting authorities and that the
State will notify the Regional Office
when consultation or coordination with
other Federal agencies is necessary to
resolve compliance issues. The rule
describes the extent to which cross-
cutting authorities apply.
VI. Regulation Development
A. Regulatory Impact Analysis
This regulation has been reviewed
under Executive Order 12291 and does
not meet the criteria for a major
regulation. This regulation will not result
in: An annual effect on the economy of
$100 million or more; a major increase in
costs or prices for consumers, individual
industries. Federal, State, or local
government agencies, or geographic
regions; or significant adverse effects on
competition, employment, investment,
productivity, innovation, or U.S.
enterprises operating in foreign or
domestic markets. Because this
regulation is not a major rule, a
Regulatory Impact Analysis is not
required. This regulation has been
submitted to the Office of Management
and Budget for review under the
Executive Order.
B. Regulatory Flexibility Act
EPA did not develop a regulatory
flexibility analysis for this rule because
grants regulations are not subject to the
analytical requirements of sections 603
and 604 of the Regulatory Flexibility
Act.
C. Paperwork Reduction Act
The Office of Management and Budget
(OMB) has approved the information
collection requirements contained in this
rule under the provisions of the
Paperwork Reduction Act, 44 U.S.C.
3501 et. seq.. and has assigned OMB
control number 2040-0118.
Public reporting burden for this
collection is estimated to average 290
hours per response, including time for
reviewing instructions, searching
existing data, gathering and maintaining
the d-sts. needed, and completing and
reviewing the collection of information.
Send comments regarding the burden
ftRtimatp nr anv nthor acnont nf t^i?
collection of information, including
suggestions for reducing this burden, to:
Chief, Information Policy Branch, PM-
223, U.S. Environmental Protection
Agency, 401 M Street, SW., Washington.
DC 20460; and to the Office of
Management and Budget, Paperwork
Reduction Project (2040-0118)
Washington, LI.U Z0503, marked
"Attention, Desk Officer for EPA." The
final rule will respond to any OMB or
public comments on the information
collection requirements contained in this
proposal.
List of Subjects in 40 CFR Part 35
Capitalization grants, State water
pollution control revolving funds,
Wastewater treatment.
William K. Reilly.
Administrator.
Date March 7. 1990.
For the reasons set forth in the
preamble, the Environmental Protection
Agency is amending 40 CFR part 35 by
adding a new subpart K to read as
follows:
PART 35— STATE AND LOCAL
ASSISTANCE
Subpart K— State Water Pollution Control
Revolving Funds
Sec.
35.3100 Policy and purpose.
35.3105 Definitions.
35.3110 Fund establishment.
35.3115 Eligible activities of the SRF.
35.3120 Authorized types of assistance.
35.3125 Limitations on SRF assistance.
35.3130 The capitalization grant agreement.
35.3135 Specific capitalization grant
agreement requirements.
35.3140 Environmental review requirements.
35.3145 Application of other Federal
authorities.
35.3150 Intended Use Plan (IUP).
35.3155 Payments.
35.3160 Cash draw rules.
35.3165 Reports and audits.
35.3170 Corrective action.
Appendix A— Criteria for evaluating a State's
proposed NEPA-like process
Subpart K— State Water Pollution
Control Revolving Funds
Authority: Sections 205(m). 501 (a) and title
VI of the Clean Water Act. as amended. 33
U.S.C. 1285{m), 33 U.S.C. 1361(a), 33 U.S.C.
1381-1387.
§ 35.3100 Policy and purpose.
(a) The Agency intends to implement
the Siale wilier pollution control
revolving fund program in a manner that
preserves for States a high degree of
flo-viKiiliti/ fnr rtnnrntino tboif t»
--- - -------- ------ _
----------
funds in accordance with each State's
unique needs and circumstances. The
purpose of these regulations is to
advance the general intent of title VI of
the Clean Water Act, which is to ensure
that each State's program is designed
and operated to continue providing
assistance for water pollution control
ciCliYiiico ill
(b) These regulations reflect statutory
and program requirements that have
been previously published in the Initial
Guidance for State Revolving Funds,
which was signed by the Assistant
Administrator for Water on January 26,
1988, and the supplementary
memorandum to the Initial Guidance for
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Federal Register / Vol. 55, No. 53 / Monday. March 19. 1990 / Rules and Regulations 10179
State Revolving Funds, which was
td by the Assistant Administrator
Fater on September 30,1988. Copies
brfoth documents can be obtained by
writing the Office of Municipal Pollution
Control (WH-54B), Environmental
Protection Agency. 401M Street SW.,
Washington. DC 20460.
(c) These regulations supplement title
VI by codifying all major program
requirements, applicable to the SRF
program. EPA will not impose additional
major program requirements without an
opportunity for affected parties to
comment. The process for amending this
regulation to incorporate these
requirements will begin within three
months of their issuance.
§35.3105 Definition*.
Words and terms that are not defined
below and that are used in this rule
shall have the same meaning they are
given in 40 CFR part 31 and 40 CFR part
35, subpart L
(a) Act. The Federal Water Pollution
Control Act. more commonly known as
the Clean Water Act (Pub. L. 92-500). as
amended by the Water Quality Act of
1987 (Pub. L. 100-4). 33 U.S.C. 1251 et
seq.
(b) Binding Commitment. A legal
obligation by the State to a local
•ient that defines the terms .for
tance under the SRF.
Capitalization Grant. The
assistance agreement by which the EPA
obligates and awards funds allotted to a
State for purposes of capitalizing that
State's revolving fund.
(d) Cash draw. The transfer of cash
under a letter of credit (LOG) from the
Federal Treasury into the State's SRF.
(e) Disbursement. The transfer of cash
from an SRF to an assistance recipient
(f) Equivalency projects. Those
section 212 wastewater treatment
projects constructed in whole or in part
before October 1.1994, with funds
"directly made available by" the
capitalization grant. These projects must
comply with the requirements of section
602(b)(8) of the Act
(g) Funds "directly made available
by" capitalization grants. Funds
equaling the amount of the grant
(h) Payment. An action by the EPA to
increase the amount of capitalization
grant funds available for cash draw
from an LOG.
(i) SRF. State water pollution control
revolving fund.
§3&3110 FundMtabtotmwnt
(a) Generally. Before the Regional
Administrator (RA) may award a
Ktalization grant, the State most
blish an SRF that complies with
ion 603 of the Act and this rule.
(b) SRF accounts. The SRF can be
established within a multiple-purpose
State financing program. However, the
SRF must be a separate account or
series of accounts that is dedicated
solely to providing loans and other
forms of financial assistance, but not
grants.
(c) SRF administration. The SRF must
be administered by an instrumentality of
the State that is empowered to manage
the Fund in accordance with the
requirements of the Act. Where more
than one agency of the State is involved
in administering the activities of the
State's program, the functions and the
relationships of those agencies must be
established to the satisfaction of the RA.
(d) Documentation of the
establishment of an SRF program. (1) As
part of its initial application for the
capitalization grant, the State must '
furnish the RA with documentation of
the establishment of an SRF and
designation of the State instrumentality
that will administer the SRF in
accordance with the Act.
(2) With each capitalization grant •
application, the State's Attorney
General (AG), or someone designated by
the AG, must sign or concur in a
certification that the State legislation
establishing the SRF and the powers it
confers are consistent with State law,
and that the State may legally bind itself
to the terms of the capitalization grant
agreement
(3) Where waiting for the AG's
signature or concurrence would by itself
significantly delay awarding the first
grant (i.e., there are no other issues
holding up the award), the head or chief
legal officer of the State agency which
has direct responsibility for
administering the SRF program may sign
the certification at the time of the
capitalization grant award, provided the
capitalization grant agreement contains
a special condition requiring the State to
submit the AG/designee's concurrence
to EPA within a reasonable time, not to
exceed 120 days, after the grant is
awarded.
(e) Allotment. (1) Appropriations for
fiscal years 1987 through 1990 under
both title II and title VI programs will be
allotted in accordance with the formula
contained in section 205(c}(3) of the Act
(2) Title VI funds are available for the
Agency to obligate to the State during
the fiscal year in which they are allotted
and during the following fiscal year. The
amount of any title VI allotment not
obligated to the State at the end of this'
period of availability will be reaiiotted
for title VI purposes in accordance with
40 CFR 35^010.
(3) A State that does not receive
grants that obligate all the funds allotted
to'it under title VI in the first year of its
availability will not receive reaiiotted
funds from that appropriation.
(4) Notwithstanding 40 CFR 35.910 and
40 CFR 35.2010(8), deobligations and
reallotments of title II funds may be
transferred to a title VI capitalization
grant regardless of either the year in
which the title II funds were originally
allotted or the year in which they are
deobligated or reaiiotted.
(f) Transfer of title II allotments. A
State may exercise the option to transfer
a portion of its title D allotment for
deposit through a capitalization grant
into an established water pollution
control revolving fund, under section
205(m) of the Act.
(1) If the State elects this option, the
Governor of the State must submit a
Notice of Intent to the RA specifying the
amount of tile title II allotment the State
intends to use for tide VI purposes
during the fiscal year for which it is
submitted. The Notice may also identify
anticipated, unobligated title D funds
from the prior fiscal year, and request
transfer of those funds as well.
(2) Each Notice of Intent must be
submitted on or before July 3 of the year
preceding the Federal fiscal year in •
which those funds are available. If a
State fails to file a Notice of Intent on or
before the prescribed date, then the
State may not transfer title 0 allotments
into an SRF in the upcoming fiscal year.
A timely Notice of Intent may be later
withdrawn or amended.
(3) When the capitalization grant is
awarded, funds requested under section
205(m) of the Act will be obligated under
title VI for the activities of the SRF. If a
Notice of Intent anticipates transfer of
funds under the authority of section
205(m), but those funds are not so
obligated by the end of the two year
period of availability, they will be •
subject to reaUotment as construction
grant funds.
(g) Reserves and transferred
allotments. (1) Funds reserved under
section 205(g) of the Act can be used to
develop SRF programs. However, before
any of these funds may be used for
purposes of the SRF. the State must
establish to the satisfaction of the RA
that adequate funds, up to the section
205(g) maximum, will be available from
any source to administer the
construction grants program.
(2) Funds reserved under sections
205(j)(l) and 205(j)(5) of the Act must be
calculated based on the State'* full title
II allotment end cannot be transferred
to the SRF.
(3) Funds reserved under sections .
201(1)(2). 205(h). and 205(i) of the Act
must also be calculated based upon the
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10180
Federal Register / Vol. 55, No. 53 / Monday, March 19, 1990 / Rules and Regulations
State's full title II allotment. However,
these reserves may be transferred into
an SRF.
(4) The State must reserve from each
fiscal year's title VI allotment the
greater of one percent of its allotment or
$100,000 to carry out planning under
sections 205(j) and 303(e) of the Act.
(Approved by the Office of Management and
Budget under control number 2040-0118)
§ 35.3115 Eligible activities of the SRF.
Funds in the SRF shall not be used to
provide grants. SRF balances must be
available in perpetuity and must be used
solely to provide loans and other
authorized forms of financial assistance:
(a) To municipalities, intermunicipal,
interstate, or State agencies for the
construction of publicly owned
wastewater treatment works as these
are defined in section 212 of the Act and
that appear on the State's priority list
developed pursuant to section 216 of the
Act; and
(b) For implementation of a nonpoint
source pollution control management
program under section 319 of the Act;
and
(c) For development and
implementation of an estuary
conservation and management plan
under section 320 of the Act.
§ 35.3120 Authorized types of assistance.
The SRF may provide seven general
types of financial assistance.
(a) Loans. The SRF may award loans
at or below market interest rates, or for
zero interest.
(1] Loans may be awarded only if:
(i) All principal and interest payments
on loans are credited directly to the
SRF;
(ii) The annual repayment of principal
and payment of interest begins not later
than one year after project completion;
(iii) The loan is fully amortized not
later than twenty years after project
;ompletion; and
(iv) Each loan recipient establishes
3ne. or more dedicated sources of
-evenue for repayment of the loan.
(2) Where construction of a treatment
•vorks has been phased or segmented,
oan repayment requirements apply to
he completion of individual phases or
. segments.
(b) Refinancing existing debt
obligations. The SRF may buy or
•efinance local debt obligations at or
>elow market rates, where the initial
lebt was incurred after March 7,1985..
md building began after that date. . .
(1) Projects otherwise eligible for
efinancing under this section on which
tuilding began:: •'
(i) Before January 28; 1988 (the
ffective date of the initial Guidance for.
State Revolving Funds) must meet the
requirements of title VI to be fully
eligible.
(ii) After January 28.1988, but before
the effective date of this rule, must meet
the requirements of title VI and of the
Initial Guidance for State Revolving
Funds to be fully eligible.
(iii) After March 19,1990 must meet
the requirements of this rule to be fully
eligible.
(2) Where the original debt for a
project was in the form of a multi-
purpose bond incurred for purposes in
addition to wastewater treatment
facility construction, an SRF may
provide refinancing only for eligible
purposes, and not for the entire debt.
(c) Guarantee or purchase insurance
for local debt obligations. The SRF may
guarantee local debt obligations where
such action would improve credit
market access or reduce interest rates.
The SRF may also purchase or provide.
bond insurance to guarantee debt
service payment.
(d) Guarantee SRF debt obligations.
The SRF may be used as security or as a
source of revenue for the payment of
principal and interest on revenue or
general obligation bonds issued by the
State provided that the net proceeds of
the sale of such bonds are deposited in
the SRF.
(e) Loan guarantees for "sub-State
revolving funds." The SRF may provide
loan guarantees for similar revolving
funds established by municipal or
intermunicipal agencies, to finance
activities eligible under title VI.
(f) Earn interest on fund accounts. The
SRF may earn interest on Fund
accounts.
(g) SRF administrative expenses. (1)
Money in the SRF may be used for the
reasonable costs of administering the
SRF, provided that the amount does not
exceed 4 percent of all grant awards
received by the SRF. Expenses of the
SRF in excess of the amount permitted
under this section must be paid for from
sources outside the SRF.
(2) Allowable administrative costs
include all reasonable costs incurred for
management of the SRF program and for
management of projects receiving
financial assistance from the SRF.
Reasonable costs unique to the SRF,
such as costs of servicing loans and
issuing debt, SRF program start-up costs,
financial mannoprnpnt nnH loool
u -. —-._ -_o — -
consulting fees, and reimbursement
costs for support, services from cthar.
State..agencies are also allowable.
(3) Unallowable administrative costs
include the costs of administering the
construction grant program.under
section 205(g), permit programs under
sections 402 and 404 and Statewide .
wastewater management planning
programs under section 208(b)(4).
(4) Expenses incurred issuing bonds
guaranteed by the SRF, including the
costs of insuring the issue, may be
absorbed by the proceeds of the bonds,
and need not be charged against the 4
percent administrative costs ceiling. The
net proceeds of those issues must be
deposited in the Fund.
§ 35.3125 Limitations on SRF assistance.
(a) Prevention of double benefit. If the
SRF makes a loan in part to finance the
cost of facility planning and preparation
of plans, specifications, and estimates
for the building of treatment works and
the recipient subsequently receives a
grant under section 201 (g) for the
building of treatment works and an
allowance under section 201(1)(1), the
SRF shall ensure that the recipient will
promptly repay the loan to the extent of
the allowance.
(b) Assistance for the non-Federal
share. (1) The SRF shall not provide a
loan for the non-Federal share of the
cost of a treatment works project for
which the recipient is receiving
assistance from the EPA under any
other authority.
(2) The SRF may provide authorized
financial assistance other than a loan
for the non-Federal share of a treatment
works project receiving EPA assistance
if the Governor or the Governor's
designee determines that such
assistance is necessary to allow the
project to proceed.
(3) The SRF may provide loans for
subsequent phases, segments, or stages
of wastewater treatment works that
previously received grant assistance for
earlier phases, segments, or stages of the
same treatment works.
(4) A community that receives a title II
construction grant after the community
has begun building with its own
financing, may receive SRF assistance to
refinance the pre-grant work, in
accordance with the requirpmpntR for
refinancing set forth under § 35.3120(b)
of this part.
(c) Publicly owned portions. The SRF
may provide assistance for only the
publicly owned portion of the treatment
works.
(d) Private operation. Contractual
arrangements for the private operation
of 2 publicly cv.T.cd treatment works
will not affect the eligibility of the
treatment works for SRF .financing.
(e) Water quality management
planning. The SRF may provide
assistance only to projects that are
consistent •with any plans developed
under sections 205(j), 208, 303(e), 319
and 320 of the Act.
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Federal Register / Vol. 55. No. 53 / Monday, March 19. 1990 / Rules and Regulations 10181
S 35.3130 The capitalization grant
agreement.
(a] Contents. The capitalization grant
agreement must contain or incorporate
by reference the State's application,
Intended Use Plan, agreed upon
payment schedule. State environmental
review process and certifications or
demonstrations of other agreement
requirements and, where used, the SRF
Operating Agreement.
(b) Operating agreement. At the
option of the State, the organizational
and administrative framework and those
procedures of the SRF program that are
not expected to change annually may be
described in an Operating Agreement •
(OA). The OA must be incorporated by
reference in the grant .agreement.
(c) Application requirements. The
State must certify in its application that
it has the legal, managerial, technical,
and operational capabilities to
administer the program. (Approved by
the Office of Management and Budget
under control number 2040-0118)
§3&3135 Specific capitalization grant
agreement requirements.
(a) Agreement to accept payments.
The State must agree to accept grant
payments in accordance with the
negotiated payment schedule.
(b) Provide a State match. The Slate
must agree to deposit into its SRF an
amount equaling at least 20 percent of
the amount of each grant payment.
(1) The State match must be deposited
on or before the date on which the State
receives each payment from the grant
award. The State may maintain its
match in an LOG or other financial
arrangement similar to the Federal LOG,
provided that the State's proportional
share is converted to cash when the
Federal LOG is drawn upon.
(2) Bonds issued by the State for the
match may be retired from the interest
earned by the SRF (including interest on
SRF loans) if the net proceeds from the
State issued bonds are deposited in the
fund. Loan principal must be repaid to
the SRF and cannot be used to retire
State issued bonds. . . •
.(3) The State must identify the source
of the matching amount in.the
capitalization grant application and
must establish to the RA's satisfaction
that the source is not Federal money.
unless specifically authorized, to be used
for such purposes under the statute
making the funds available.
(4) If the State provides a match in
excess of the required amount the.
excess balance may be banked toward
subsequent match requirements.
(5) If die State has deposited State
monies in a dedicated revolving fund
after March 7.1985 and prior to
receiving a capitalization grant, the
State may credit these monies toward
the match requirement:
(i) If the monies were deposited in an
SRF that subsequently received a
capitalization grant and, if the deposit
was expended, it was expended in
accordance with title VI;
(ii) If the monies were deposited in a
separate fund that has not received a
capitalization grant, they were
expended in accordance with title VI
and an amount equal to all repayments
of principal and payments of interest
from these loans will be deposited in the
Federally capitalized fund; or
(iii) If the monies were deposited in a
separate fund and used as a reserve
consistent with title VI, and an amount
equal to the reserve is transferred to the
Federally capitalized fund as its
function is satisfied. - ' '••
(c) Binding commitments. The State
must make binding commitments in an
amount equal to 120 percent of each
quarterly grant payment within one year
after the receipt of each quarterly grant
payment.
(1) Binding commitments may be for
any of the types of assistance provided
for in sections 40 CFR 35.3120(a), (b), (c).
(e) or (f) and for Fund administration
under 40 CFR 35.3120(g).
(2) If the State commits more than the
required 120 percent, EPA will recognize
the cumulative value of the binding
commitments, and the excess balance
may be banked towards the binding
commitment requirements of subsequent
quarters.
(3) If the State does not make binding
commitments equaling 120 percent of the
quarterly grant payment within one year
after it receives the payment, the RA
may withhold future quarterly grant
payments, and require adjustments to
the payment schedule before releasing
further payments.
(d) Expeditious and timely
expenditure. The State must agree to
expend all funds in the SRF in an
expenditious and timely manner.
(e) First use of funds. (1) The State
must agree to first use funds in the SRF
equaling the amount of the grant, all
repayments of principal and payments
of interest on the initial loans from the
grant, and the state match to address
any major and minor publicly owned
treatment works (POTW) that the
Region and the State have previously
identified as part of the National
Municipal Policy list for the State.
(2) These funds may be used to fund
the cost-effective reserve capacity of
these projects.
(3) In order for a State to use these
funds for other section 212 POTWs or
for nonpoint source (section 319) or
estuary (section 320) activities, the State
must certify that the POTWa identified
in S 35.3135(e)(l) are either.
(i) In compliance; or
(ii) On an enforceable schedule; or
(iii) Have an enforcement action filed;
or
(iv) Have a funding commitment
during or prior to the first year covered
by the Intended Use Plan.
(4) Other funds in the SRF may be
used at any time for the construction of
any treatment works on the State's
priority list or for activities under
sections 319 and 320 of the Act.
(f) Compliance with title II
requirements. (1) The State must agree
that equivalency projects will comply
with sections 201 (b), 201(g)(l). 201(g)(2),
201(gH3). 201(g)(5). 201(g)(6). 201[n)(l).
201(o), 204(a)(l). 204(a)(2), 204(b)(l),
204(d)(2). 211. 218, 511(c)(l), and 513 of
the Act. ..•''.
(2) The State must comply only with
the statutory requirements. The State
may develop its own procedures for
implementing the statutory provisions.
The RA will accept State procedures
p'rovided that the procedures will
adequately assure compliance with the
statutory requirements, considered in
the context of the SRF program.
(3) Where the State funds equivalency
projects for more than the capitalization
grant amount, EPA will recognize the
cumulative value of the eligible costs of
the equivalency projects, and the excess
balance may be banked toward
subsequent year equivalency
requirements.
(4) Only those eligible costs actually
funded with loans or other authorized
assistance from the SRF may be credited
toward satisfaction of the equivalency
requirement, and only in the amount of
that assistance.
(g) State laws and procedures. The
State must agree to commit or expend
each quarterly capitalization grant
payment in accordance with the State's
own laws and procedures regarding the
commitment or expenditure of revenues.
(h) State accounting and auditing
procedures- (1) The State must agree to
establish fiscal controls and accounting
procedures that are sufficient to assure
proper accounting for payments
received by the SRF. disbursements
made by the SRF, and SRF balances at
the beginning and end of the accounting
period. .
(2) The State must also agree to use
accounting, audit, and fiscal procedures
conforming to generally accepted
government accounting standards as
these are promulgated by the
Governmental Accounting Standards
Board. Generally accepted government
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19182 Federal Register / Vol. 55, No. S3 f Monday. March 19. 1990 f Rules and Regulations
auditing standards are usually defined
as. but not limited to,- those contained in
the U.S. General Accounting Office
(GAO) publication "Government
Auditing Standards" [1988 revision).
(i) Recipient accounting and auditing
procedures. The State must agree to
require recipients of SRF assistance to
maintain project accounts in accordance
with generally accepted government
accounting standards as these are
promulgated by the Government
Accounting Standards Board. These
accounts must be maintained as '
separate accounts.
(j) Annual report. The State must
agree to make an Annual Report to the
RA on. the actual use of the funds, is
accordance with section 606(d) of the
Act.
§ 354140 Environmental review
requirements.
(a) Generally. The State must agree to
conduct reviews of the potential
environmental impacts of all section 212
construction projects receiving
assistance from the SRF, including
nonpoint source pollution control
(section 319) and estuary protection
(section 320) projects that are also
section 212 projects.
(b) NEPA-like State environmental
review process. Equivalency projects
must undergo a State environmental
review process (SERF) that conforms
generally to the National Environmental
Policy Act (NEPA). The State may elect
to apply the procedures at 40 CFR part 6.
subpart E and related subparts. or apply
its own "NEPA-like" SERF for
conducting environmental reviews.
provided that the following elements are
met.
(1) Legal foundation. The State must
have the legal authority to conduct
environmental reviews of section 212
construction projects receiving SRF
assistance. Such authority and
supporting documentation must specify:
(i) The mechanisms to implement
"mij'.aiiuii uieubuica iu ciibuic iiiai a
project is environmentally sound;
(ii) The legal remedies available to the
public to challenge environmental
review determinations and enforcement
actions;
(iii) The State agency primarily
responsible for conducting
environmental reviews;
(ivj The extern io which
environmental review responsibilities
will be delegated to local recipients and
will be subject to oversight by the
primary State agency.
_ (2) Interdisciplinary approach. *Tbe
State must employ an interdisciplinary
approach for identifying and mitigating
adverse environmental effects including.
but not limited to. those associated with
other applicable Federal environmental
authorities.
(3) Decision documentation. The State
must fully document the information,
processes and premises that influence
decisions to:
(i) Proceed with a project contained in
a finding of no significant impact (FNSI)
following documentation in an
environmental assessment (EA);
(ii) Proceed or not proceed with a
. protect contained m a record of decision
(ROD) following preparation of a full
environmental impact statement (EIS);
(iii) Reaffirm or modify a decision
contained in a previously issued
categorical exclusion f.CE). EA/FNSI or
EIS/ROD following a mandatory 5 year
environmental reevaluation of a
proposed project; and
(iv) If a State elects to implement
processes for either partitioning an
environmental review or CE from
environmental review, the State must
similarly document these processes in
its proposed SERP.
(4) Public notice and participation, [i)
The State must provide public notice
when a CE is issued or rescinded, a
FNSI is issued but before it becomes
effective, a decision issued 5 years
earlier is reaffirmed or revised, and
prior to initiating an EIS.
(ii) Except with respect to a public
notice of a categorical exclusion or
reaffirmation of a previous decision, a
formal public comment period must be
provided during which no action on a
project will be allowed.
(iii) A public hearing or meeting must
be held for all projects except for those
having little or no environmental effect.
(5) Alternatives Consideration. The
State must have evaluation criteria and
processes which allow for
(i) Comparative evaluation among
alternatives including the beneficial and
adverse consequences on the existing
environment, the future environment
. and individual sensitive environmental
. .._ __ --
1OOUCO U1O1 O1C 1UG
management or through public
participation; and
(ii) Devising appropriate near-term
and long-range measures to avoid.
minimize or mitigate adverse impacts.
(c) Alternative State environmental
review process. The State may elect to
apply an alternative SERP to non-
equivaiency section 212 coiisu uciiou
projects assisted by the SRF. provided
that such process:
(1) Is supported by a legal foundation
which establishes the State's authority
to review section 212 construction
projects;
(2) Responds to other environmental
objectives of the State;
(3) Provides for comparative
evaluations among alternatives and
account for beneficial and adverse
consequences to the existing and future
environment;
(4) Adequately documents the
information, processes and premises
that influence an environmental
determination; and
(5) Provides for notice to the public of
proposed projects and for the
opportunity to comment on alternatives
and to examine environmental review
documents. For projects determined by
the State to be controversial, a public
hearing must be held.
(d) EPA approval process. The RA
must review and approve any Slate
"NEPA-like" and alternative procedures
to ensure that the requirements for both
have been met. The RA will conduct-
these reviews on the basis of the criteria
for evaluating NEPA-like reviews
contained in Appendix A to this part
(e) Modifications to approved SERPs.
Significant changes to State
environmental review procedures must
be approved by the RA.
§35.3*45 Application of «ther Federal
authorities.
(a) Generally. Toe State must agree to
comply and to require all recq>ients of
funds "directly made available by"
capitalization grants to comply with
applicable Federal authorities.
(fa) Informing EPA. The State must
inform EPA when consultation or
coordination by EPA with other Federal
agencies is necessary to resolve issues
regarding compliance with those
requirements.
(c) Civil Rights laws. All programs,
projects and activities of the State
capitalization grant recipient must be in
compliance with the Civil Rights Act of
1964, as amended. 42U.S.C. ZOOOdet
seq., section 504 of the Rshabilhaiisn
Act of 1973, as amended, 29 U.S.C. 794
and section 13 of the Federal Water
PnllnH«wi Control Art Amendments of
1972. Public Law 92-500.
(d) MBE/WBE requirements.
Requirements for the participation of
minority and women owned businesses
(MBE/WBEs} will apply to assistance in
an amount equaling the grant. To attain
compliance with MBE/WBE
requirements, the RA •will negotiate an
WClOi* »«i* OlfttlAW **WJ*.»«*«» ». »•*•• VMW
State for MBE/WBE participation on
these SRF funded seimftea. A lair share
objective should be based on the
amount of the capitalization grant
award or other State established goals.
The State may accomplish its fair
objective by requiring certain
equivalency projects to undertake
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Federal Register / Vol. 55. No. 53 / Monday, March 19. 1990 / Rules and Regulations 10183
talive steps that will include the
ing:
ncluding small, minority and
women's businesses on solicitation lists;
(2) Assuring that small, minority and
women's businesses are solicited
whenever they are potential sources;
(3) Dividing total requirements, when
economically feasible, into small tasks
or quantities to permit maximum
participation by small, minority and
women's businesses;
(4) Establishing delivery schedules,
when the requirements of the work
permit, which will encourage
participation by small, minority and
women's businesses;
(5) Using the services of the Small
Business Administration and the Office
of Minority Business Enterprise of the
U.S. Department of Commerce, as
appropriate; and
(6) If the contractor awards
subagreements, requiring the contractor
to take the affirmative steps in
paragraphs (d)(l) through (d)(5) of this
section.
(e) MBE/WBE Reporting
requirements The State must submit an
MBE/WBE Utilization Report (EPA
Form SF 334) within 30 days after the
end of each Federal fiscal quarter during
~Mch the State or its subrecipients
\rd any subagreements.
§ 35.3150 Intended Uw Plan (IUP).
(a) Purpose. The State must prepare a
plan identifying the intended uses of the
funds in the SRF and describing how
those uses support the goals of the SRF.
This Intended Use Plan (IUP) must be
prepared annually and must be
subjected to public comment and review
before being submitted to EPA. EPA.
must receive the IUP prior to the award
of the capitalization grant.
(b) Contents—(!) List of Projects, (i)
The IUP must contain a list of publicly
owned treatment works projects on the
State's project priority list developed
pursuant to section 216 of the Act, to be
constructed with SRF assistance. This
list must include: the name of the
community; permit number or other
applicable enforceable requirement, if
available; the type of financial
assistance; and the projected amount of
eligible assistance.
(ii) The IUP must also contain a list of
the nonpoint source and national
estuary protection activities under
sections 319 and 320 of the Act that the
State expects to fund from its SRF.
(iii) The IUP must provide information
La format and manner that is
psistent with the needs of the
. gional Offices.
(2) Short and long term goals. The IUP
must describe the long and short term
goals and objectives of the State's water
pollution control revolving fund.
(3) Information on the SRF activities
to be supported. The IUP must include
information on the types of activities
including eligible categories of costs to
receive assistance, types of assistance
to be provided, and SRF policies on
setting the terms for the various types of
assistance provided by the fund.
(4) Assurances and specific proposals.
The IUP must provide assurances and
specific proposals on the manner by
which the State intends to meet the
requirements of the following sections of
this part: § 35.3135(c); § 35.3135(d);
i 35.3135(e); § 35.3135(0: and § 35.3140.
(5) Criteria and method for
distribution of funds.
(i) The IUP must describe the criteria
and method established for the
distribution of the SRF funds and the
distribution of the funds available to the
SRF among the various types of
assistance the State will offer.
(ii) The IUP must describe the criteria
and method the State will use to select
section 212 treatment work project
priority list and projects or programs to
be funded as eligible activities for
nonpoint sources and estuary protection
management programs.
(c) Amending the IUP. The IUP project
list may be changed during the year
under provisions established in the IUP
as long as the projects have been
previously identified through the public
participation process.
(Approved by the Office of Management and
Budget under control number 2040-0118)
§35.3155 Payments.
(a) Payment schedule. The State must
include with each application for a
capitalization grant a draft payment
schedule based on the State's projection
of binding commitments in its IUP. The
payment schedule and the specific
criteria establishing the conditions
under which the State may draw cash
from its LOC shall be jointly established
by the Agency and the State and
included in the capitalization grant
agreement. Changes to the payment
schedule, which may be negotiated
during the year, will be effected through
an amendment to the grant agreement.
(b) Estimated disbursements. With the
first application for a capitalization
grant, the State shall submit a schedule
that reflects, by quarters, the estimated
disbursements from that grant for the
year following the grant award date. At
the end of the third quarter of each
. Federal fiscal year thereafter, the State
must provide the Agency with a
schedule of estimated disbursements for
the following Federal fiscal year. The
State must advise the Agency when
significant changes from the schedule of
estimated disbursements are
anticipated. This schedule must be
developed in conformity with the
procedures applicable to cash draws in
§ 35.3160 and must be at a level of detail
sufficient to allow the Agency and the
State to jointly develop and maintain a
forecast of cash draws.
(c) Timing of payments. Payments to
the LOC from a particular grant will
begin in the quarter in which the grant is
awarded and will end no later than the
earlier of eight quarters after the
capitalization grant is awarded or
twelve quarters after advices of
allowances are issued to the Regions.
(d) General payment and cash draw
rules. (1) Except as described in
§ 35.3160(e) and § 35.3160(g), payments
will be based on the State's schedule of
binding commitments.
(2) The SRF or assistance recipient
must first incur a cost, but not
necessarily disburse funds for that cost,
on ah activity for which the State has.
entered into a binding commitment, in
order to draw cash.
(3) Cash draws will be available only
up to the amount of payments made.
(4) For loans or for refinancing or
purchasing of municipal debt, planning,
design and associated pre-building costs
that are within the scope of a project
built after March 7,1985, may be
included in the assistance agreement
regardless of when they were incurred,
provided these costs are in conformity
with title VI of the Act. The State may
draw cash for these incurred pre-
building costs immediately upon
executing an assistance agreement.
(5) A State may draw cash from the
LOC equal to the proportional Federal
share at which time the State will
provide its proportional share. The
Federal proportional share will be 83%
percent of incurred costs and the State's
proportional share will be 16% percent
of the incurred costs, except as
described below.
(i) Where the State provides funds in
excess of the required 20 percent match,
the proportional Federal share drawn
from the LOC will be the ratio of Federal
funds in the capitalization grant to the
sum of the capitalization grant and the
State funds. Alternatively, the State may
identify a group of activities
approximately equal to 120 percent of
the grant amount, and draw cash from
the LOC for 83% percent of the incurred
costs of the identified activities.
(ii) The Federal proportional share
may exceed 83% percent where a State
is given credit for its match amount as a
result of funding activities in prior yearn
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101B4 Federal Register / Vol 55. No. 53 / Monday, March 19. 1990 / Rutes and Regulations
(but after March 7.1985). or for banking
excess match in the SRF in prior yean
and disbursing these amounts prior to
drawing cash. If the entire amount of the
State's required match has been
disbursed in advance, the Federal
proportional share would be 100
percent
§35.3160 Cash draw rules.
(a) Loans. The State may draw cash
from the LOG when the SRF receives a
request from a loan recipient, based on
incurred costs, including prebuilding and
building costs.
(b) Refinance or purchase of
municipal debt. (1) Cash draw for
completed construction. Except as
indicated in paragraph (b)(2) of this
section, cash draws shall be made at a
rate no greater than equal amounts over
the maximum number of quarters that
payments can be made, pursuant to
§ 35.3155(c), and up to the portion of the
LOG committed to the refinancing or
purchase of the local debt. Cash draws
for incurred building costs will generally
be treated as refinanced costs.
(2) The State may immediately draw
cash fur up to five percent of each fiscal
year's capitalization grant or two million
dollars, whichever is greater, to
refinance or purchase local debt
(3} Projects or portions of protects not
constructed. The State may draw cash
based on incurred construction costs, as
set forth in S 35J160(a).
(4] Incremental disbursement bonds.
For the purchase of incremental
disbursement bonds from local
governments, cash draws will be based
on a schedule that coincides with the
rate at which construction related costs
are expected to be incurred for the
project
(c) Purchase of insurance. The State
may draw cash to purchase insurance as
premiums are due.
(d] Guarantees and security for
fronds. (1) Cash draw in the event of
dsfs-ait. In the event of an inual&em
default in debt service payments on the
guaranteed/secured debt the State can
draw cash immediately up to the total
amount of the LOG committed to the
guarantee/security. If a balance remains
in the guarantee portion of the LOG
reserve after the default is covered, the
State must negotiate a revised schedule
TUT the remaining amount of die
guarantee/security.
(2) Cash draw in the absence of
default (i) The State can draw cash up
to the amount of the LOG dedicated for
the guarantee or. security in accordance
with a schedule based on the national
title II annual outlay rate (Yr 1:7%; Yr 2:
35%; Yr 3:289J; Yr 4:20%; Yr 5:12%). or
actual construction cost In the latter
case, the amount of the cash draw
would be the actual construction costs
multiplied by the Federal share of the
reserve multiplied by the ratio of the
reserve to either the amount guaranteed
or the proceeds of the bond issue.
(ii) In addition, in the case of a
security the State can identify a group of
projects whose value equals
approximately the total of that portion
of me LOG and the State match
dedicated as a security. The State can
then draw cash based on the incurred
construction costs of the selected
projects only, multiplied by the ratio of
the Federal portion of the security to the
entire security.
(3) Aggressive leveraging exception.
Where the cash draw rules discussed in
§ 35.3l60(d) would significantly frustrate
a State's program, the Agency may
permit an exception to these cash draw
rules and provide for a more accelerated
cash draw, where the State can
demonstrate that:
(i) There are eligible projects ready to
proceed in the immediate future with
enough costs to justify the amount of the
secured bond issue;
(ii) The absence of cash on an
accelerated basis will substantially
delay these projects;
(iii) If accelerated cash draws are
allowed, the SRF wifl provide
substantially more assistance; and
(iv) The long term viability of the
State program to meet water quality
needs will be protected.
(4) Cash draw limitation. When the
LOG is used for securing State issued
bonds, cash draws cannot be made at a.
rate greater than equal amounts over the
maximum number of quarters that
payments can be made, pursuant to
S 35.3155(c). Exceptions to this limitation
are in cases of default (see
5 35.3ieOfdMl)) and where cash draws
are based on construction costs for all
projects, as in 5 35.3160(d)(2)(i).
(e) Administrative expenses. (1)
Payments. One payment will be made at
the time of the grant, based on the
portion of the LOG estimated to be used
for administrative expenses.
(2) Cash draw. The State can draw
cash based on a schedule that coincides
with the rate at which administrative
expenses will be incurred, up to that
portion of the LOG dedicated to
administrative expenses.
(f) Withholding payments. If a Sta»e
fails to take corrective action in
accordance with section 605 of the Act.
the Agency shall withhold payments to
the SRF. Once a payment has been
made by the Agency, that payment and
cash draws from that payment will not
be subject to withholding because of a
State's failure to take corrective action.
$35.3165 Rapoits and audits.
(a) Annual report. The State must
provide an Annual Report to the RA
beginning the first fiscal year after it
receives payments under title VI. The
State should submit this report to the
RA according to the schedule
established in the grant agreement.
(b) Mptters to establish in the annual
report. In addition to the requirements in
section 606(d) of the Act, in its annual
report the State must establish that it
has: (1) Reviewed all SRF funded
section 212 projects in accordance with
the approved environmental review
procedures:
(2) Deposited its match on or before
. the date on which each quarteriy grant
payment was made;
(3] Assured compliance with the
requirements of § 35.3135(f);
(4) Made binding commitments to
provide assistance equal to 120 percent
of the amount of each grant payment
within one year after receiving the grant
payment pursuant to § 35.3135(c):
(5) Expended all funds in an
expeditious and timely manner pursuant
to § 35.3135{d); and
(6) First used all funds as a result of
capitalization grants to assure
maintenance of progress toward
compliance with the enforceable
requirements of the Act pursuant to
§ 35.3135(e).
(c) Annual review, (l) Purpose. The
purpose of the annual review is to
assess the success of the State's
performance of activities identified in
the 1UP and Annual Report and to
determine compliance with the terms of
the capitalization grant agreement. The
RA will complete the annual review
according to the schedule established in
the grant agreement
[t] Records access. After reasonable
notice by the RA, the State or assistance
recipient must make available to the
EPA such records as the RA reasonably
requires to review and determine State
compliance with the requirements of
title VI. The RA may conduct onsite
visits as needed to provide adequate
programmatic review.
(d) Annual audit. (1) At least once a
year the RA (through the Office of the
Inspector General) will conduct, or
retrain! flip •Ststp »o ha«e independently
conducted a financial and compliance
audit of the SRF and the operations of
the SRF. If the State is required to have
an independently conducted audit
performed, the State may designate an
independent auditor of the State to carry
out the auditor may contractually
procure the service.
(2) The auditor can be a certified
public accountant, a public accountant
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Federal Register / Vol. 55. No. 53 / Monday. March 19. 1990 / Rules and Regulations 10185
licensed on or before December 31.1970.
or a governmental auditor who meets
the qualification standards (Government
Auditing Standards). In addition, the
auditor must meet the independence
standard as enumerated by the General
Accounting Office and American
Institute of Certified Public Accountants.
The Office of the Inspector General may
arrange for an EPA audit if the State
fails to conduct the audit or if the State's
review is otherwise unsatisfactory.
(3) The audit report required under
section 606(b) must contain an opinion
on the financial statements of the SRF
and its internal controls, and a report on
compliance with title VI.
(4) The audit report must be
completed within one year of the end of
the appropriate accounting period and
submitted to the Office of the Inspector
General within 30 days of completion. In
cases of State conducted audits, the
State will be notified within 90 days as
to the acceptability of the audit report
and its findings. Audits may be done in
conjunction with the Single Audit Act.
(Approved by the Office of Management and
Budget under control number 2040-0118)
§ 35.3170 Corrective action.
(a) Causes. If the RA determines that
the State has not complied with
requirements under title VI, the RA will
notify the State of such noncompliance
and prescribe the necessary corrective
action. Failure to satisfy the terms of the
capitalization grant agreement,
including unmet conditions or
assurances or invalid certifications, is
grounds for a finding of noncompliance.
In addition, if the State does not manage
the SRF in a financially sound manner
(e.g. allows consistent and substantial
failures of loan repayments), the RA
may take corrective action as provided
under this section.
(b) RA's course of action. In making a
determination of noncompliance with
the capitalization grant agreement and
devising the corrective action, the RA
will identify the nature and cause of the
problems. The State's corrective action
must remedy the specific instance of
noncompliance and adjust program
management to avoid noncompliance in
the future.
(c) Consequences fur failure to take
corrective action. If within 60 days of
receipt of the noncompliance notice, a
State fails to take the necessary actions
to obtain the results required by the RA.
or to provide an acceptable plan to
achieve the results required, the RA
shall withhold payments to the SRF until
the State has taken acceptable actions.
If the State fails to take the necessary
corrective action deemed adequate by
the RA within twelve months of receipt
of the original notice, any withheld
payments shall be deobligated and
reallotted to other States.
(d) Releasing payments. Once the
State has taken the corrective action
deemed necessary and adequate by the
RA. the withheld payments will be
released and scheduled payments will
recommence.
Appendix A—Criteria for evaluating a
State's proposed NEPA-like process
The following criteria will be used by the
RA to evaluate a proposed SERP.
(A) Legal foundation. Adequate
documentation of the legal authority.
including legislation, regulations or executive
orders and/or Attorney General certification
that authority exists.
(B) Interdisciplinary approach. The
availability of expertise either in-house or
otherwise accessible to the State Agency.
(C) Decision documentation. A description
of a documentation process adequate to
explain the basis for decisions to the public;.
(D) Public notice and participation. A
description of the process, including routes of
publication (e.g.. local newspapers and
project mailing list), and use of established
. State legal notification systems for notices of
intent, and criteria for determining whether a
public hearing is required. The adequacy of u
rationale where the comment period differs
from that under NEPA and is inconsistent
with other State review periods.
(E) Consider alternatives. The extent to
which the SERP will adequately consi'der:
(1) Designation of a study area comparable
to the Tina) system;
(2) A range of feasible alternatives.
including the no action alternative:
(3) Direct and indirect impacts:
(4) Present and future conditions:
(5) Land use and other social parameters
including recreation and open-space
considerations;
(6) Consistency with population projections
used to develop State implementation plans
under the Clean Air Act;
(7) Cumulative impacts including
anticipated community growth (residential.
commercial, institutional and industrial)
within the project study area; and
(B) Other anticipated public works projects
including coordination with such projects.
(FR Doc. 90-5842 Filed 3-16-90; 8:45 am]
BILLING CODE 6MO-SO-M
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Attachment 2
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36 CFR Part 800:
of Historic Properties
Regulations of the
Advisory Council on Historic Preservation
Governing the Section 106 Review Process
Advisory Council on Historic Preservation
Effective October 1,1986
-------
36 CFR PART 800:
PROTECTION OF HISTORIC PROPERTIES
The italicized marginal annotations
are intended to aid the reader in
locating regulatory topics. They are
not a part of the formal regulations.
The text immediately below was published in the Federal Register on
September 2, 1986 (51 FR 31115), as 36 CFR Part 800, "Protection of
Historic Properties." These regulations govern the Section 106 review pro-
cess established by the National Historic Preservation Act of 1966, as
amended.
SUBPART A—BACKGROUND AND POLICY
What §706 requires of Federal
agencies
What §11 Off) requires of Federal
agencies
Accommodation of historic
preservation concerns and
needs of Federal undertakings
Early integration of §706 into
project planning
800.1 Authorities, purposes, and participants.
(a) Authorities. Section 106 of the National Historic Preservation
Act requires a Federal agency head with jurisdiction over a
Federal, federally assisted, or federally licensed undertaking to
take into acount the effects of the agency's undertakings on prop-
erties included in or eligible for the National Register of Historic
Places and, prior to approval of an undertaking, to afford the
Advisory Council on Historic Preservation a reasonable opportunity
to comment on the undertaking. Section 110(f) of the Act requires
that Federal agency heads, to the maximum extent possible,
undertake such planning and actions as may be necessary to
minimize harm to any National Historic Landmark that may be
directly and adversely affected by an undertaking and, prior to
approval of such undertaking, afford the Council a reasonable
opportunity to comment. These regulations define the process
used by a Federal agency to meet these responsibilities, com-
monly called the Section 106 process.
(b) Purposes of the Section 106 process. The Council seeks
through the Section 106 process to accommodate historic preser-
vation concerns with the needs of Federal undertakings. It is
designed to identify potential conflicts between the two and to
help resolve such conflicts in the public interest. The Council
encourages this accommodation through consultation among the
Agency Official, the State Historic Preservation Officer, and other
interested persons during the early stages of planning. The Coun-
cil regards the consultation process as an effective means for
reconciling the interests of the consulting parties.
Integration of the Section 106 process into the normal adminis-
trative process used by agencies for project planning ensures
early, systematic consideration of historic preservation issues. To
this end, the Council encourages agencies to examine their
administrative processes to see that they provide adequately for
the efficient identification and consideration of historic properties,
that they provide for participation by the State Historic Preserva-
tion Officer and others interested in historic preservation, that they
provide for timely requests for Council comment, and that they
promote cost-effective implementation of the Section 106 process.
When impediments are found to exist in the agency's admin-
istrative process, the agency is encouraged to consult with the
Council to develop special Section 106 procedures suited to the
agency's needs.
-------
§706 participants
Consulting parties
Federal agency's general
responsibilities
SHPO's general responsibilities
Council's general
responsibilities
A+n«J v* m »v* « v* •>* '
'U /^Cs'OWMO ,
Local governments'
participation
(c) Participants in the Section 106 process.
(1) Consulting parties. Consulting parties are the primary partici-
pants in the Section 106 process whose responsibilities are
defined by these regulations. Consulting parties may include:
(i) Agency Official. The Agency Official with jurisdiction over
an undertaking has legal responsibility for complying with Section
106. It is the responsibility of the Agency Official to identify and
evaluate affected historic properties, assess an undertaking's effect
upon them, and afford the Council its comment opportunity. The
Agency Official may use the services of grantees, applicants, con-
sultants, or designees to prepare the necessary information and
analyses, but remains responsible for Section 106 compliance.
The Agency Official should involve applicants for Federal
assistance or approval in the Section 106 process as appropriate
in the manner set forth below.
(ii) State Historic Preservation Officer. The State Historic
Preservation Officer coordinates State participation in the imple-
mentation of the National Historic Preservation Act and is a key
participant in the Section 106 process. The role of the State
Historic Preservation Officer is to consult with and assist the
Agency Official when identifying historic properties, assessing
effects upon them, and considering alternatives to avoid or reduce
those effects. The State Historic Preservation Officer reflects the
interests of the State and its citizens in the preservation of their
cultural heritage and helps the Agency Official identify those per-
sons interested in an undertaking and its effects upon historic
properties. When the State Historic Preservation Officer declines to
participate or does not respond within 30 days to a written request
for participation, the Agency Official shall consult with the Council,
without the State Historic Preservation Officer, to complete the
Section 106 process. The State Historic Preservation Officer may
assume primary responsibility for reviewing Federal undertakings
in the State by agreement with the Council as prescribed in Sec-
tion 800.7 of these regulations.
(iii) Council. The Council is responsible for commenting to the
Agency Official on an undertaking that affects historic properties.
The official authorized to carry out the Council's responsibilities
under each provision of the regulations is set forth in a separate,
internal delegation of authority.
t2t Intsrcstsd ^orsons interested ^ersons are those ornaniza-
tions and individuals that are concerned with the effects of an
undertaking on historic properties. Certain provisions in these
regulations require that particular interested persons be invited tc
become consulting parties under certain circumstances. In addi-
tion, whenever the Agency Official, the State Historic Preservation
Officer, and the Council, if participating, agree that active par-
ticipation of an interested person will advance the objectives of
Section 106, they may invite that person to become a consulting
party. Interested persons may include:
(I) Local governments. Locai governments are encouraged io
take an active role in the Section 106 process when undertakings
affect historic properties within their jurisdiction. When a local
government has legal responsibility for Section 106 compliance
under programs such as the Community Development Block Grant
Program, participation as a consulting party is required. When no
-------
Federal applicants' participation
Indian tribes' participation
Public participation
such legal responsibility exists, the extent of local government par-
ticipation is at the discretion of local government officials. If the
State Historic Preservation Officer, the appropriate local govern-
ment, and the Council agree, a local government whose historic
preservation program has been certified pursuant to Section
101(c)(1) of the Act may assume any of the duties that are given
to the State Historic Preservation Officer by these regulations or
that originate from agreements concluded under these regulations.
(ii) Applicants for Federal assistance, permits, and licenses.
When the undertaking subject to review under Section 106 is pro-
posed by an applicant for Federal assistance or for a Federal per-
mit or license, the applicant may choose to participate in the Sec-
tion 106 process in the manner prescribed in these regulations.
(iii) Indian tribes. The Agency Official, the State Historic
Preservation Officer, and the Council should be sensitive to the
special concerns of Indian tribes in historic preservation issues,
which often extend beyond Indian lands to other historic proper-
ties. When an undertaking will affect Indian lands, the Agency
Official shall invite the governing body of the responsible tribe to
be a consulting party and to concur in any agreement. When an
Indian tribe has established formal procedures relating to historic
preservation, the Agency Official, State Historic Preservation
Officer, and Council shall, to the extent feasible, carry out respon-
sibilities under these regulations consistent with such procedures.
An Indian tribe may participate in activities under these regulations
in lieu of the State Historic Preservation Officer with respect to
undertakings affecting its lands, provided the Indian tribe so
requests, the State Historic Preservation Officer concurs, and the
Council finds that the Indian tribe's procedures meet the purposes
of these regulations. When an undertaking may affect properties of
historic value to an Indian tribe on non-Indian lands, the consulting
parties shall afford such tribe the opportunity to participate as
interested persons. Traditional cultural leaders and other Native
Americans are considered to be interested persons with respect to
undertakings that may affect historic properties of significance to
such persons.
(iv) The public. The Council values the views of the public on
historic preservation questions and encourages maximum public
participation in the Section 106 process. The Agency Official, in
the manner described below, and the State Historic Preservation
Officer should seek and consider the views of the public when tak-
ing steps to identify historic properties, evaluate effects, and
develop alternatives. Public participation in the Section 106 pro-
cess may be fully coordinated with, and satisfied by, public par-
ticipation programs carried out by Agency Officials under the
authority of the National Environmental Policy Act and other perti-
nent statutes. Notice to the public under these statutes should
adequately inform the public of preservation issues in order to
elicit public views on such issues that can then be considered and
resolved, when possible, in decisionmaking. Members of the
public with interests in an undertaking and its effects on historic
properties should be given reasonable opportunity to have an
active role in the Section 106 process.
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Definitions
"Act"
"Agency Official"
"Area of potential effects"
"Council"
"Historic property"
"Indian lands"
"Indian tribe"
' 'Interested person''
"Local aovernment'
"National Historic Landmark'
'National Register"
'National Reaister Criteria"
800.2 Definitions.
(a) "Act" means the National Historic Preservation Act of 1966. as
amended, 16 U.S.C. §§ 470-470w-6.
(b) "Agency Official" means the Federal agency head or a
designee with authority over a specific undertaking, including any
State or local government official who has been delegated legal
responsibility for compliance with Section 106 and Section 110(f)
in accordance with law.
(c) "Area of potential effects" means the geographic area or areas
within which an undertaking may cause changes in the character
or use of historic properties, if any such properties exist.
(d) "Council" means the Advisory Council on Historic Preservation
or a Council member or employee designated to act for the
Council.
(e) "Historic property" means any prehistoric or historic district,
site, building, structure, or object included in, or eligible for inclu-
sion in, the National Register. This term includes, for the purposes
of these regulations, artifacts, records, and remains that are
related to and located within such properties. The term "eligible
for inclusion in the National Register" includes both properties for-
mally determined as such by the Secretary of the Interior and all
other properties that meet National Register listing criteria.
(f) "Indian lands" means all lands under the jurisdiction or control
of an Indian tribe.
(g) "Indian tribe" means the governing body of any Indian tribe,
band, nation, or other group that is recognized as an Indian tribe
by the Secretary of the Interior and for which the United States
holds land in trust or restricted status for that entity or its
members. Such term also includes any Native village corporation,
regional corporation, and Native Group established pursuant to
the Alaska Native Claims Settlement Act, 43 U.S.C. §1601. et seq.
(h) "Interested person" means those organizations and individuals
that are concerned with the effects of an undertaking on historic
properties.
(i)
'Local government" means a city, county, parish, township,
municipality, borough, or other general purpose political subdivi-
sion of a State.
0) "National Historic Landmark" means a historic property that the
Secretary of the Interior has designated a National Historic
Landmark.
(k) "National Register" means the National Register of Historic
Places maintained by the Secretary of the Interior.
(I) "National Register Criteria" means the criteria established by
the Secretary of the Interior for use in evaluating the eligibility of
properties for the National Register (36 CFR Part 60).
"Secretary"
(m) "Secretary" means the Secretary of the Interior.
-------
"SHPO"
"Undertaking"
(n) "State Historic Preservation Officer" means the official
appointed or designated pursuant to Section 101(b)(1) of the Act
to administer the State historic preservation program or a
representative designated to act for the State Historic Preservation
Officer.
(o) "Undertaking" means any project, activity, or program that can
result in changes in the character or use of historic properties, if
any such historic properties are located in the area of potential
effects. The project, activity, or program must be under the direct
or indirect jurisdiction of a Federal agency or licensed or assisted
by a Federal agency. Undertakings include new and continuing
projects, activities, or programs and any of their elements not
previously considered under Section 106.
How the §106 process works
SUBPART B—THE SECTION 106 PROCESS
Scope of the regulations;
alternative methods of meeting
§706 requirements
Procedural flexibility
Timing of the §706 process
Allowance for nondestructive
planning before the §706
process is completed
800.3 General.
(a) Scope. The procedure in this subpart guides Agency Officials,
State Historic Preservation Officers, and the Council in the conduct
of the Section 106 process. Alternative methods of meeting Sec-
tion 106 obligations are found in Section 800.7, governing review
of untertakings in States that have entered into agreements with
the Council for Section 106 purposes, and Section 800.13,
governing Programmatic Agreements with Federal agencies that
pertain to specific programs or activities. Under each of these
methods, the Council encourages Federal agencies to reach
agreement on developing alternatives or measures to avoid or
reduce effects on historic properties that meet both the needs of
the undertaking and preservation concerns.
(b) Flexible application. The Council recognizes that the pro-
cedures for the Agency Official set forth in these regulations may
be implemented by the Agency Official in a flexible manner reflect-
ing differing program requirements, as long as the purposes of
Section 106 of the Act and these regulations are met.
(c) Timing. Section 106 requires the Agency Official to complete
the Section 106 process prior to the approval of the expenditure
of any Federal funds on the undertaking or prior to the issuance
of any license or permit. The Council does not interpret this
language to bar an Agency Official from expending funds on or
authorizing nondestructive planning activities preparatory to an
undertaking before complying with Section 106, or to prohibit
phased compliance at different stages in planning. The Agency
Official should ensure that the Section 106 process is initiated
early in the planning stages of the undertaking, when the widest
feasible range of alternatives is open for consideration. The
Agency Official should establish a schedule for completing the
Section 106 process that is consistent with the planning and
approval schedule for the undertaking.
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Steps of the §106 process
800.4 Identifying historic properties.
Agency's determination of what
information will be needed to
complete the §106 process
Agency's location of historic
properties in the project area
Agency's evaluation of whether
properties found are "historic"
Agency/SHPO agreement about
National Register eligibility of
properties found
(a) Assessing information needs.
(1) Following a determination by the Agency Official that a pro-
posed project, activity, or program constitutes an undertaking and
after establishing the undertaking's area of potential effects, the
Agency Official shall:
(i) Review existing information on historic properties potentially
affected by the undertaking, including any data concerning the
likelihood that unidentified historic properties exist in the area of
potential effects;
(ii) Request the views of the State Historic Preservation Officer
on further actions to identify historic properties that may be affected;
and
(iii) Seek information in accordance with agency planning pro-
cesses from local governments, Indian tribes, public and private
organizations, and other parties likely to have knowledge of or
concerns with historic properties in the area.
(2) Based on this assessment, the Agency Official should deter-
mine any need for further actions, such as field surveys and
predictive modeling, to identify historic properties.
(b) Locating historic properties. In consultation with the State
Historic Preservation Officer, the Agency Official shall make a
reasonable and good faith effort to identify historic properties that
may be affected by the undertaking and gather sufficient informa-
tion to evaluate the eligibility of these properties for the National
Register. Efforts to identify historic properties should follow the
Secretary's "Standards and Guidelines for Archeology and Historic
Preservation" (48 FR 44716) and agency programs to meet the
requirements of Section 110(a)(2) of the Act.
(c) Evaluating historical significance.
(1) In consultation with the State Historic Preservation Officer
and following the Secretary's Standards and Guidelines for Evalua-
tion, the Agency Official shall apply the National Register Criteria
to properties that may be affected by the undertaking and that
have not been previously evaluated for National Register eligibility.
The passage of time or changing perceptions of significance may
justify reevaluation of properties that were previously determined to
be eligible or ineligible.
(2) If the Agency Official and the State Historic Preservation Offi-
cer agree that a property is eligible under the criteria, the property
shall be considered eligible for the National Register for Section
106 purposes.
(3) If the Agency Official and the State Historic Preservation
Officer agree that the criteria are not met, the property shall be
ihsi^s iwi u i
I^GUIWIICII I IG^IOIGI IVJI
purposes.
6
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Disagreement about National
Register eligibility of properties
found
Agency's actions if no historic
properties are found
Agency's actions if historic
properties are found
(4) If the Agency Official and the State Historic Preservation Of-
ficer do not agree, or if the Council or the Secretary so request,
the Agency Official shall obtain a determination from the Secretary
of the Interior pursuant to applicable National Park Service
regulations.
(5) If the State Historic Preservation Officer does not provide
views, then the State Historic Preservation Officer is presumed to
agree with the Agency Official's determination for the purpose of
this subsection.
(d) When no historic properties are found. If the Agency Official
determines in accordance with Sections 800.4(a)-(c) that there are
no historic properties that may be affected by the undertaking, the
Agency Official shall provide documentation of this finding to the
State Historic Preservation Officer. The Agency Official should
notify interested persons and parties known to be interested in the
undertaking and its possible effects on historic properties and
make the documentation available to the public. In these cir-
cumstances, the Agency Official is not required to take further
steps in the Section 106 process.
(e) When historic properties are found. If there are historic prop-
erties that the undertaking may affect, the Agency Official shall
assess the effects in accordance with Section 800.5.
Agency's assessment of project
effects on historic properties
found
Agency's use of Criteria of
Effect
Agency's actions if no effect is
found
Agency's use of Criteria of
Adverse Effect
Agency's actions if effects are
not adverse
800.5 Assessing effects.
(a) Applying the Criteria of Effect. In consultation with the State
Historic Preservation Officer, the Agency Official shall apply the
Criteria of Effect (Section 800.9(a)) to historic properties that may
be affected, giving consideration to the views, if any, of interested
persons.
(b) When no effect is found. If the Agency Official finds the
undertaking will have no effect on historic properties, the Agency
Official shall notify the State Historic Preservation Officer and inter-
ested persons who have made their concerns known to the
Agency Official and document the finding, which shall be available
for public inspection. Unless the State Historic Preservation Officer
objects within 15 days of receiving such notice, the Agency
Official is not required to take any further steps in the Section 106
process. If the State Historic Preservation Officer files a timely
objection, then the procedures described in Section 800.5(c) are
followed.
(c) When an effect is found. If an effect on historic properties is
found, the Agency Official, in consultation with the State Historic
Preservation Officer, shall apply the Criteria of Adverse Effect (Sec-
tion 800.9(b)) to determine whether the effect of the undertaking
should be considered adverse.
(d) When the effect is not considered adverse.
(1) If the Agency Official finds the effect is not adverse, the
Agency Official shall:
(i) Obtain the State Historic Preservation Officer's concurrence
with the finding and notify and submit to the Council summary
documentation, which shall be available for public inspection; or
-------
/Agency's actions if effects are
adverse
Consultation to avoid or reduce
adverse effects; Council
participation is optional
Invitation to interested persons
to join in consultation
Documentation needed for
consultation
Public notification about
consultation
Memorandum of Agreement
(MOA) reached through
consultation; MOA signatories
(ii) Submit the finding with necessary documentation (Section
800.8(a)) to the Council for a 30-day review period and notify the
State Historic Preservation Officer.
(2) If the Council does not object to the finding of the Agency
Official within 30 days of receipt of notice, or if the Council objects
but proposes changes that the Agency Official accepts, the
Agency Official is not required to take any further steps in the Sec-
tion 106 process other than to comply with any agreement with
the State Historic Preservation Officer or Council concerning the
undertaking. If the Council objects and the Agency Official does
not agree with changes proposed by the Council, then the effect
shall be considered as adverse.
(e) When the effect is adverse. If an adverse effect on historic
properties is found, the Agency Official shall notify the Council and
shall consult with the State Historic Preservation Officer to seek
ways to avoid or reduce the effects on historic properties. Either
the Agency Official or the State Historic Preservation Officer may
request the Council to participate. The Council may participate in
the consultation without such a request.
(1) Involving interested persons. Interested persons shall be
invited to participate as consulting parties as follows when they so
request:
(i) The head of a local government when the undertaking may
affect historic properties within the local government's jurisdiction;
(ii) The representative of an Indian tribe in accordance with
Section 800.1(c)(2)(iii);
(iii) Applicants for or holders of grants, permits, or licenses,
and owners of affected lands; and
(iv) Other interested persons when jointly determined
appropriate by the Agency Official, the State Historic Preservation
Officer, and the Council, if participating.
(2) Documentation. The Agency Official shall provide each of
the consulting parties with the documentation set forth in Section
800.8(b) and such other documentation as may be developed in
the course of consultation.
(3) Informing the public. The Agency Official shall provide an
adequate opportunity for members of the public to receive infor-
mation and express their views. The Agency Official is encouraged
to use existing agency public involvement procedures to provide
this opportunity The Agency Official State Historic Preservation
Officer, or the Council may meet with interested members of the
public or conduct a public information meeting for this purpose.
(4) Agreement. If the Agency Official and the State Historic
Preservation Officer agree upon how the effects will be taken into
account, they shall execute a Memorandum of Agreement. When
the Council participates in the consultation, it shall execute the
K^orr-»/-Nror»/-4i im /-if A r*r&orY*&nt pl^fN/i \t/itki IKo Anort/^%/ /""WfifMol onH
iviv*< i iwi C*« iuui i i wi * »y> vvi i i v> it. wvt i^ **•*•• *.. iw * »^v. ivj >M
the State Historic Preservation Officer. When the Council has not
participated in consultation, the Memorandum of Agreement shall
be submitted to the Council for comment in accordance with Sec-
tion 800.6(a). As .appropriate, the Agency Official, the State
Historic Preservation Officer, and the Council, if participating, may
agree to invite other consulting parties to concur in the agreement.
-------
Amendments to MOA's
Ending consultation
(5) Amendments. The Agency Official, the State Historic Preser-
vation Officer, and the Council, if it was a signatory to the original
agreement, may subsequently agree to an amendment to the
Memorandum of Agreement. When the Council is not a party to
the Memorandum of Agreement, or the Agency Official and the
State Historic Preservation Officer cannot agree on changes to the
Memorandum of Agreement, the proposed changes shall be sub-
mitted to the Council for comment in accordance with Section
800.6.
(6) Ending consultation. The Council encourages Agency
Officials and State Historic Preservation Officers to utilize the con-
sultation process to the fullest extent practicable. After initiating
consultation to seek ways to reduce or avoid effects on historic
properties, the State Historic Preservation Officer, the Agency
Official, or the Council, at its discretion, may state that further con-
sultation will not be productive and thereby terminate the consulta-
tion process. The Agency Official shall then request the Council's
comments in accordance with Section 800.6(b) and notify all other
consulting parties of its requests.
Council review of an MOA
Documentation for MOA review
Council comment, absent an
MOA
Documentation for Council
comment, absent an MOA
800.6 Affording the Council an opportunity to comment.
(a) Review of a Memorandum of Agreement.
(1) When an Agency Official submits a Memorandum of Agree-
ment accompanied by the documentation specified in Section
800.8(b) and (c), the Council shall have 30 days from receipt to
review it. Before this review period ends, the Council shall:
(i) Accept the Memorandum of Agreement, which concludes
the Section 106 process, and inform all consulting parties; or
(ii) Advise the Agency Official of changes to the Memoran-
dum of Agreement that would make it acceptable; subsequent
agreement by the Agency Official, the State Historic Preservation
Officer, and the Council concludes the Section 106 process; or
(iii) Decide to comment on the undertaking, in which case the
Council shall provide its comments within 60 days of receiving the
Agency Official's submission, unless the Agency Official agrees
otherwise.
(2) If the Agency Official, the State Historic Preservation Officer,
and the Council do not reach agreement in accordance with Sec-
tion 800.6(a)(1)(ii), the Agency Official shall notify the Council,
which shall provide its comments within 30 days of receipt of
notice.
(b) Comment when there is no agreement.
(1) When no Memorandum of Agreement is submitted, the
Agency Official shall request Council comment and provide the
documentation specified in Section 800.8(d). When requested by
the Agency Official, the Council shall provide its comments within
60 days of receipt of the Agency Official's request and the
specified documentation.
9
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Additional information, onsite
inspection, public meeting,
absent an MOA
How the Council provides
comments, absent an MOA
Agency's response to Council
comment
Failure to carry out terms of an
MOA
Agency's consideration of
Council comment
Agency actions that preempt
reasonable opportunity for
Council comment
Public objection to agency
determinations about whether
historic properties or effects are
present
(2) The Agency Official shall make-a good faith effort to provide
reasonably available additional information concerning the under-
taking and shall assist the Council in arranging an onsite inspec-
tion and public meeting when requested by the Council.
(3) The Council shall provide its comments to the head of the
agency requesting comment. Copies shall be provided to the
State Historic Preservation Officer, interested persons, and others
as appropriate.
(c) Response to Council comment.
(1) When a Memorandum of Agreement becomes final in
accordance with Section 800.6(a)(1)(i) or (ii), the Agency Official
shall carry out the undertaking in accordance with the terms of the
agreement. This evidences fulfillment of the agency's Section 106
responsibilities. Failure to carry out the terms of a Memorandum of
Agreement requires the Agency Official to resubmit the undertak-
ing to the Council for comment in accordance with Section 800.6.
(2) When the Council has commented pursuant to Section
800.6(b), the Agency Official shall consider the Council's com-
ments in reaching a final decision on the proposed undertaking.
The Agency Official shall report the decision to the Council, and if
possible, should do so prior to initiating the undertaking,
(d) Foreclosure of the Council's opportunity to comment.
(1) The Council may advise an Agency Official that it considers
the agency has not provided the Council a reasonable opportunity
to comment. The decision to so advise the Agency Official will be
reached by a majority vote of the Council or by a majority vote of
a panel consisting of three or more Council members with the
concurrence of the Chairman.
(2) The Agency Official will be given notice and a reasonable
opportunity to respond prior to a proposed Council determination
that the agency has foreclosed the Council's opportunity to
comment.
(e) Public requests to the Council.
(1) When requested by any person, the Council shall consider
an Agency Official's finding under Sections 800.4(b), 800.4(c),
800.4(d), or 800.5(b) and, within 30 days of receipt of the request,
advise the Agency Official, the State Historic Preservation Officer,
and the person making the request of its views of the Agency
Official's finding.
(2) In light of the Council views, the Agency Official should
reconsider the finding. However, an inquiry to the Council will not
suspend action on an undertaking.
(3) When the finding concerns the eligibility of a property for the
National Register, the Council shall refer the matter to the
Secretary.
10
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Substitute review processes
developed by States for §706
review
Council review of a proposed
substitute State review process
SHPO/Council consultation
about a proposed substitute
State review process
800.7 Agreements with States for Section 106 reviews.
(a) Establishment of State agreements.
(1) Any State Historic Preservation Officer may enter into an
agreement with the Council to substitute a State review process
for the procedures set forth in these regulations, provided that:
(i) The State historic preservation program has been approved
by the Secretary pursuant to Section 101(b)(1) of the Act; and
(ii) The Council, after analysis of the State's review process
and consideration of the views of Federal and State agencies,
local governments, Indian tribes, and the public, determines that
the State review process is at least as effective as, and no more
burdensome than, the procedures set forth in these regulations in
meeting the requirements of Section 106.
(2) The Council, in analyzing a State's review process pursuant
to Section 800.7(a)(1)(ii), shall:
(i) Review relevant State laws, Executive Orders, internal
directives, standards, and guidelines;
(ii) Review the organization of the State's review process;
(iii) Solicit and consider the comments of Federal and State
agencies, local governments, Indian tribes, and the public;
(iv) Review the results of program reviews carried out by the
Secretary; and
(v) Review the record of State participation in the Section 106
process.
(3) The Council will enter into an agreement with a State under
this section only upon determining, at minimum, that the State has
a demonstrated record of performance in the Section 106 process
and the capability to administer a comparable process at the State
level.
(4) A State agreement shall be developed through consultation
between the State Historic Preservation Officer and the Council
and concurred in by the Secretary before submission to the Coun-
cil for approval. The Council may invite affected Federal and State
agencies, local governments, Indian tribes, and other interested
persons to participate in this consultation. The agreement shall:
(i) Specify the historic preservation review process employed
in the State, showing that this process is at least as effective as,
and no more burdensome than, that set forth in these regulations;
(ii) Establish special provisions for participation of local
governments or Indian tribes in the review of undertakings falling
within their jurisdiction, when appropriate;
(iii) Establish procedures for public participation in the State
review process;
(iv) Provide for Council review of actions taken under its
terms, and for appeal of such actions to the Council; and
(v) Be certified by the Secretary as consistent with the
Secretary's "Standards and Guidelines for Archeoiogy and Historic
Preservation."
11
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/Agency's use of substitute State
review processes
Monitoring or terminating
substitute State review
processes
(5) Upon concluding a State agreement, the Council shall
publish notice of its execution in the Federal Register and make
copies of the State agreement available to all Federal agencies.
(b) Review of undertakings when a State agreement is in effect.
(1) When a State agreement under Section 800.7(a) is in effect,
an Agency Official may elect to comply with the State review pro-
cess in lieu of compliance with these regulations.
(2) At any time during review of an undertaking under a State
agreement, an Agency Official may terminate such review and
comply instead with Sections 800.4 through 800.6 of these
regulations.
(3) At any time during review of an undertaking under a State
agreement, the Council may participate. Participants are encour-
aged to draw upon the Council's expertise as appropriate.
(c) Monitoring and termination of State agreements.
(1) The Council shall monitor activities carried out under State
agreements, in coordination with the Secretary of the Interior's
approval of State programs under Section 101(b)(1) of the Act.
The Council may request that the Secretary monitor such activities
on its behalf.
(2) The Council may terminate a State agreement after consulta-
tion with the State Historic Preservation Officer and the Secretary.
(3) An agreement may be terminated by the State Historic
Preservation Officer.
(4) When a State agreement is terminated pursuant to Section
800.7(c)(2) and (3), such termination shall have no effect on under-
takings for which review under the agreement was complete or in
progress at the time the termination occurred.
800.8 Documentation requirements.
Documentation for finding of no
adverse effect
(a) Finding of no adverse effect. The purpose of this documenta-
tion is to provide sufficient information to explain how the Agency
Official reached the finding of no adverse effect. The required
(1) A description of the undertaking, including photographs,
maps, arse! drawings, as necessary;
(2) A description of historic properties that may be affected by
the undertaking;
(3) A description of the efforts used to identify historic
properties;
why the Criteria of Adverse Effect
(4) A statement of
were found inapplicable;
(5) The views of the State Historic Preservation Officer, affected
local governments, Indian tribes, Federal agencies, and the public,
if any were provided, as well as a description of the means
employed to solicit those views.
12
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Documentation required for
consultation
Documentation required for
submitting a signed MOA for
Council review
Documentation required for
requesting written Council
comment, absent an MOA
(b) Finding of adverse effect. The required documentation is as
follows:
(1) A description of the undertaking, including photographs,
maps, and drawings, as necessary;
(2) A description of the efforts to identify historic properties;
(3) A description of the affected historic properties, using
materials already compiled during the evaluation of significance,
as appropriate; and
(4) A description of the undertaking's effects on historic
properties.
(c) Memorandum of Agreement. When a memorandum is sub-
mitted for review in accordance with Section 800.6(a)(1), the
documentation, in addition to that specified in Section 800.8(b),
shall also include a description and evaluation of any proposed
mitigation measures or alternatives that were considered to deal
with the undertaking's effects and a summary of the views of the
State Historic Preservation Officer and any interested persons.
(d) Requests for comment when there is no agreement. The pur-
pose of this documentation is to provide the Council with sufficient
information to make an independent review of the undertaking's
effects on historic properties as the basis for informed and mean-
ingful comments to the Agency Official. The required documenta-
tion is as follows:
(1) A description of the undertaking, with photographs, maps,
and drawings, as necessary;
(2) A description of the efforts to identify historic properties;
(3) A description of the affected historic properties, with informa-
tion on the significant characteristics of each property;
(4) A description of the effects of the undertaking on historic
properties and the basis for the determinations;
(5) A description and evaluation of any alternatives or mitigation
measures that the Agency Official proposes for dealing with the
undertaking's effects;
(6) A description of any alternatives or mitigation measures that
were considered but not chosen and the reasons for their
rejection;
(7) Documentation of consultation with the State Historic Preser-
vation Officer regarding the identification and evaluation of historic
properties, assessment of effect, and any consideration of alter-
natives or mitigation measures;
(8) A description of the Agency Official's efforts to obtain and
consider the views of affected local governments, Indian tribes,
and other interested persons;
(9) The planning and approval schedule for the undertaking;
and
13
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Criteria of Effect
Criteria of Adverse Effect
Exceptions to the Criteria of
Adverse Effect
(10) Copies or summaries of arty written views submitted to the
Agency Official concerning the effects of the undertaking on
historic properties and alternatives to reduce or avoid those
effects.
800.9 Criteria of Effect and Adverse Effect.
(a) An undertaking has an effect on a historic property when the
undertaking may alter characteristics of the property that may
qualify the property for inclusion in the National Register. For the
purpose of determining effect, alteration to features of the prop-
erty's location, setting, or use may be relevant depending on a
property's significant characteristics and should be considered.
(b) An undertaking is considered to have an adverse effect when
the effect on a historic property may diminish the integrity of the
property's location, design, setting, materials, workmanship, feel-
ing, or association. Adverse effects on historic properties include,
but are not limited to:
(1) Physical destruction, damage, or alteration of all or part of
the property;
(2) Isolation of the property from or alteration of the character of
the property's setting when that character contributes to the prop-
erty's qualification for the National Register;
(3) Introduction of visual, audible, or atmospheric elements that
are out of character with the property or alter its setting;
(4) Neglect of a property resulting in its deterioration or destruc-
tion; and
(5) Transfer, lease, or sale of the property.
(c) Effects of an undertaking that would otherwise be found to be
adverse may be considered as being not adverse for the purpose
of these regulations:
(1) When the historic property is of value only for its potential
contribution to archeological, historical, or architectural research,
and when such value can be substantially preserved through the
conduct of appropriate research, and such research is conducted
in accordance with applicable professional standards and
guidelines;
(2) When the undertaking is limited to tne rehabilitation of
buildings and structures and is conducted in a manner that
preserves the historical and architectural value of affected historic
property through conformance with the Secretary's "Standards for
Rehabilitation and Guidelines for Rehabilitating Historic Buildings";
or
(3) When the undertaking is limited to the transfer, lease, or sale
of a historic property, and adequate restrictions or conditions are
included to ensure preservation of the property's significant
historic features.
14
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SUBPART C—SPECIAL PROVISIONS
Special agency requirements
for National Historic Landmarks
Discovery of historic properties
after a project has begun
Prior agency planning for
discoveries
Agency responsibilities absent a
plan for discoveries
800.10 Protecting National Historic Landmarks.
Section 110(f) of the Act requires that the Agency Official, to the
maximum extent possible, undertake such planning and actions as
may be necessary to minimize harm to any National Historic Land-
mark that may be directly and adversely affected by an undertak-
ing. When commenting on such undertakings, the Council shall
use the process set forth in Sections 800.4 through 800.6 and
give special consideration to protecting National Historic Land-
marks as follows:
(a) Any consultation conducted under Section 800.5(e) shall
include the Council;
(b) The Council may request the Secretary under Section 213 of
the Act to provide a report to the Council detailing the significance
of the property, describing the effects of the undertaking on the
property, and recommending measures to avoid, minimize, or
mitigate adverse effects; and
(c) The Council shall report its comments, including Memoranda
of Agreement, to the President, the Congress, the Secretary, and
the head of the agency responsible for the undertaking.
800.11 Properties discovered during implementation of an
undertaking.
(a) Planning for discoveries.
When the Agency Official's identification efforts in accordance with
Section 800.4 indicate that historic properties are likely to be
discovered during implementation of an undertaking, the Agency
Official is encouraged to develop a plan for the treatment of such
properties if discovered and include this plan in any documenta-
tion prepared to comply with Section 800.5.
(b) Federal agency responsibilities.
(1) When an Agency Official has completed the Section 106
process and prepared a plan in accordance with Section 800.11 (a),
the Agency Official shall satisfy the requirements of Section 106
concerning properties discovered during implementation of an
undertaking by following the plan.
(2) When an Agency Official has completed the Section 106
process without preparing a plan in accordance with Section
800.11 (a) and finds after beginning to carry out the undertaking
that the undertaking will affect a previously unidentified property
that may be eligible for inclusion in the National Register, or affect
a known historic property in an unanticipated manner, the Agency
Official shall afford the Council an opportunity to comment by
choosing one of the following courses of action:
(i) Comply with Section 800.6;
15
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Council comments when
historic properties are
discovered after a project has
begun
Agency actions to determine
National Register eligibility of
newly discovered properties
Discovery of properties on
Indian lands
(ii) Develop and implement actions that take into account the
effects of the undertaking on the property to the extent feasible
and the comments from the State Historic Preservation Officer and
the Council pursuant to Section 800.11(c); or
(iii) If the property is principally of archeological value and
subject to the requirements of the Archeological and Historic
Preservation Act, 16 U.S.C. §§ 469 (a)-(c), comply with that Act
and implementing regulations instead of these regulations.
(3) Section 106 and these regulations do not require the Agency
Official to stop work on the undertaking. However, depending on
the nature of the property and the undertaking's apparent effects
on it, the Agency Official should make reasonable efforts to avoid
or minimize harm to the property until the requirements of this sec-
tion are met.
(c) Council Comments.
(1) When comments are requested pursuant to Section
800.11(b)(2)(i), the Council will provide its comments in a time con-
sistent with the Agency Official's schedule, regardless of longer
time periods allowed by these regulations for Council review.
(2) When an Agency Offical elects to comply with Section
800.11(b)(2)(ii), the Agency Official shall notify the State Historic
Preservation Officer and the Council at the earliest possible time,
describe the actions proposed to take effects into account, and
request the Council's comments. The Council shall provide interim
comments to the Agency Official within 48 hours of the request
and final comments to the Agency Official within 30 days of the
request.
(3) When an Agency Official complies with Section
800.11(b)(2)(iii), the Agency Official shall provide the State Historic
Preservation Officer an opportunity to comment on the work
undertaken and provide the Council with a report on the work
after it is undertaken.
(d) Other considerations.
(1) When a newly discovered property has not previously been
included in or determined eligible for the National Register, the
Agency Official may assume the property to be eligible for pur-
poses of Section 106.
(2) When a discovery occurs and compliance with this section is
necessary on lands under the jurisdiction OT an Indian tribe, the
Agency Official shall consult with the Indian tribe during implemen-
tation of this section's requirements.
16
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Waiver of §f 06 requirements
during disasters or declared
emergencies
30-day timeframe for §106
waiver in disaster situations
800.12 Emergency undertakings.
(a) When a Federal agency head proposes an emergency action
and elects to waive historic preservation responsibilities in accor-
dance with 36 CFR § 78.2, the Agency Official may comply with
the requirements of 36 CFR Part 78 in lieu of these regulations.
An Agency Official should develop plans for taking historic prop-
erties into account during emergency operations. At the request of
the Agency Official, the Council will assist in the development of
such plans.
(b) When an Agency Official proposes an emergency undertaking
as an essential and immediate response to a disaster declared by
the President or the appropriate Governor, and Section 800.12(a)
does not apply, the Agency Official may satisfy Section 106 by
notifying the Council and the appropriate State Historic Preserva-
tion Officer of the emergency undertaking and affording them an
opportunity to comment within seven days if the Agency Official
considers that circumstances permit.
(c) For the purposes of activities assisted under Title I of the Hous-
ing and Community Development Act of 1974, as amended, Sec-
tion 800.12(b) also applies to an imminent threat to public health
or safety as a result of natural disaster or emergency declared by
a local government's chief executive officer or legislative body,
provided that if the Council or the State Historic Preservation Offi-
cer objects, the Agency Official shall comply with Sections 800.4
through 800.6.
(d) This section does not apply to undertakings that will not be
implemented within 30 days after the disaster or emergency. Such
undertakings shall be reviewed in accordance with Sections 800.4
through 800.6.
Agency's use of Programmatic
Agreements
Examples of projects or pro-
grams suitable for Program-
matic Agreements
800.13 Programmatic Agreements.
(a) Application. An Agency Official may elect to fulfill an agency's
Section 106 responsibilities for a particular program, a large or
complex project, or a class of undertakings that would otherwise
require numerous individual requests for comments, through a
Programmatic Agreement. Programmatic Agreements are appro-
priate for programs or projects:
(1) When effects on historic properties are similar and repetitive
or are multi-State or national in scope;
(2) When effects on historic properties cannot be fully deter-
mined prior to approval;
(3) When non-Federal parties are delegated major decisionmak-
ing responsibilities;
(4) That involve development of regional or land-management
plans; or
(5) That involve routine management activities at Federal
installations.
17
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Agency/Council consultation to
reach a Programmatic
Agreement
Public involvement in
Programmatic Agreement
consultation
Signatories of a Programmatic
Agreement
Effect of a Programmatic
Agreement
Public notification of a
Programmatic Agreement
Failure to carry out terms of a
Programmatic Agreement
(b) Consultation process. The Council and the Agency Official
shall consult to develop a Programmatic Agreement. When a par-
ticular State is affected, the appropriate State Historic Preservation
Officer shall be a consulting party. When the agreement involves
issues national in scope, the President of the National Conference
of State Historic Preservation Officers or a designated represen-
tative shall be invited to be a consulting party by the Council. The
Council and the Agency Official may agree to invite other Federal
agencies or others to be consulting parties or to participate, as
appropriate.
(c) Public involvement. The Council, with the assistance of the
Agency Official, shall arrange for public notice and involvement
appropriate to the subject matter and the scope of the program.
Views from affected units of State and local government, Indian
tribes, industries, and organizations will be invited.
(d) Execution of the Programmatic Agreement. After considera-
tion of any comments received and reaching final agreement, the
Council and the Agency Official shall execute the agreement.
Other consulting parties may sign the Programmatic Agreement as
appropriate.
(e) Effect of the Programmatic Agreement. An approved Pro-
grammatic Agreement satisfies the Agency's Section 106 respon-
sibilities for all individual undertakings carried out in accordance
with the agreement until it expires or is terminated.
(f) Notice. The Council shall publish notice of an approved Pro-
grammatic Agreement in the Federal Register and make copies
readily available to the public.
(g) Failure to carry out a Programmatic Agreement. If the terms
of a Programmatic Agreement are not carried out or if such an
agreement is terminated, the Agency Official shall comply with
Sections 800.4 through 800.6 with regard to individual undertak-
ings covered by the agreement.
Coordination of §706 with other
authorities
Coordination with NEPA
environmental studies
Multipurpose determinations
and agreements
800.14 Coordination with other authorities.
To the extent feasible, Agency Officials, State Historic Preservation
Officers, and the Council should encourage coordination of imple-
mentation of these regulations with the steps taken to satisfy other
historic preservation and environmental authorities by:
(a) integrating compliance with these regulations with the pro-
cesses of environmental review carried out pursuant to the
National Environmental Policy Act, and coordinating any studies
needed to comply with these regulations with studies of related
natural and social aspects;
(b) Designing determinations and agreements to satisfy the terms
not only of Section 106 and these regulations, but also the
requirements c? such other historic preservation authorities as the
Archeological and Historic Preservation Act, the Archeological
Resources Protection Act, Section 110 of the Naticr.a! Histcric
Preservation Act, and Section 4(f) of the Department of Transporta-
tion Act, as applicable, so that a single document can be used for
the purposes of all such authorities;
18
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Multipurpose studies and (c) Designing and executing studies, 'surveys, and other
surveys information-gathering activities for planning and undertaking so
that the resulting information and data is adequate to meet the
requirements of all applicable Federal historic preservation
authorities; and
Coordinated public involvement (d) Using established agency public involvement processes to
elicit the views of the concerned public with regard to an under-
taking and its effects on historic properties.
-Agency's use of counterpart 800.15 Counterpart regulations.
regulations to substitute for
36 CFR Part 800 \n consultation with the Council, agencies may develop counter-
part regulations to carry out the Section 106 process. When con-
curred in by the Council, such counterpart regulations shall stand
in place of these regulations for the purposes of the agency's
compliance with Section 106.
19
« OA aovrammrr PBQRIXO omc* »«* - u*-t» - in max.
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Attachment 3
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Thursday
September 29, 1983
Part IV
Department of the
Interior
National Park Service
Archeology and Historic Preservation;
Secretary of the Interior's Standards and
Guidelines
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44716
Federal Register / Vol. 48. No. 190 / Thursday. September 29.1983 / Notices
DEPARTMENT OF THE INTERIOR
National Park Service
Archeology and Historic Preservation;
Secretary of the Interior's Standards
and Guidelines
AGENCY: National Park Service. Interior.
ACTION: Notice.
SUMMARY: This notice sets forth the
Secretary of the Interior's Standards and
Guidelines for Archeology and Historic
Preservation. These standards and
guidelines are not regulatory and do not
set or interpret agency policy. They are
intended to provide technical advice
about archeological and historic
preservation activities and methods.
DATE: These Standards and Guidelines
are effective on September 29.1983.
FOR FURTHER INFORMATION CONTACT:
Lawrence E. Aten. Chief. Interagency
Resources Division, National Park
Service. United States Department of the
Interior. Washington. D.C. 20240 (202-
343-9500). A Directory of Technical
Information listing other sources of
supporting information is available from
the National Park Service.
SUPPLEMENTARY INFORMATION: The
Standards and Guidelines are prepared
under the authority of Sections 101(f),
(g), and (h). and Section 110 of the
National Historic Preservation Act of
1966. as amended. State Historic
Preservation Officers; Federal
Preservation Officers including those of
the Department of Agriculture.
Department of Defense. Smithsonian
Institution and General Services
Administration; the Advisory Council on
Historic Preservation; the National Trust
for Historic Preservation; and other
interested parties were consulted during
the development of the Standards and
Guidelines; additional consultation with
tnese agencies win occur UB ine
Standards and Guidelines are tested
during their first year of use.
Purpose
The proposed Standards and the
philosophy on which they are based
result from nearly twenty years of
intensive preservation activities at the
Federal, State, and local levels.
The purposes of the Standards are:
To organize the information gathered
about preservation activities.
To describe results to be achieved by
Federal agencies. States, and others
when planning for the identification.
evaluation, registration and treatment of
historic properties.
To integrate the diverse efforts of
many entities performing historic
preservation into a systematic effort to
preserve our nation's cultural heritage.
Uses of the Standards
The following groups or individuals
are encouraged to use these Standards:
Federal agency personnel responsible
for cultural resource management
pursuant to Section 110 of the National
Historic Preservation Act as amended,
in areas under Federal jurisdiction. A
separate series of guidelines advising
Federal agencies on their specific
historic preservation activities under
Section 110 is in preparation.
State Historic Preservation Offices
responsible under the National Historic
Preservation Act. as amended, for
making decisions about the preservation
of historic properties in their States in
accordance with appropriate'regulations
and the Historic Preservation Fund
Grants Management Manual. The State
Historic Preservation Offices serve as
the focal point for preservation planning
and act as a central state-wide
repository of collected information.
Local governments wishing to
establish a comprehensive approach to
the identification, evaluation,
registration and treatment of historic
properties within their jurisdictions.
Other individuals and organizations
needing basic technical standards and
guidelines for historic preservation
activities.
Organization
This material is organized in three
sections: Standards; Guidelines; and
recommended technical sources, cited at
the end of each set of guidelines. Users
of this document are expected to consult
the recommended technical sources to
obtain guidance in specific cases.
Review of the Standards and Guideline*
The Secretary of the Interior's
Standards for Rehabilitation have
recently undergone extensive review
and their guidelines made current after 5
years of field use. Users and other
interested parties are encouraged to
submit written comments on the utility
of these Standards and Guidelines
except for the Rehabilitation Standards
mentioned above. This edition will be
thoroughly reviewed by the National
Park Service (including consultation
with Federal and State agencies), after
the end of its first full year of use and
any necessary modifications will be
made. Subsequent reviews are
anticipated as needed. Comments
should be sent to Chief. Interagency
Resources Division. NationaJ Park
Service. United States Department of the
Interior. .Washington. D.C. 20240.
Contents
Standards for Preservation Planning
Guidelines for Preservation Planning
Standards for Identification
Guidelines for Identification
Standards for Evaluation
Guidelines for Evaluation
Standards for Registration
Guidelines for Registration
Standards for Historical Documentation
Guidelines for Historical Documentation
Standards for Architectural -and Engineering
Documentation
Guidelines for Architectural and
Engineering Documentation
Standards for Archeological Documentation
Guidelines for Archeological
Documentation
Standards for Historic Preservation Projects
Professional Qualifications Standards
Preservation Terminology
Secretary of the Interior's Standards for
Preservation Planning
Preservation planning is a process
that organizes preservation activities
(identification, evaluation, registration
and treatment of historic properties) in a
logical sequence. The Standards for
Planning discuss the relationship among
these activities while the remaining
activity standards consider how each
activity should be carried out. The
Professional Qualifications Standards
discuss the education and experience
required to carry out various activities.
The Standards for Planning outline a
process that determines when an area
should be examined for historic
properties, whether an identified
property is significant and how a
significant property should be treated.
Preservation planning is based on the
following principles:
—Important historic properties cannot
be replaced if they are destroyed.
Preservation planning provides for
conservative use of these properties,
preserving them in place and avoiding
harm when possible and altering or
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necessary.
—If planning for the preservation of
historic properties is to have positive
effects, it must begin before the
identification of all significant properties
has been completed. To make
responsible decisions about historic
properties, existing information must be
used to the maximum extent and new
information must be acquired as needed.
—Preservation planning includes
public participation. The planning
process should provide a forum for open
discussion of preservation issues. Public
involvement is most meaningful when it
is used to assist in defining values of
properties and preservation planning
issues, rather than when it is limited to
review of decisions already made. Early
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices 44717
'and continuing public participation ia
essential to the broad acceptance of
preservation planning decisions.
Preservation planning can occur at
several levels or scales: in a project
area: in a community; in a State as a
whole: or in the scattered or contiguous
landholdings-of a Federal agency.
Depending on the scale, the planning
process will involve different segments
of the public and professional
communities and the resulting plans will
vary in detail. For example, a State
preservation plan will likely have more
general recommendations than a plan
for a project area or a community. The
planning process described in these
Standards is flexible enough to be used
at all levels while providing a common
structure which promotes coordination
and minimizes duplication of effort The
Guidelines for Preservation Planning
contain additional information about
how to integrate various levels of
planning.
Standard I. Preservation Planning
Establishes Historic Contexts
Decisions about the identification.
evaluation, registration and treatment of -
historic properties are most reliably
made when the relationship of
(individual properties to other similar
properties is understood. Information
about historic properties representing
aspects of history, architecture.
archeology, engineering and culture
must be collected and organized to
define these relationships. This
organizational framework is called a
"historic context" The historic context
organizes information based on a
cultural theme and its geographical and
chronological limits. Contexts describe
the significant broad patterns of
development in an area that may be
represented by historic properties. The
development of historic contexts is the
foundation for decisions about
identification, evaluation, registration
and treatment of historic properties.
Standard II. Preservation Planning Uses
Historic Contexts To Develop-Goals and
Priorities for the Identification.
Evaluation. Registration and Treatment
of Historic Properties
A series of preservation goals is
systematically developed for each
historic context to ensure that the range
of properties representing the important
aspects of each historic context is
identified, evaluated and treated. Then
priorities are set for all goals identified
I for each historic context. The goals with
assigned priorities established for each
historic context are integrated to
produce a comprehensive and consistent
set of goals and priorities for all historic
contexts in the geographical area of a
planning effort'.
The goals for each historic context
may change as new information
becomes available. The overall set of
goals and priorities are then altered in
response to the changes in the goals and
priorities for the individual historic
contexts.
Activities undertaken to meet the
goals must be designed to deliver a
usable product within a reasonable
period of time. The scope of the activity
must be defined so the work can be
completed with available budgeted
program resources.
Standard III. The Results of
Preservation Planning Are Made
A vaitable for Integration Into Broader
Planning Processes
Preservation of historic properties ia
one element of larger planning
processes. Planning results, including
goals and priorities, information about
historic properties, and any planning
documents, must be transmitted in a
usable form to those responsible for
other planning activities. Federally. ,-
mandated historic preservation planning
is most successfully integrated into
project management planning at an
early stage. Elsewhere, this integration
is achieved by making the results of
preservation planning available to other
governmental planning bodies and to
private interests whose activities affect
historic properties.
Secretary of the Interior's Guidelines for
Preservation Planning
Introduction
These Guidelines link the Standards
for Preservation Planning with more
specific guidance and technical
information. They describe one
approach to meeting the Standards for
Preservation Planning. Agencies,
organizations or individuals proposing
to approach planning differently may
wish to review their approaches with
the National Park Service.
The Guidelines are organized as
follows:
Managing the Planning Process
Developing Historic Contexts
Developing Goals for a Historic Context
Integrating Individual Historic Contexts—
Creating the Preservation Plan
Coordinating with Management Frameworks
Recommended Sources of Technical
Information
Managing the Planning Process
The preservation planning.process
must include an explicit approach to
implementation, a provision for review
and revision of all elements, and a
mechanism for resolving conflicts within
the overall set of preservation goals and
between this set of goals and other land
use planning goals. It is recommended
that the process and its products be
described in public documents.
Implementing the Process
The planning process is a continuous
cycle. To establish and maintain such a
process, however, the process must be
divided into manageable segments that
can be performed within a defined
period, such as a fiscal year or budget
cycle. One means of achieving this is to
define a period of time during which all
the preliminary steps in the planning
process will be completed. These
preliminary steps would include setting
a schedule for subsequent activities.
Review and Revision
Planning is a dynamic process. It is
expected that the content of the historic
contexts described in Standard I and the
goals and priorities described in
Standard H will be altered based on
new information obtained as planning
proceeds. The incorporation of this
information is essential to improve the
content of the plan and to keep it up-to-
date and useful. New information must
be reviewed regularly and
systematically, and the plan revised
accordingly.
Public Participation
The success of the preservation
planning process depends on how well it
solicits and integrates the views of
various groups. The planning process is
directed First toward resolving conflicts
in goals for historic preservation, and
second toward resolving conflicts
between historic preservation goals and
other land-use planning goals. Public
participation is intergral to this
approach and includes at least the
following actions:
1. Involving historians, architectural
historians, archeologists, historical
architects, folklorists and persons from
related discipline to define, review and
revise the historic contexts, goals and
priorities;
2. Involving interested individuals,
organizations and communities in the
planning area- in identifying the kinds of
historic properties that may exist-and
suitable protective measures;
3. Involving prospective users of the
preservation plan in defining issues,
goals and priorities;
4. Providing for coordination with
other planning efforts at local, state,
regional and national levels, as
appropriate; and
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44718
Federal Register / Vol. 48, No. 190 / Thursday. September 29. 1983 / Notices
5. Creating mechanisms for identifying
and resolving conflicts about historic
preservation issues.
The development of historic contexts.
for example, should be based on the
professional input of all disciplines
involved in preservation and not be
limited to a single discipline. For
prehistoric archeology, for example.
data from fields such as geology.
geomorphology and geography may also
be needed. The individuals and
organizations to be involved will
depend, in part, on those present or
interested in the planning area.
Documents Resulting from the Planning
Process
In most cases, the planning process
produces documents that explain how
the process works and that discuss the
historic contexts and related goals and
priorities. While the process can operate
in the absence of these documents,
planning documents are important
because they are the most effective
means of communicating the process
and its recommendations to others.
Planning documents also record
decisions about historic properties.
As various parts of the planning
process are reviewed and revised to
reflect current information, related
documents must also be updated.
Planning documents should be created
in a form that can be easily revised. It is
also recommended that the format
language and organization of any
documents or other materials (visual
aids, etc.) containing preservation
planning information meet the needs of
prospective users.
Developing Historic Contexts
General Approach
Available information about historic
properties must be divided into
manageable units before it can be useful
for planning purposes. Major decisions
about identifying, evaluating, registering
and treating historic properties are most
reliably made in the context of other
related properties. A historic context is
an organizational format that groups
information about related historic
properties, based on a theme,
geographic limits and chronological
period. A single historic context
describes one or more aspects of the
historic development of an area.
considering history, architecture.
archeology, engineering and culture; and
identifies the significant patterns that
individual historic properties represent
for example. Coal Mining in
Northeastern Pennsylvania between
1860 and 1930. A set of historic contexts
is a comprehensive summary of all
aspects of the history of the area.
The historic context is the cornerstone
of the planning process. The goal of
preservation planning is to identify,
evaluate, register and treat the full range
of properties representing each historic
context rather than only one or two
types of properties. Identification
activities are organized to ensure that
research and survey activities include
properties representing all aspects of the
historic context Evaluation uses the
historic context as the framework within
which to apply the criteria for evalution
to specific properties or property types.
Decisions about treatment of properties
are made with the goal of treating the
range of properties in the context The
use of historic contexts in organizing
major preservation activities ensures
that those activities result in the
preservation of the wide variety of
properties that represent our history,
rather than only a small biased sample
of properties.
Historic contexts, as theoretical
constructs, are linked to actual historic
properties through the concept of
property type. Property types permit the
development of plans for identification,
evaluation and treatment even in the
absence of complete knowledge of
individual properties. Like the historic
context property types are artifical
constructs which may be revised as
necessary.
Historic contexts can be .developed at
a variety of scales appropriate for local
State and regional planning. Given the
probability of historic contexts
overlapping in an area, it is important to
coordinate the development and use of
contexts at all levels/ Generally, the
State Historic Preservation Office
possesses the most complete body of
information about historic properties
and. in practice, is in the best position to
perform this function.
The development of historic contexts
generally results in documents that
describe the prehistoric processes or
patterns that define the context Each of
the contexts selected should be
developed to the point of identifying
important property types to be useful in
later preservation decision-making.The
amount of detail Included in these
summaries will vary depending on the
level (local, state, regional, or national)
at which the contexts are developed and
on their intended uses. For most
planning purposes, a synopsis of the
written description of the historic
context is sufficient
Creating a Historic Context
Generally, historic contexts should
not be constructed so broadly as to
include all property types under a single
historic context or so narrowly as to
contain only one property type per
historic context The following
procedures should be followed in
creating a historic context
1. Identify the concept, time period and
geographical limits for the historic
context
Existing information, concepts.
theories, models and descriptions should
be used as the basis for defining historic
contexts. Biases in primary and
secondary sources should be identified
and accounted for when existing
information is used in defining historic
contexts.
The identification and description of
historic contexts should incorporate
contributions from all disciplines
involved in historic preservation. The
chronological period and geographical
area of each historic context should be
denned after die conceptual basis is
established. However, there may be
exceptions, especially in defining
prehistoric contexts where drainage
systems or physiographic regions often
are outlined first The geographical
boundaries for historic contexts should
not be based upon contemporary
political, project or other contemporary
boundaries if those boundaries do not
coincide with historical boundaries. For
example, boundaries for prehistoric
contexts will have little relationship to
contemporary city, county or state
boundaries.
2. Assemble the existing information
about the historic context
a. Collecting information: Several
kinds of information are needed to
construct a preservation plan.
Information about the history of the area
encompassed by the historic context
information about historic properties
that have already been identified.
Existing survey or inventory entries are
an important source of information
•about historic properties. Other sources
may include literature on prehistory.
history, architecture and the
environment; social and environmental
impact assessments; county and aiaie
land use plans; architectural and folklife
studies and oral histories; ethnographic
research; State historic inventories and
registers; technical reports prepared for
Section 108 or other assessments of
historic properties; and and direct
consultation with individuals and
organized groups.
In addition, organizatipns and groups
that may have important roles In
defining historic contexts and values
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices 44719
should be identified. In most cases a
range of knowlegeable professionals
drawn from the preservation, planning
and academic communities will be
available to assist in defining contexts
and in identifying sources of
information. In other cases, however.
development of historic contexts may
occur in areas whose history or
prehistory has not been extensively
studied. In these situations, broad
general historic contexts should be
initially identified using available
literature and expertise, with the
expectation that the contexts will be
revised and subdivided in the future as
primary source research and field
survey are conducted. It is also
important to identify such sources of
information as existing planning data.
which is needed to establish goals for
identification, evaluation, and
treatment, and to identify factors that
will affect attainment of those goals.
The same approach for obtaining
information is not necessarily desirable
for all historic contexts. Information
should not be gathered without first
considering its relative importance to
the historic context, the cost and time
involved, and the expertise required to
obtain it. In many cases, for example.
1 published sources may be used in
writing initial definitions of historic
contexts; archival research or field work
may be needed for subsequent activities.
b. Assessing information: All
information should be reviewed to
identify bias in historic perspective,
methodological approach, or area of
coverage. For example, field surveys for
archeological sites may have ignored
historic archelolgical sites, or county
land use plans may have emphasized
only development goals.
3. Synthesize information
The information collection and
analysis results in a written narrative of
the historic context This narrative
provides a detailed synthesis of the data
that have been collected and analyzed.
The narrative covers the history of the
area from the chosen perspective and
identifies important patterns, events.
persons or cultural values. In the
process of identifying the important
patterns, one should consider:
a. Trends in area settlement and
development if relevant:
b. Aesthetic and artistic values
embodied in architecture, construction
technology or craftsmanship;
c. Research values or problems
relevant to the historic context social
and physical sciences and humanities;
and cultural interests of local
communities; and
d. Intangible cultural values of ethnic
groups and native American peoples.
4. Define property types
A property type is a grouping of
individual properties based on shared
physical or associative characteristics.
Property types link the ideas
incorporated hi the theoretical historic
context with actual historic properties
that illustrate those ideas. Property
types defined for each historic context
should be directly related to the
conceptual basis of the historic context
Property types defined for the historic
context "Coal Mining in Northeastern
Pennsylvania. 1860-1930" might include
coal extraction and processing
complexes; railroad and canal
transportation systems; commercial
districts; mine workers' housing;
churches, social clubs and other
community facilities reflecting the ethnic
origins of workers; and residences and
other properties associated with mine
owners and other industrialists.
a. Identify property types: The
narrative should discuss the kinds of
properties expected within the
geographical limits of the context and
group them into those property types
most useful in representing important
historic trends.
Generally, property types should be
defined after the historic context has
been defined. Property types in common
usage ("Queen Anne nouses," "mill
buildings;" or "stratified sites") should
not be adopted without first verifying
their relevance to the historic contexts
being used.
b. Characterize the locational
patterns of property types:
Generalizations about where particular
types of properties are likely to be found
can serve as a guide for identification
and treatment Generalizations about
the distribution of archeological
properties are frequently used. The
distribution of other historic properties
often can be estimated based on
recognizable historical, environmental
or cultural factors that determined their
location. Locational patterns of property
types should be based upon models that
have an explicit theoretical or historical
basis and can be tested in the field: The
model may be the product of historical
research and analysis ("Prior to •
widespread use of steam power, mills
were located on rivers and streams able
to produce water power" or "plantation
houses in the Mississippi Black Belt
were located on sandy clay knolls"), or
it may result from sampling techniques.
Often the results of statistically valid
sample surveys can be used to describe
the locational patterns of a
representative portion of properties
belonging to a particular property type.
Other surveys can also provide a basis
for suggesting locational patterns if a
diversity of historic properties was
recorded and a variety of environmental
zones was inspected. It is likely that-the
identification of locational patterns will
come from a combination of these
sources. Expected or predicted
locational patterns of property types
should be developed with a provision
made for their verification.
c. Characterize the current condition
of property types: The expected
condition of property types should be
evaluated to assist in the development
of identification, evaluation and
treatment strategies, and to help define
physical integrity thresholds for various
property types. The following should be
assessed for each property type:
(1) Inherent characteristics of a
property type that either contribute to or
detract from its physical'preservation.
For example, a property type commonly
constructed of fragile materials is more
likely to be deteriorated than a property
type constructed of durable materials;
structures whose historic function or
design limits the potential'for alternative
uses (water towers) are less likely to be
reused than structures whose design
allows a wider variety of other uses
(commercial buildings.or warehouses).
(2) Aspects of the social and natural
environment that may affect the
preservation or visibility of the property
type. For example, community values
placed on certain types of properties
(churches, historic cemeteries) may
result in their maintenance while the
need to reuse valuable materials may
stimulate the disappearance of
properties like abandoned houses and
barns.
It may be most efficient to estimate of
the condition of property types based on
professional knowledge of existing
properties and field test these estimates
using a small sample of properties
representative of each type.
5. Identify information jieeds
Filling gaps in information is an
important element of the preservation
plan designed for each historic context
Statements of the information needed
should be as specific as possible.
focusing on the information needed, the
historic context and property types it
applies to, and why the information is
needed to perform identification,
evaluation, or treatment activities.
Developing Goals foe a Historic Context
Developing Goals
A goal is a statement of preferred
preservation activities, which is
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
generally stated in terms of property
types.
The purpose of establishing
preservation goals is to set forth a "best
case" version of how properties in the
historic context should be identified.
evaluated registered and treated.
Preservation goals should be oriented
toward the greatest possible protection
of properties in the historic context and
should be based on the principle that
properties should be preserved in place
if possible, through affirmative
treatments like rehabilitation,
stabilization or restoration. Generally.
goals will be specific to the historic
context and will often be phrased in
terms of property types. Some of these
goals will be related to information
needs previously identified for the
historic context Collectively, the goals
for a historic context should be a
coherent statement of program direction
covering all aspects of the context.
For each goal, a statement should be
prepared identifying:
1. The goal, including the context and
property types to which the goal applies
and the geographical area.in which they
are located;
2. The activities required to achieve
the goal:
3. The most appropriate methods or
strategies for carrying out the activities:
4. A schedule within which the
activities should be completed; and
5. The amount of effort required to
accomplish the goal, as well as a way to
evaluate progress toward its
accomplishment
Setting priorities for goals
Once goals have been developed they
need to be ranked in importance.
Ranking involves examining each goal
in light of a number of factors.
1. General social, economic, political
and environmental conditions and
trends affecting (positively and
negatively) the identification.
evaluation, registration and treatment of
property types in the historic context
Some property types in the historic
context may be more directly threatened
by deterioration, land development
patterns, contemporary use patterns, or
public perceptions of their value, and
such property types should be given
priority consideration.
2. Major cost or technical
considerations affecting the
identification, evaluation and treatment
of property types hi the historic context
The identification or treatment of
some property types may be technically
possible but die cost prohibitive; or .
techniques may not currently perfected
(for example, the identification of
submerged sites or objects, or the
evaluation of sites containing material
for which dating techniques are still
being developed).
3. Identification, evaluation.
registration and treatment activities
previously carried out for property types
in the historic context
If a number of properties representing
one aspect of a historic-context have
been recorded or preserved, treatment
of additional members of that property
type may receive lower priority than
treatment of a property type for which
no examples have yet been recorded or
preserved. This approach ensures that
the focus of recording or preserving all
elements of ths historic context is
retained, rather than limiting activities
to preserving properties representing
only some aspects of the context
The result of considering the goals in
light of these concerns will be a list of
refined goals ranked in order of priority.
Integrating Individual Contexts—
Creating the Preservation Plan
When historic contexts overlap
geographically, competing goals and
priorities must be integrated for
effective preservation planning. The
ranking of goals for each historic
context must be reconciled to ensure
that recommendations for one context
do not contradict those for another. This
important step results in an overall set
of priorities for several historic contexts
and a list of the activities to be
performed to achieve the ranked goals.
When applied to a specific geographical
area, this is the preservation plan for
that area.
It is expected that in many instances
historic contexts will overlap
geographically. Overlapping contexts
are likely to occur in two
combinations—those that were defined
at the same scale (i.e., textile
development in Smithtown 1850-1910
and Civil War in Ssiiihtowii 1855-4870)
and those defined at different scales
(i.e.. Civil War in Smithtown and Civil
War in the Shenandoah Valley). The
contexts may share the same property
types, although the shared property
types will probably have different levels
of importance, or they may group the
same properties into different property
types, reflecting either a different scale
of analysis or a different historical
perspective.
As previously noted, many of the
goals that the formulated for a historic
context will focus on the property types
defined for that context Thus it iff
critical that the integration of goals
include the explicit consideration of the
potential for shared property type
membership by individual properties.
For example, when the same property
types are used by two contexts.
reconciling the goals will require
weighing the level of importance
assigned to each property type. The
degree to which integration of historic
contexts must involve reconciling
property types may be limited by the
coordinated development of historic
contexts used at various levels.
Integration with Management
Frameworks
Preservation goals and priorities are
adapted to land units through
integration with other planning
concerns. This integration must involve
the resolution of conflicts that arise
when competing resources occupy the
same land base. Successful resolution of
these conflicts can often be achieved
through judicious combination of
inventory, evaluation and treatment
activities. Since historic properties are
irreplaceable, these activities should be
heavily weighted to discourage the
destruction of significant properties and
to be compatible with the primary land
use.
Recommended Sources of Technical
Information
Resource Protection Planning Process.
State and Plans Grants Division, 1980.
Washington. D.C. Available from Survey and
Planning Branch, Interagency Resources
Division, National Park Service, Department
of the Interior, Washington. D.C 2024C.
Outlines a step-by-step approach to
implementing the resource protection
planning process.
Resource Protection Planning Process Case
Studies. Available from Survey and Planning
Branch, Interagency Resources Division.
National Park Service, Department of the
Interior. Washington. D.C. 20240. Reports
prepared by State Historic Preservation
Offices and other using the planning process.
Planning Theory. Andreas Faludi, 1980.
Oxford: Pergamon Press. Constructs a model
cf plaanisg using concepts borrowed froi?
general systems theory.
SECRETARY OF THE INTERIOR'S
STANDARDS FOR IDENTIFICATION
Identification activities ere
undertaken to gather information about
historic properties in an area. The scope
of these activities will depend on:
existing knowledge about properties;
goals for survey activities developed in
the planning process; and current
management needs.
Standard I. Identification of Historic
Properties Is Undertaken to the Degree
Required To Make Decisions
Archival research and survey
activities should be designed to gather
the information necessary to achieve
defined preservation goals. The
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Federal Register / Vol. 48, No. 190 / Thursday. September 29. 1983 / Notices
44721
objectives, chosen methods and
techniques; and expected results of the
identification activities are specified in
a research design. These activities may
include archival research and other
techniques to develop historic contexts,
sampling an area to gain a broad
understanding of the kinds of properties
it contains, or examining every property
in an area as a basis for property
specific decisions. Where possible, use
of quantitative methods is important
because it can produce an estimate,
whose reliability may be assessed, of
the kinds of historic properties that may
be present in the studied area.
Identification activities should use a
search procedure consistent with the
management needs for information and
the character of the area to be
investigated. Careful selection of
methods, techniques and level of detail
is necessary so that the gathered
information will provide a sound basis
for making decisions.
Standard 11. Results of Identification
Activities are Integrated Into the
Preservation Planning Process
Results of identification activities are •
reviewed for their effects on previous
planning data. Archival research or field
survey may refine the understanding of
one or more historitxcontexts and may
alter the need for additional survey or
study of particular property types.
Incorporation of the results of these
activities into the planning process is
necessary to ensure that the planning
process is always based on the best
available information.
Standard III. Identification Activities
Include Explicit Procedures for Record-
Keeping and Information Distribution
Information gathered in identification
activities is useful in other preservation
planning activities only when it is
systematically gathered and recorded,
and made available to those responsible
for preservation planning. The results of
identification activities should be
reported in a format that summarizes
the design and methods of the survey,
provides a basis for others to review the
results, and states where information on
identified properties is maintained.
However, sensitive information, like the
location of fragile resources, must be
safeguarded from general public
distribution.
Secretary of the Interior's Guidelines for
Identification
Introduction
These Guidelines link the Standards
for Identification with more specific
guidance and technical information. The
Guidelines outline one approach to meet
the Standards for Identification.
Agencies, organizations and individuals
proposing to approach identification
differently may wish to review their
approaches with the National Park
Service.
The Guidelines are organized as
follows:
Role of Identification in the Planning
Process
. Perforating Identification
Integrating Identification Results
Reporting Identification Result*
Recommended Sources of Technical
Information
Role of Identification in the Planning
Process
Identification is undertaken for the
purpose of locating historic properties
and is composed of a number of
activities which include, but are not
limited to archival research, informant
interviews, field survey and analysis.
Combinations of these activities may be
selected and appropriate levels of effort
assigned to produce a flexible series of
options. Generally identification
activities will have multiple objectives,
reflecting complex management needs.
Within a comprehensive planning
process, identification is normally
undertaken to acquire property-specific
Information needed to refine a particular
historic context or to develop any new
historic contexts. (See the Guidelines for
Preservation Planning for discussion of
information gathering to establish plans
and to develop historic contexts.) The
results of identification activities are
then integrated into the planning
process so that subsequent activities are
based on the most up-to-date
information. Identification activities are
also undertaken in the absence of a
comprehensive planning process; most
frequently as part of a specific land-use
or development project Even lacking a
formally developed preservation
planning process, the benefits of
efflcent goal-directed research may be
obtained by the development of
localized historic contexts, suitable in
scale for the project area, as part of the
background research which customarily
occurs before field survey efforts.
Performing Identification
Research Design
Identification activities are essentially
research activities for which a statement
of objectives or research design should
be prepared before work is performed.
Within the framework of a
comprehensive planning process, the
research design provides a vehicle for
integrating the various activities
performed during the identification
process and for Unking those activities
directly to the goals and the historic
context(s) for which those goals were
defined. The research design stipulates
the logical integration of historic
context(s) and field and laboratory
methodology. Although these tasks may
be performed individually, they will not
contribute to the greatest extent
possible in increasing information on the
historic context unless they relate to the
defined goals and to each other.
Additionally, the research design
provides a focus for the integration of
interdisciplinary information. It ensures
that the linkages between specialized
activities are real, logical and address
the defined research questions.
Identification activities should be guided
by the research design and the results
discussed in those terms. (See Reporting
Identification Results)
The research design should include
the following:
1. Objectives of the identification
activities. For example: to characterize
the range of historic properties in a
region: to identify the number of
properties associated with a context to
gather-information to determine which
properties in an area are significant
The statement of objectives should
refer to current knowledge about the
historic contexts or property types,
based on background research or
assessments of previous research. It
should clearly define the physical extent
of the area to be investigated and the
amount and kinds of information to be
gathered about properties in the area.
2. Methods to be used to obtain-the
information. For example: archival
research or field survey. Research
methods should be clearly and
specifically related to research
problems.
Archival research or survey methods
should be carefully explained so that
others- using the gathered information
can understand how the information
was obtained and what its possible
limitations or biases are.
The methods should be compatible
with the past and present environmental
character of the geographical area under
study and the kinds of properties most
likely to be present in the area.
3. The expected results and the
reasons for those expections.
Expectations about the kind, number.
location, character and condition of
historic properties are generally based
on a combination of background
research, proposed hypotheses, and
analogy to the kinds of properties
known to exist •in areas of similar
environment or history.
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44722
Federal Register / VoL 48, No. 190 / Thursday. September 29. 1983 / Notices
Archival Research
Archival or background research is
generally undertaken prior to any field
survey. Where identification is
undertaken as part of a comprehensive
planning process, background research
may have taken place as part of the
development of the historic contexts
(see the Guidelines for Preservation
Planning). In the absence of previously
developed historic contexts, archival
research should address specific issues
and topics. It should not duplicate
previous work. Sources should include.
but not be limited to, historical maps.
atlases, tax records, photographs,
ethnographies, folklife documentation,
oral histories and other studies, as well
as standard historical reference works,
as appropriate for the research problem.
(See the Guidelines for Historical
Documentation for additional
discussion.)
Field Survey
The variety offield survey techniques
available, in combination with the
varying levels of effort that may be
assigned, give great flexibility to
implementing field surveys. It is
important that the selection of field
survey techniques-and level of effort be
responsive to the management needs
and preservation goals that direct the
survey effort
Survey techniques may be loosely
grouped into two categories, according
to their results. First are the techniques
that result in the characterization of a
region's historic properties. Such
techniques might include "windshield"
or walk-over surveys, with perhaps a
limited use of sub-surface survey. For
purposes of these Guidelines, this kind
of survey is termed a "reconnaissance."
The second category of survey
techniques is those thai permit the
identification and description of specific
historic properties in an area: this kind
««f •*.Mr«»«f A£?£V* *• *^fw*^«4 'MntAnaiwa "
the terms "reconnaissance" and
"intensive" are sometimes defined to
mean particular survey techniques,
generally with regard to prehistoric
sites. The use of the terms here is
general and is not intended to redefine
the terms as they are used elsewhere.
Reconnaissance survey might be most
*f»_t-1 t 1 ...I *1 I
|iruinauiy cuif AU/CU TOUCH gaiu6Ai*tg
data to refine a developed historic
context—such as checking on the
presence or absence of expected
property types, to define specific
property types or to estimate the
distribution of historic properties in an
area. The results of regional
characterization activities provide a
general understanding of the historic
properties in a particular area and
permit management decisions that
consider the sensitivity of the area in
terms of historic preservation concerns
and the resulting implications for future
land use planning. The data should
allow the formulation of estimates of the
necessity, type and cost of further
identification work and the setting of
priorities for the individual tasks
involved. In most cases, areas surveyed
in this way will require resurvey if more
complete information is needed about
specific properties.
A reconnaissance survey should
document
1. The kinds of properties looked for
2. The boundaries of the area
surveyed:
3. The method of survey, including the
extent of survey coverage;
4. The kinds of historic properties
present in the surveyed area:
5. Specific properties that were
identified, and the categories of
information collected: and
8. Places examined that did not
contain historic properties.
Intensive survey is most useful when
it is necessary to know precisely what
historic properties exist in a given area
or when information sufficient for later
evaluation and treatment decisions is
needed on individual historic properties.
Intensive survey describes the
distribution of properties in an area;
determines the'number. location, and
condition of properties; determines the
types of properties actually present
within the area; permits classification of
individual properties; and records the
physical extent of specific properties.
An intensive survey should document
1. The kinds of properties looked for
2. The boundaries of the area
surveyed;
3. The method of survey, including an
estimate of the extent of survey
coverage;
4. A record of the precise location of
'11 .--t-rfl JJt~_*JC.._l. n«^2
ail |liwpt3«uti6 lueuuueit, CKIM*
5. Information on the appearance,
significance, integrity and boundaries of
each property sufficient to permit an
evaluation of its significance.
Sampling
Reconnaissance or intensive survey
methods may be employed according to
1> 1 » 1 !„-
a aaiupiuig LHWWCUUAB iv OAOAUUIC * of predicted sites, and define
features within properties. Remote
sensing techniques include aerial,
subsurface and underwater techniques.
Ordinarily the results of remote sensing
should be verified through independent
field inspection before making any
evaluation or statement regarding
frequencies or types of properties.
Integrating Identification Results
The results of identification efforts
must be integrated into the planning
process so that planning decisions are
based on the best available information
The new infcrmanticn is first assessed \
against the objectives of the
identification effort to determine
whether the gathered information meets
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Federal Register / Vol. 48, No. 190 / Thursday. September 29. 1983 / Notices
44723
Ihe defined identification goals for the
historic context(s); then the goals are
adjusted accordingly. In addition, the
historic context narrative, the definition
of property types and the planning goals
for evaluation and treatment are all
adjusted as necessary to accommodate
the new data.
Reporting Identification Results
Reporting of the results of
identification activities should begin
with the statement of objectives
prepared before undertaking the survey.
The report should respond to each of the
major points documenting:
1. Objectives;
2. Area researched or surveyed:
3. Research design or statement of
objectives;
4. Methods used, including the
intensity of coverage. If the methods
differ from those outlined in the
statement of objectives, the reasons
should be explained.
5. Results: how the results met the
objectives; result analysis, implications
and recommedations; where the
compiled information is located.
A summary of the survey results
should be available for examination and
•distribution. Identified properties should
then be evaluated for possible inclusion
in appropriate inventories.
Protection of information about
archeological sites or other properties
that may be threatened by
dissemination of that information is
necessary. These may include fragile
archeological properties or properties
such as religious sites, structures, or
objects/whose cultural value would be
compromised by public knowledge of
the property's location.
Recommended Sources of Technical
Information
The Archeological Survey: Methods and
Use*. Thomai F. King. Interagency
Archeological Service*. US. Department of
the Interior.'1978. Washington. D.C Available
through the Superintendent of Document*.
US. Government Printing Office.
Washington. D.C 20402. GPO stock number
024-018-00091. Written primarily for the non-
archeologist this publication presents
methods and objectives for archeological
surveys.
Cultural Resources Evaluation of the
Northern Gulf of Mexico Continental Shelf.
National Park Service, US. Department of the
Interior. 1977.
Guidelines for Local Surveys: A Basis foe
Preservation Planning. Anne Deny. H. Ward
Jandl Carol Shall and Jan Thorman. National
Register Division, US. Department of the
Interior. 1978. Washington. D.C Available
through the Superintendent-of Documents.
US. Government Printing Office.
Washington. D.C 20402. GPO stock number
024-016-0088-7. General guidance about
designing and carrying out community
surveys.
The Process of Field Research: Final
Report on the Blue Ridge Parkway Folklife
Protect. American Folklife Center. 1981.
Regional Sampling in Archeology. David
Hurst Thomas. University of California,
Archeological Survey Annual Report 1968-8.
11:87-100.
Remote Sensing: A Handbook for
Archeologists and Cultural Resource
Managers. Thomas R. Lyons and Thomas
Eugene A very. Cultural Resource
Management Division. National Park Service,
US. Department of the Interior. 1977.
Remote Sensing and Non-Destructive
Archeology. Thomas R. Lyons and James L.
Ebert editors. Remote Sensing Division.
Southwest Cultural Resources Center,
National Park Service, US. Department of the
Interior and University of New Mexico, 1978.
Remote Sensing Experiments in Cultural
Resource Studies: Non-Destructive Methods
of Archeological Exploration, Survey and
Analysis. Thomas R. Lyons, assembler.
reports of the Chaco Center. Number One.
, National Park Service, US. Department of the
Interior and University of New Mexico, 1978.
Sampling in Archeology. James W. Mueller.
editor. University of Arizona Press. 197S.
Tucson. Arizona.
Scholars as Contractors. William ]. Mayer-
Oakes and Alice W. Portnoy. editors.
Cultural Resource Management Studies. US.
Department of the Interior, 1979.
Sedimentary Studies of Prehistoric
Archeological Sites. Sherwood Gagliano.
Charles Pearson. Richard Weinstein, Diana
Wiseman, and Christopher McClendon.-
Division of State Plans and Grants. National
Park Service. US. Department of the Interior,
1982. Washington, D.C Available from
Coastal Environments Inc* 1260 Main Street.
Baton Rouge, Louisiana 70802. Establishes
and evaluates a method for employing
tedimentological analysis in distinguishing
site areas from non-site areas when
identifying submerged archeological sites on
the continental shelf. .
StatetSurvey Forms. Available from
Interagency Resource Management Division.
National Park Service, Department of the
Interior. Washington. D.C 20240.
Characterizes cultural resource survey
documentation methods in State Historic
Preservation Offices.
Truss Bridge Types: A Guide to Dating and
Identifying. Donald C Jackson and T. Allan
Comp. American Association for State and
Local History. 1977. Nashville. Tennessee.
Technical leaflet #95. Available from
AASLH. 708 Berry Road. Nashville.
Tennessee 37204. Information about
performing surveys of historic bridges and
identifying the types of properties.
encountered.
Secretary of the Interior's Standards for
Evaluation
Evaluation is the process of
determining whether identified
properties meet defined criteria of
significance and therefore should be
included in an inventory of historic
properties determined to meet the
criteria. The criteria employed vary
depending on the inventory's use in
resource management
Standard I. Evaluation of the
Significance of Historic Properties Uses
Established Criteria
The evaluation of historic properties
employs criteria to determine which
properties are significant Criteria
should therefore focus, on historical.
architectural, archeological. engineering
and cultural values, rather than on
treatments. A statement of the minimum
information necessary to evaluate
properties against the criteria should be
provided to direct information gathering
activities.
Because the National Register of
Historic Places is a major focus of
preservation activities on the Federal.
State and local levels, the National
Register criteria have been widely
adopted not only as required for Federal
purposes, but for State and local
inventories as welL The National
Historic Landmark criteria and other
criteria used for inclusion of properties
in State historic site files are other
examples of criteria with different
management purposes.
Standard II. Evaluation of Significance
Applies the Criteria Within Historic
Contexts
Properties are evaluated using a
historic context that identifies the
significant patterns that properties
represent and defines expected property
types against which individual
properties may be compared. Within
this comparative framework, the criteria
for evaluation take on particular
meaning with regard to individual
properties.
Standard III. Evaluation Results in A
List or Inventory of Significant
Properties That Is Consulted In
Assigning Registration and Treatment
Priorities
The evaluation process and the
subsequent development of an inventory
of significant properties is an on-going
activity. Evaluation of the significance
of a property should be completed
before registration is considered and
before preservation treatments are
selected. The inventory entries should
contain sufficient information for
subsequent activities such as
registration or treatment of properties,
including an evaluation statement that
makes dear the significance of the
property within one or more historic
contexts.
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Fedend Register f Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
Standard IV. Evaluation Results An
MadeAwmlabfe to the Public
Evaluation is the basis of registration
and treatmeat decisions. Information
aboat evaluation decisions should be
organized and available for use by the
general public and by those who take
part in decision* about registration and
treatBMBt Use of appropriate computer-
assisted date ba*e» should be a part ef
the information efeaeminatioa effort
Sensitive mJbnBaae*. however, must be
safeguarded from general public
distribution.
Secretary of the Interior's Guidelines for
Evaluation
Introduction
These Guideline* fink the Standards
for Evaluation with more specific •
guidance and technical information.
These Guidelines describe one approach
to meeting the Standards for Evaluation.
Agencies, organizations, or individuals
proposing to approach evaluation
differently may wish to review their
approach with the National Park
Service.
The Guidelines are organized as
follows:
The Evaluation Proce**
Criteria
Application of Criteria within a Historic
Context
Inventory
Recommended Sources of Technical
Information
The Evaluation Process
These Guidelines describe principles
for evaluating the significance of one or
more historic properties with regard to a
given set of criteria.
Groups of related properties should be
evaluated at the same time whenever
possible; for example; following
completion of a theme study or
community survey.
Evaluation.should not be undertaken
using documentation that may be out of .
date. Prior to proceeding with evaluation
the current condition of the property
should be determined and previous
analyses evaluated in light of any new
information.
Evaluation must be performed by
persons qualified by education, training
and iomiirii»n«» in th» annHcnMrm nf th»
criteria. Where feasible! evaluation .
should be performed is ccusultstfcn
with other individuals experienced in
applying the relevant criteria in the
geographical area under consideration;
for example, the State Historic "
Preservation Officer or local landmarks
commission.
Evaluation is completed with a
written determination that a property is
or is not significant based on provided
information. This statement should be
part of the record.
Criteria: The purposes of evaluation
criteria should be made dear. For
example, the criteria may be used "to
evaluate properties for inclusion in the
county landmarks list" or "to implement
the National Register of Historic Places
program."
For Federal cultural resource
management purposes, criteria used to
develop an inventory should be
coordinated with the National Register
criteria for evaluation as implemented in
the approved State comprehensive
historic preservation plan.
Content of Criteria: Criteria should be
appropriate in scale to the purpose of
the evaluation. For example, criteria
designed to describe national
significance should not be used as the
basis for creating a county or State
inventory. Criteria should be categorical
and not attempt to describe in detail
every property likely to qualify. Criteria
should outline the disciplines or broad
areas of concern (history, archeology,
architectural history, engineering and
culture, for example) included within the
scope of the inventory; explain what
kinds of properties, if any, are excluded
and the reasons for exclusion; and
define how levels of significance are
measured, if such levels are
incorporated into the criteria. If the
criteria are to be used in situations
where the National Register criteria are
also widely used, it is valuable to
include a statement explaining the
relationship of the criteria used to the
National Register criteria, including how
the scope of the inventory differs from
that denned by the National Register
criteria and how the inventory could be
use io identify properties thai meet the
National Register criteria.
Information Needed to Evaluate
TrOpcIucD; * uc u lici la auuvuu u«s
accompanied by a statement defining
the minimum information necessary to
evaluate properties to insure that this
information is collected during
identification activities intended to
locate specific historic properties.
Generally, at least the following will be
needed:
1. Adequately developed "historic
contexts, including identified property
types. (See the Guidelines for
Preservation Planning for discussion of
development of historic contexts.)
2. Sufficient information about the
appearance, condition and associative
values^f tile property to be evaluated
to:
a. Classify ft SB to property type;
b. Compare its features or
characteristics with those expected for
its property type; and
c. Define the physical extent of the
property and accurately locate the
property.
To facilitate distinguishing between
facts and analysis, the information
should be divided into categories.
including identification and description
of pertinent historical contexts;
description of the property and its
significance in the historical context;
and analysis of the integrity of the
property relative to that needed to
represent the context
Usually documentation need not
include such items as a complete title
history or biography of every owner of a
property, except where that information
is important in evaluating its
significance. Information on proposed or
potential treatments or threats, such as
destruction of a property through
uncontrollable natural processes, is also
not needed for evaluation, unless those
effects are likely to occur prior to or
during the evaluation, thereby altering
the significant characteristic of the
property. If archeological testing or
structural analysis is needed for
evaluation, it should not proceeded
beyond the point of providing the
information necessary for evaluation
and should not unnecessarily affect
significant features or values of the
property.
When more information is needed:
Evaluation cannot be conducted unless
all necessary information is available.
(See Information Needed to Evaluate
Properties.) Any missing information or
analysis should be identified (e.g.
development of context or information
on the property) as well as the specific
activities required tc obtain the
information (archival research, field
survey and testing, or laboratory
testinol. When adequate informnHnn in
not available, itis important to record
that fact so that evaluation will not be
undertaken until the information can be
obtained. In some cases needed
information is not obtainable, for
example, where historical records have
been destroyed or analytical techniques
have not been developed to date
evaluation-must be completed in these
cases, it is important to acknowledge
what information was not obtainable
and how that missing information may
affect the reliability of the evaluation.
Application of the Criteria within a
Historic Context
The first step in evaluation is
considering how the criteria apply to the
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
44725
particular historic context This is done
by reviewing the previously developed
narrative for the historic context and
determining how the criteria would
apply to properties in that context
based on the important patterns, events,
persons and cultural values identified.
(See the discussion of the historic
context narrative in the Guidelines for
Preservation Planning.) This step
includes identification of which criteria
each property type might meet and how
integrity is to be evaluated for each
property type under each criterion.
Specific guidelines for evaluating the
eligibility of individual properties should
be established. These guidelines should
outline and justify the specific physical
characteristics or data requirements that
an individual property must possess to
retain integrity for the particular
property type; and define the process by
which revisions or additions can be
made to the evaluation framework.
Consideration of property type and
intergrity: After considering how the
criteria apply to the particular historic
context the evaluation process for a
property generally includes the
following steps:
1. A property is classified as to the
appropriate historic context(s) and
property type(s). If no existing property
type is appropriate, a new property type
is defined, its values identified, and the
specific characteristics or data
requirements are outlined and justified
as an addition to the historic context If
necessary, a new historic context is
defined for which values and property
types and their integrity requirements
are identified and justified.
2. A comparison is made between the
existing information about the property
and the integrity characteristics or data
required for the property type.
a. If the comparison shows that the
property possesses these characteristics,
then it is evaluated as significant for
that historic context The evaluation
includes a determination that the
property retains integrity for its type.
b. If the comparison shows that the
property does not meet the minimum
requirements, one of several conclusions
is reached:
(1) The property is determined not
significant because it does not retain the
integrity defined for the property type.
(2) The property has characteristics
that may make it significant but these
differ from those expected for that
property type in that context In this
case, the historic context or property
types should be reexamined and revised
if necessary, based on subsequent
research and survey.
The evaluation should state how the
particular property meets the integrity
requirements for its type. When a
property is disqualified for loss of
integrity, the evaluation statement
should focus on the kinds of integrity
expected for the property type, those
that are absent for the disqualified
property, and the impact of that absence
on the property's ability to exemplify
architectural, historical or research
values within a particular historic
context
The integrity of the property in its
current condition, rather than its likely
condition after a proposed treatment.
should be evaluated. Factors such as
structural problems, deterioration, or
abandonment should be considered in
the evaluation only if they have affected
the integrity of the significant features or
characteristics of the property.
Inventory
An inventory is a repository of
information on specific properties
evaluated as significant
Content: The inventory should
include:
1. Summaries of the important historic
contexts. These may be in the form of an
approved plan or analyses of historic
contexts important in the history of the
geographical area covered by the
inventory.
2. Descriptions of significant property
types of these contexts, whether or not
any specific properties have been
identified.
3.' Results of reconnaissance surveys
or other identification activities, even if
the level of information on specific
properties identified as part of those
activities is not sufficient to evaluate
individual properties.
4. Information on individual properties
that was used in evaluation.
Historic contexts are identified by
name, with reference to documents
describing those contexts, or with a
narrative statement about the context(s)
where such documents do not exist
A description of the property. Part of
this description may be a photographic
record.
A statement that justifies the
significance of the property in relation to
its context(s). This statement should
include an analysis of the integrity of
the property.
Boundaries of the property.
A record of when a property was
evaluated and included in the inventory,
and by whom.
Records on demolished or altered
properties and properties evaluated as
not significant should be retained, along
with full description of areas surveyed,
for the planning information these
records provide about impacts to
properties and about the location and
character of non-significant properties
to prevent redundant identification work
at a later time.
Maintenance: Inventory entries should
be maintained so that they accurately
represent what is known about historic
properties in the area covered by the
inventory. This will include new
information gained from research and
survey about the historic contexts.
property types, and previously
evaluated properties, as well as
information about newly evaluated
properties. For individual properties.
addition of kinds of significance, change
in the boundaries, or loss of significance
through demolition or alteration should
be recorded.
Uses and Availability: An inventory
should be managed so that the
information is accessible. Its usefulness
depends on the organization of
information and on its abilty to
incorporate new information. An
inventory should be structured so that
entries can be retrieved by locality or by
historic context
The availability of the inventory
information should be announced or a
summary should be distributed. This
may be in the form of a list of properties
evaluated as significant or a summary of
the historic contexts and the kinds of
properties in the inventory. Inventories
should be avilable to managers.
planners, and the general public at local.
State, regional, and Federal agency
levels.
It is necessary to protect information
about archeological sites or other
properties whose integrity may be
damaged by widespread knowledge of
their location, ft may also be necessary
to protect information on the location of
properties such as religious sites.
structures, or objects whose cultural
value would be compromised by public
knowledge of the property's location.
Recommended Sources of Technical
Information
How to Apply the National Register
Critera. Available through the National
Register Branch. Interageney Resources
Division. National Park Service. U.S.
Department of the Interior. Washington.
D.C. 20240. Provides detailed technical
information about interpretation of the
significance and integrity criteria used.
by the National Register of Historic
Places program.
How To Series. Available through the
National Register Branch. Interageney
Resources Division. National Park
Service, U.S. Department of the Interior,
Washington. D.C. 20240. Discusses
application of the National Register
criteria for evaluation. Titles include:
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44726 Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
How To Establish Boundaries for
National Register Properties.
How To Evaluate and Nominate
Potential National Register Properties
That Have Achieved Significance
Within the Last 50 Yean.
How To Improve Quality of Photos for
National Register Nominations.
How To Apply for Certification pf
Significance Under Section 2124 of the
Tax Reform Act of 1976.
How To Apply for Certification of State
and Local Statutes and Historic
Districts.
How To Quality Historic Properties
Under the New Federal Law Affective
Easements.
Importance of Small. Surface, and
Disturbed Sites as Sources of Significant
Archeological Data. Valerie Talmage
and Olga Chester. Interagency
Archeological Service 1977. Washington.
D.C. Available from the National
Technical Information Service. NTIS
Publication Number PB 270939/AS.
Discusses the role of small, surface, and
disturbed sites as sources of significant
information about a variety of
prehistoric activities. These types of
sites are frequently ignored in the
development of regional archeological
research designs.
Secretary of die Interior's Standards For
Registration
Registration is the formal recognition
of properties evaluated as significant
Preservation benefits provided by
various registration programs range
from honorific recognition to prohibition
of demolition or alteration of included
properties. Some registration programs
provide recognition and other broad
benefits while other programs authorize
•nors specific forms of protection.
Standard 1. Registration Is Conducted
According To Stated Procedures
Registration of historic properties in
the National Register of Historic Places
must be done in accordance with the
National Register regulations published
in the Code of Federal Regulations. 38
CFR eo/RegUtration for other lists or
purposes follow an established process
that is understood by the public.
rw.~.w_».^ »jf _..«. — -- »«.~~~ «_. __tf
be affected by registration.
Standard It. Registration Information
Locates. Describes and Justifies the
Significance and Physical Integrity of a
Historic Property
Registers are used for planning.
research and treatment They must
contain adequate information for users
to locate a property and understand its
significance. Additional information
may be appropriate depending on the
intended use of the register.
Standard K. Registration Information is
Accessible to the Public
Information should be readily
available to the public and to
government agencies responsible for the
preservation of historic properties and
for other planning needs.
Secretary of the Interior's Guidelines for
Registration
Introduction
These Guidelines link the Standards
for Registration with more specific
guidance and technical information.
They describe one approach to meeting
the Standards for Registration.
Agencies, organizations, or individuals
proposing to approach registration
differently may wish to review their
approach with the National Park
Service.
The Guidelines are organized as
follows:
Purpose of Registration Program!
Registration Procedure*
Documentation on Registered Properties
Public Availability
Recommended Sources of Technical
Information .
Purpose of Registration Programs
Registration of historic properties is
the formal recognition of properties that
have been evaluated as significant
according to written criteria.
Registration results in an official
inventory or list that serves an
administrative function. A variety of
benefits or forms of protection secure to
a registered property, ranging from
honorific recognition to prohibition of
demolition or alteration.
tsGuic rSgiSuauGu prOgTcuuiS pfw^ tuS
recognition and other broad benefits or
entitlements, while other registrations of
nronerrJM- mav. in addition, authorize
more specific forms of protection. The
application of the registration process
should be a logical outgrowth of the
same planning goals and priorities that
guided the identification and evaluation
activities. All registration programs
should establish priorities for
recognition ofihelr authorized range of
timnn ..ii.. —— «.^j- *-. «.«».»a»>».«ij«ij»i» »f
sensitive information; and establish a
iu££ss cf appealing ths TegUtEVuSS cr
non-registration of a property.
Registration Procedures
Explicit procedures ere esseatia!
because they are the means by which
the public can understand and
participate in the registration process.
Procedures for registration programs
should be developed by professionals in
the field of historic preservation, in
consultation with those who will use or
be affected by the program. Prior to
taking effect procedures should be
published or circulated for comment at
the governmental level at which they
will be used. (Procedures for registration
of properties in the National Register of
Historic Places and the National
Historic Landmarks list for example,
are published in the Federal Register.)
Any registration program should
include:
1. A professional staff to prepare or
assess the documentation:
2. A professional review, independent
of the nominating source, to provide an
impartial evaluation of the documented
significance!
3. Adequate notice to property
owners, elected officials and the public
about proposed registrations and the
effects of listing, if any; and
4. A means of public participation.
Professional Review: The registration
process should include an independent
evaluation of the significance of the
property and of the quality and
thoroughness of the documentation
supporting that significance. Such
evaluation ensures that significance is I
adequately justified and that
registration documentation meets the
technical requirements of the
registration process.
State and local preservation
programs, concerned with both public
and private properties, generally use a
review board, panel or commission. This
level of professional review has proven
to be effective in assessing the
significance of properties considered for
registration.
Review boards and other/orms of
independent review should include
professionals in the fields or diciplines
included in the criteria: representatives
of other fields or disciplines may be
desirable to reflect other values or
aspects of the register. Key personnel
must be qualified by education, training
or experience to accomplish their
designated duties. (See the Professional
Qualifications Standards.)
The scope of the independent review
should be clearly stated in the
reointmtion prneitdurM and should not
include issues outside the scope of the
applicable criteria for «ya!uaiian and
other areas specified in the procedures.
Generally, independent reviewers
should not be involved in any primary
research or analysis related to
properties under consideration: this
information should be gathered and
organized prior to review meetings.
Documentation presented to the
reviewers should be made available to
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices 44727
the public prior to review meetings or
public hearings. Registration of
properties should not take place until
review of documentation has been
completed.
Public Notice: Adequate notice allows
property owners, officials and other
interested parties to comment on
proposed registrations prior to action by
the independent reviewers. The degree
of protection and control provided by a
registration program may be a factor in
determining what constitutes adequate
notice. For example, adequate notice of
proposed inclusion in honorific registers
may be less complex than that for
registration that results in local controls
on alteration or demolition cf registered
properties.
Notice to elected officials and the
public is necessary to distribute
information about pr.ter.tis! registrations
of concern to planning asd development
interests.
Adequate notice to property owners
may be accomplished through means
ranging from individual notification by
mail to publication of a public notice.
depending on the nature of the
registration program and the number
and character of the properties involved.
Public notices and owner notification
about proposed registrations should
includa the dates and times of public
meetings and review meetings, the kinds
of comments that are appropriate, and
how comments will be considered in the
evaluation process. The notice should
also state where information can be
obtained cbout the registration program.
the criteria used to evaluate properties
for inclusion, and the significance of
specific properties under consideration.
The procedures should include a
means of public participation in the form
of submission of written comments or a
review meeting open to the public or a
public hearing.
The procedures should state time
periods within which reviews, notices,
comments, public hearings, review
meetings and appeals wUl occur. The
time periods should be short enough to
allow for efficient recognition of historic
properties but also allow adequate time
for public comment and participation by
those affected. Time periods may vary
depending on whether activities are
carried out at the local. State, or
national level. These time schedules
should be widely circulated so that the
process is widely understood.
Appeal Process: A means of appeal
should be included in the registration
process to allow for reconsideration of a
property's inclusion. Reasons for appeal
may range from existence of additional
information about the property
supporting or refuting its significance to
administrative or procedural error. An
appeal process should specify to whom
an appeal may be made and how the
information that is provided will be
evaluated. The appeal procedures
should also stete the time limit, if any,
on appealing a decision and on
consideration of information and
issuance of a decision by the appeal
authority.
Documentation on Registered Properties
Documentation requirements should
be carefully weighed to provide the
information actually needed to reach a
registration decision and should be
made public. It should be made certain
that identification and evaluation
activities obtain and record the
information necessary for registration.
Documentation should be prepared in a
standardized format and on materials
that are archivally stable and easy to
store and retrieve.
Location: The precise location of a
historic property must be clearly
identified.
Street address, town or vicinity, and
county should be provided. Properties
should also be located on maps; these
may be USGS maps, county planning
maps, or city base maps or real estate
maps. A uniform system of noting
location, such as UTM grid points or
longitude and latitude, should
supplement mapping. It is recommended
that each registration process
standardize the preferred choice of
maps appropriate to the scope of the
process.
Description: An accurate description
of a property includes a description of
both the current and historical physical
appearance and condition of the
property and notes the relevant property
type(s) for the applicable historic
contexts). Discussion should include
alterations, deterioration, relocation and
other changes to the property since its
period of significance.
Significance; A statement of
significance should explain why a
property meets the criteria for inclusion
in the register to which it has been
nominated.
This statement should contain at least
3 elements:
.1. Reference to the relevant historic
contexts);
2. Identification of relevant property
types within the context and their
characteristics; and
3. Justification that the property under
consideration has the characteristics
required to qualify it
Relevant historic contexts can be
identified through reference to the
preservation plan or other documents
where the contexts have been
previously described or can be provided
by a narrative discussion of the context
(The development of contexts and their
use in evaluating properties are
discussed in the Guidelines for
Preservation Planning and the
Guidelines for Evaluation.) A significant
property type and its characteristics are
identified either through reference to the
historic context(s) or by a narrative in
the documentation that describes
historic contexts. Justification of a
specific property is made by systematic
comparison of its characteristics to
those required for the property type.
Boundaries: The delineation and
justification of boundaries for a
registered property are important for
future trsatmant activities. It is
expecially critical when legal restraints
or restrictions may result from the
registrador if properties. Thus.
boundaries should correspond as closely
as possible to the actual extent and
configuratijz of the property and should
be carefully selected to encompass, but'
not exceed, the extent of the significant
retiource(s). The selection of boundaries
should reflect the significant aspects of
the property.
Arbitrary boundaries should not be
chosen for ease of description since this
can result in the inclusion of unrelated
land or hi exclusion of a portion of the
historic property. Present property lines
should not be cliosen as property
boundaries without careful analysis of
whether they are appropriate to the
historic property. A single uniform
boundary description and acreage
should not be applied to a group or class
of properties (antebellum plantations,
for example] without examination of the
actual extent of each property. The
selected boundaries should be justified
as appropriate to the historic property.
Boundaries should be clearly and
precisely described, using a verbal
boundary description, legal description.
accurate sketch map. or lines drawn on
base maps, or a combination of these
where needed to specify the limits of the
property being registered. When used.
maps should show the location of
buildings, structures, sites or objects
within the boundary.
Updating Information on Registered
Properties: A change in the condition of
the significant features of a property
may require a change in the official
registration record. Alteration of a
significant architectural feature, for
example, could mean mat a property is
no longer significant for its architectural
design.
Additional significance of registered
properties may be identified through
development of new historic contexts.
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44728 Federal Register / Vol. 48. No. 190 / Thursday. September. 29. 1983 / Notices
Research may reveal that a property is
significant in other historic contexts or
is significant at a higher level. For
example, a property previously
recognized as of local significance could
be found to be of national significance.
A change in location or condition of a
registered property may mean that the
property is no longer significant for the
reasons for which it was registered and
the property should be deleted from the
registered list
Public A vailability
Lists of registered properties should
be readily available for public use. and
information on registered properties
should be distributed dn a regular basis.
Lists of properties registered nationally
are distributed through publication in
the Federal Register and to
Congressional Offices and State Historic
Preservation Offices. Comprehensive
information should be stored and
maintained for public use at designated
national. State and local authorities
open to the public on a regular basis.
Information should be retrievable by
the property name, and location, historic
context or property type. The specific
location of properties that may be
threatened by dissemination of that
information must be withheld. These
may include fragile archeological
properties or properties such as religious
sites, structures, or objects whose'
cultural value would be compromised by
public knowledge of the property
location.
Recommended Sources of Technical
Information,
How to Complete National Register Forms.
National Register Division. National Park
Service. U.S. Depannent of the Interior. 1977.
Washington. D.C. Available through the
Superintendent of Documents, US
Government Printing Office, Washington.
D.C 20402. CPO Stock Number 024-005-
OORRfl-t. This publication is the standard
reference on the documentation requirements
of the National Register of Historic Places
program.
How To Series. Available through the
National Register Branch, Interagency
Resources Division. National Park Service.
Department of the Interior 20240. These
information sheets contain supplementary
information about interpreting the National
Register criteria for evaiuauuu *uu
documentation requirements of the National
Register registration program. Title include:
How To Establish Boundaries for National
Register Properties.
How To Evaluate and Nominate Potential
National Register Properties That Have
Achieved Significance Within the Last SO
Years.
How To Improve the Quality of Photographs
for National Register Nominations.
How To Apply for Certification of
Significance Under Section 2124 of the Tax
Reform Act of 1978.
How To Apply for Certification of State and
Local Statutes and Historic Districts.
How To Qualify Historic Properties Under
the New Federal Law Affecting Easements.
Note on Documentation and Treatment
of Historic Properties
Documentation and treatment of
historic properties includes a variety of
techniques to preserve or protect
properties, or to document their historic
values and information. While
documentation activities may be applied
to any potentially historic property.
generally only those properties that first
have been evaluated as significant
against specified criteria (such as those
of the National Register) are treated.
Some commonly applied treatments are
preservation in place, rehabilitation.
restoration and stabilization; there are
other types of treatments also.
Documentation and treatment may be
applied to the same property; for
example, archeological, historical, and
architectural documentation may be
prepared before a structure is stabilized
or before foundations or chimneys or
other lost features are reconstructed.
Alternatives for treatment will usually
be available, and care should be applied
in choosing among them. Preservation in
place is generally preferable to moving a
property. Over time, the preferred
treatment for a property may change; for
example, an archeological site intended
for preservation in place may begin to
erode so that a combination of
archeological documentation and
stabilization may be required. If a
decision is made that a particular
property will not be preserved in place,
the need for documentation must then
be considered.
The three sets of documentation
standards (i.e., the Standards for
Historical Documentation, Standards for
Architectural end Engines?!!";
Documentation, and Standards for
Archeological Documentation) as well
as the Standards for Historic
Preservation Projects (Acquisition,
Preservation. Stabilization, Protection,
Rehabilitation, Restoration, and
Reconstruction) describe the techniques
of several disciplines to treat historic
properties, ana io uucumcut or preserve
information about their historical
values. The integration of planning fo?
documentation and treatment with their
execution is accomplished in a
statement of objectives, or research
design. Because both the goals and
appropriate methodologies are likely to
be interdisciplinary in nature, the
relationship among these various
activities should be specified in the
research design to ensure that the
resulting documentation produces a
comprehensive record of historic
properties in an efficient manner.
Secretary of the Interior's Standards for
Historical Documentation
Historical documentation provides
important information related to the
significance of a property for use by
historians, researchers, preservationists,
architects, and historical archeologists.
Research is used early in planning to
gather information needed to identify
and evaluate properties. (These
activities are discussed in the Standards
and Guidelines for Preservation
Planning and the Standards and
Guidelines for Identification.) Historical
documentation is also a treatment that
can be applied hi several ways to
properties previously evaluated as
significant it may be used in
conjunction with other treatment
activities (as the basis for rehabilitation
plans or interpretive programs, for
example) or as a final treatment to
preserve information in cases of
threatened property destruction. These
Standards concern the use of research
and documentation as a treatment.
Standard I. Historical Documentation
Follows a Research Design That
Responds to Needs Identified in the
Planning Process
Historical documentation is
undertaken to make a detailed record of
the significance of a property for
research and interpretive purposes and
for conseivation of information in cases
of threatened property destruction.
Documentation must have defined
objectives so that proposed work may
be assessed to determine whether the
resulting documentation will meet needs
identified hi the planning process. The
research design or statement of
objectives is a formal statement of how
the needs identified in the plan are io be
addressed in a specific documentation
project This is the framework that
guides the selection of methods and
evaluation of results, and specifies the
relationship of the historical
documentation efforts to other proposed
treatment activities.
Standards ii. Hisiori^ul D
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
44729
recorded so that other researchers can
verify or locate information discovered
during the research.
Standard III. The Results of Historical
Documentation Are Assessed Against
the Research Design and Integrated Into
the Planning Process
Documentation is one product of
research; information gatherd about the
usefulness of the research design itself
is another. The research results are
assessed against the research design to
determine how well they meet the
objectives of the research. The results
are integrated into the body of current
knowledge and reviewed for their
implications for the planning process.
The research design is reviewed to
determine how future research designs
might be modified based on the activity
conducted
Standard IV. The Results of Historical •
Documentation Are Reported and Made
Available to the Public
Research results must be accessible to
prospective users. Results should be
communicated to the professional
community and the public in reports
summarizing the documentation activity
and identifying the repository of
additional detailed information. The
goal of disseminating information must
be balanced, however., with the need to
protect sensitive information whose
disclosure might result in damage to
properties.
Secretary of the Interior's Guidelines for
Historical Documentation
Introduction
These Guidelines link the Standards
for Historical Documentation with more
specific guidance and technical
information. They describe one
approach to meeting the Standards for
Historical Documentation. Agencies.
organizations or individuals proposing
to approach historical documentation
differently may wish to review their
approaches with the National Park
Service.
The Guidelines are organized as
follows:
Historical Documentation Objectives
Research Design
Methods
Integrating Results
Reporting Results
Recommended Sources of Technical
Information
Documentation Objectives
Documentation is a detailed record, in
the form of a report or other written
document, of the historical context(sj
and significance of a property.
Historical research to create
documentation uses archival materials,
oral history techniques, ethnohistories,
prior research contained in secondary
sources and other sources to make a
detailed record of previously identified
values or to investigate particular
questions about the established
significance of a property or properties.
It is an investigative technique that may
be employed to document associative.
architectural, cultural or informational
values of properties. It may be used as a
component of structural recording or
archeological investigation, to enable
interpretation or to mitigate the
anticipated loss of a property through
conservation of information about its
historical, architectural or archeological
significance. Documentation generally
results in both greater factual
knowledge about the specific property
and its values, and in better
understanding of the property in its
historical context In addition to
increasing factual knowledge about a
property, and its significance in one
historical context, documentation may
also serve to link the property to or
define its importance in other known or
yet-to-be defined historic contexts.
Documentation should incorporate,
rather than duplicate, the findings of
previous research. Research may be
undertaken to identify how a particular
property fits into the work of an
architect or builder to analyze the
historical relationship among several
properties: or to document in greater
detail the historical contexts of
properties. The kinds of questions
investigated will generally depend on
what is already known or understood
and what information is needed. For
example, documentation of a bridge
whose technological significance is well
understood, but whose role in local
transportation history is not would
summarize the information on the
former topic and focus research on the
associative values of the property. The
questions that research seeks to answer
through deed, map or archival search.
oral history and other techniques .may
also relate to issues addressed in
structural documentation or
archeological investigation; for example,
the reasons for and history of
modification of a building to be the
subject of architectural-or engineering
documentation.
Research Design
Historical documentation Is guided by
a statement of objectives, research
design or task directive prepared before
research is performed. The research
design is a useful statement of how
proposed work will enhance existing
archival data and permits comparison of
the proposed work with the results. The
purpose of the research design is to
define the proposed scope of the
documentation work and to define a set
of expectations based on the
information available prior to the
research. Generally, the research design
also ensures that research methods are
commensurate with the type, quality
and source of expected information.
The research design for a property
should identify:
1. Evaluated significance of the
properry(ies) to be investigated;
2. Historical, architectural,
archeological or cultural issues relevant
to the evaluated significance of the
property;
3. Previous research on those issues
and how the proposed work is related to
existing knowledge;
4. The amount and kinds of
information required to produce reliable
historical analyses;
5. Methods to be used to obtain the
information;
6. Types of sources to be investigated;
types of personnel required:
7. Expected results or findings based
on available knowledge about the
property and its context; and
8. Relationship of the proposed
historical documentation to other
proposed treatment activities; for
example, recommendations on the use
of documentation in interpretive
programs or other aspects of treatment
such as anticipated architectural.
engineering or archeological
documentation).
Research Methods
Research methods should be chosen ,
based on the information needs, be
capable of replication and be recorded
so that another researcher could follow
the same research procedure. Sources
should be recorded so that other
researchers can locate or verify the
information discovered during the
search.
Use of Sources: The variety of
available written and graphic materials
and the number of individuals that can
serve as sources, including but not
limited to personal records, deed and
title books, newspapers, plats, maps.
atlases, photographs, vital records.
censuses, historical narratives.
interviews of-individuals and secondary
source materials, should be considered
in developing the research design. Part
of the development of the research
design is deciding what kinds of source
materials are most likely to contain
needed information and at what point in
the research process that information
will be most valuable. For example.
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Federal Register / VoL 48, No. 190 / Thursday, September 29. 1963 / Notices
often secondary sources are most
valuable for gathering background
information, while primary sources are
more useful, to gather or confirm specific
facts. The documentation goals may not
require exhaustive investigation of
sources, such as deed records or
building permits. Research may be kept
cost-effective by making careful
decisions about when to use particular
sources, thereby limiting the use of time-
consuming techniques to when
absolutely necessary. Decisions about
when to gather information may also
affect the quality of information that can
be gathered. When dealing with large
project areas where loss of many
properties is anticipated, it is important
to gather information from local archival
sources and oral histories before project
activities destroy or disperse family or
community records and residents.
Analysis of the accuracy and biases
of source materials is critical in'
analyzing the information gathered from
these sources. Maps, historical atlases
and insurance maps should be assessed
like written records for errors, biases
and omissions; for example, some map
sources may omit structures of a
temporary nature or may not fully depict
ethnic or minority areas. Likewise,
building plans and architectural
renderings may not reflect a structure as
it was actually built
Analysis: Analysis should not only
focus on the issues defined in the
research design, but should also explore
major new issues identified during the
course of research or analysis. The
documentation gathered may raise
important issues not previously
considered, and further investigation
may be important particularly .when
contradictory information has been
gathered. It is important to examine the
iinplicstisns of ihsse new issn?* to
ensure that they are investigated in a
balanced, way.
Questions ihat shsuld bs considered
in analyzing the information include:
1. Has enough information been
gathered to dnwser the questions that
were posed?
2. Do the answers contradict one
another? If so. ft may be necessary to
search for more evidence. If no
additional evidence to available.
judgements must be based on the
available sources, weighing then- biases.
Conflicts of source materials should be
noted.
In general, the more the researcher
knows about the general historical
period and setting, and limitations of the
source materials under investigation, the
better the individual is prepared to
evaluate the information found in the
documentary sources investigated Peer
review or consultation with other
knowledgeable individuals about the
information and the tentative
conclusions can be an important part of
the analysis.
Integrating Results
The results of documentation must be
integrated into the planning process so
that planning decisions are based on the
best available Information. The new •
information is first assessed against the
research design to determine whether
the gathered information meets the
denned objectives of the research. Then
the relevant historic contexts, property
types, and treatment goals for those
contexts are all adjusted, as necessary,
based on the historical documentation
results.
Reporting Results
Reports should contain:
1. Summaries of the purpose ot the
documentation, the research design and
methods and techniques of
investigation.
2. Sources of facts or analyses so that
other researchers can locate the
information in Its original context
Notation of any conflicts in source
materials and how the individual
performing the documentation
interpreted these conflicts.
3. Sources consulted, including those
expected to contain useful information
and those that contained no information
about the pcoperty(s).
4. Assessment of the accuracy, biases
and historical perspective of all soorces.
This information and that identified in
No. 3 may be provided in an annotated
bibliography.
5. Discussion of major analyses and
results, including conclusions regarding
all major research issues identified in
the research design, as-well as
important issues raised in the course of
research. The analysis should be
summarized in terms of its impact on
interpretating the property's significance
and expanding or altering the
knowledge about the property and its
context
8. Researchers' interpretation of
historical events or trends. These
interpretations should be clearly
identified.
Primary results should be preserved
and made accessible in some manner,
although they need not necessarily be
contained in the report At a minimum.
the report should reference the location
of notes and analyses.
Results of historical documentation
should be made available for use in
preservation planning and by the <
general public. Report formats may vary.
depending on the audience and the
anticipated uses of the documentation.
but professionally accepted rules of
report writing should be followed. If
reports are of a technical nature, the
format of the major scientific journal of
the pertinent discipline may be the most
appropriate format Peer review of draft
reports is one means of ensuring that
state-of-the-art technical reports are
produced.
Recommended Sources of Technical
Information
Folldife and Fieidwark: A Layman's
Introduction to Field Technique*. Peter
Bartis. American Folklife Center.
Washington. D.C. 1979.
Ordinary People and Everyday Life:
Perspectives on the New Social History.
]ames B. Gordnee and George RoHie Adams.
editors, American Association for State and
Local History. Nashville, Tennessee, 1983.
The Process of Field" Research. Carl
Fleischhauer-and Charles K. Wolfe. American
Folklife Center. Washington. D.C. 1981.
Researching Heritage Buildings, Margaret
Carter. Ministry of the Environment Ottawa.
Canada. 1983.
Secretary of the Interior's Standards for
Aicnitectufal and Engineering.
Documentation
These standards concem-me
development of documentation for
historic buildings, sites, structures and
objects. This documentation, which
usually consists of measured drawings,
photographs and written data, provides
important information on a property's
significance for uae by scholars,
researchers, preservationists, architects,
engineers and others interested in
preserving and understanding historic
properties. Documents-tier, permits
accurate repair or reconstruction of
parti of a property, records existing
conditknu for easements, or may
preserve information about a property
that is to be demolished.
These Standards are intended for use
in developing documentation to be
included in the Historic American
Building Survey (HABS) and the Historic
American Engineering Record (HAER)
Collections in the Library of Congress.
HABS/HAER, in the National Park
Service, have defined specific
requirements for meeting these
Standards for their collections. The
HABS/HAER requirements include t
infonnstien important to development on
documentation for other purposes such
as State or local archives
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Federal Register / Vol. 48, No. 190 / Thursday. September 29. 1983 / Notices 44731
I
tandardl. Documentation Shall
Adequately Explicate and Illustrate
What is Significant or Valuable About
the Historic Building. Site. Structure or
Object Being Documented.
The historic significance of the
building, site, structure or object
identified in the evaluation process
should be conveyed by the drawings,
photographs and other materials that
comprise documentation. The historical
architectural, engineering or cultural
values of the property together with the
purpose of the documentation activity
determine the level and methods of
documentation. Documentation
prepared for submission to the Library
of Congress must meet the HABS/HAER
Guidelines.
Standard II. Documentation Shall be
Prepared Accurately From Reliable
Sources With Limitations Clearly
Stated to Permit Independent
Verification of the Information.
The purpose of documentation is to
preserve an accurate record of historic
properties that can be used hi research
and other preservation activities. To
serve these purposes, the documentation
knust include information that permits
(assessment of its reliability.
Standard III. Documentation Shall be
Prepared on Materials That are Readily
Reproductible. Durable and in Standard
Sizes.
The size and quality of documentation
materials are important factors in the
preservation of information for future
use. Selection of materials should be
based on the length of time expected for
storage, the anticipated frequency of use
and a size convenient for storage.
Standard IV. Documentation Shall be
Clearly and Concisely Produced.
In order for documentation to be
useful for future research, written
materials must be legible and
understandable, and graphic materials
must contain scale information and
location references.
Secretary of the Interior's Guidelines for
Architectural and Engineering
Documentation
Introduction
These Guidelines link the Standards
for Architectural and Engineering
Documentation with more specific
guidance and technical information.
They describe one approach to meeting
the Standards.for Architectural
EngineeringDocumentation. Agencies,
organizations or individuals proposing
to approach documentation differently
may wish to review their approaches
with the National Park Service.
The Guidelines are organized as
follows:
Definition*
Goal of Documentation
The HABS/HAER Collection*
Standard t Content
STandard II: Quality
Standard Ub Materials
Standard IV: Presentation
Architectural and Engineering Documentation
Prepared for Other Purpose*
Recommended Source* of Technical
Information
Definitions
These definitions are used in
conjunction with these Guidelines:
Architectural Data Fornv-a one page
HABS form intended to provide
identifying information for
accompanying HABS documentation.
Documentation—measured drawings.
photographs, histories, inventory cards
or other media that depict historic
buildings, sites, structures or objects.
Field Photography—photography,
other than large-format photography.
intended for the purpose of producing
documentation, usually 35mm.
Field Records—notes of
measurements taken, field photographs
and other recorded information intended
for the purpose of producing
documentation.
Inventory Card—a one page form
which includes written data, a sketched
site plan and a 35mm contact print dry-
mounted on the form. The negative, with
a separate contact sheet and index
should be included with the inventory-
card.
Large Format Phot9graphs—
photographs taken of historic buildings,
sites, structures or objects where the
negative is a 4 X 5", 5 X T or 8 X10"
size and where the photograph is taken
with appropriate means to correct
perspective distortion.
Measured Drawings—drawings
produced on HABS or HAER formats
depicting existing conditions or other
relevant features of historic buildings,
sites, structures or objects. Measured
drawings are usually produced in ink on
archivally stable material, such as
mylar.
Photocopy—A photograph, with large-
format negative, of a photograph or
drawing.
Select Existing Drawings—drawings
of historic buildings, sites, structures or
objects, whether original construction or
later alteration drawings that portray or
depict the historic value or significance.
Sketch Plan—a floor plan, generally
not to exact scale although often drawn
from measurements, where the features
are shown in proper relation and
proportion to one another.
Coal of Documentation
The Historic American Buildings
Survey (HABS) and Historic American
Engineering Record (HAER) are the
national historical architectural and
engineering documentation programs of
the National Park Service that promote
documentation incorporated into the
HABS/HAER collections in the Library
of Congress. The goal of the collections
is to provide architects, engineers,
scholars, and interested members of the
public with comprehensive
documentation of buildings, sites,
structures and objects significant in
American history and the growth and
development of the built environment
The HABS/HAER Collections: HABS/
HAER documentation usually consists
of measured drawings, photographs and
written data that provide a detailed
record which reflects a property's
«significance. Measured drawings and
properly executed photographs act as a
form of insurance against fires and
natural disasters by permitting the
repair and. if necessary, reconstruction
of historic structures damaged by such
disasters. Documentation is used to
provide the basis for enforcing
preservation easement In addition,
documentation is often the last means of
preservation of a property; when a
property is to be demolished, its
documentation provides future
researchers access to valuable
information that otherwise would be
lost
HABE/HAER documentation is
developed in a number of ways. First
and most usually, the National Park
Service employs summer teams of
student architects, engineers, historians
and architectural historians to develop
HABS/HAER documentation under the
supervision of National Park Service
professionals; Second, the National Park
Service produces HABS/HAER
documentation, in conjunction with
restoration or other preservation
treatment of historic buildings managed
by the National Park Service. Third,
Federal agencies, pursuant to Section
110(b) of the National Historic
Preservation Act as amended, record
those historic properties to be
demolished or substantially altered as a
result of agency action or assisted
action (referred to as mitigation
projects). Fourth, individuals and
organizations prepare documentation to
HABS/HAER standards and donate that
documentation to the HABS/HAER
collections. For each of these programs.
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Federal Register / VoL 48. No. 190 / Thursday. September 29. 1983 / Notices
different Documentation Levels will be
set.
The Standards describe the
fundamental principles of HABS/HAER
documentation. They are supplemented
by other m«»«ri«i describing more
specific guidelines, such as line weights
for drawings, preferred techniques for
architectural photography, and formats
for written data. This technical
information is found in the HABS/HAER
Procedures Manual
These Guidelines include important
information about developing
documentation for State or local
archives. The State Historic
Preservation Officer or the State library
should be consulted regarding archival
requirements if ihe documentation will
become part of their collections. In
establishing archives, the important
questions of durability and
reprodudbility should be considered in
relation to the purposes of the
collection.
Documentation prepared for the
purpose of inclusion in the HABS/HAER
collections must meet the requirements
below. The HABS/HAER office of the
National Park Service retains the right
to refuse to accept documentation for
inclusion in the HABS/HAER
collections when that documentation
does not meet HABS/HAER
requirements, as specified below.
Standard L Content
1. Requirement Documentation shall
adequately explicate and illustrate what
is significant or valuable about the
historic building, site, structure or object
being documented.
2. Criteria: Documentation shall meet
one of the following documentation
levels to be considered adequate for
inclusion in the HABS/HAER
collection*.
a. Documentation Level 1;
(1) Drawings: a full set of measured
drawings depicting existing or historic
conditions.
(2) Photographs: photographs with
large-format negatives of exterior end
interior views: photocopies with large
format negatives of select existing
drawings or historic views where
available.
(3) Written data: history and
description.
b. Documentation Level II:
(1) Drawings: select existing drawings,
where available, should be
photographed with large-format
negatives or photographically
reproduced on mylar.
(2) Photographs: photographs with
large-format negatives of exterior and
interior views, or historic views, where
available.
(3) Written data: history and
description.
c. Documentation Level Hi
(1) Drawings: sketch plan.
(2) Photographs: photographs with
large-format negatives of exterior and
interior views.
(3) Written data: architectural data
form.
d. Documentation Level IV: HABS/
HAER inventory card.
3. Test Inspection of the
documentation by HABS/HAER staff.
4. Commentary: The HABS/HAER
office retains the right to refuse to
accept any documentation on buildings,
site.- structures or objects lacking
historical significance. •Generally.
buildings, sites, structures .or objects
must be listed in, or eligible for listing in
the National Register of Historic Places
to be considered for inclusion in the
HABS/HAER collections.
The kind and amount of
documentation should be appropriate to
the nature and significance of the
buildings, site, structure or object being
documented. For example.
Documentation Level I would be
inappropriate for a building that is a
minor element of a historic district
notable only for streetscape context and
scale. A full set of measured drawings
for such a minor building would be
expensive and would add little, if any.
information to the HABS/HAER
collections. Large format photography
(Documentation Level HI) would usually
be adequate to record the significance of
this type of building.
Similarly, the aspect of the property
that is being documented should reflect
the nature and significance of the
building, site, structure or object being
documented. For example, measured
drawings of Dankmar Adler and Louis
Sullivan's Auditorium Building in
Chicago should indicate not only
facades, floor plans and sections, but
also the innovative structural and
mechanical systems that were
incorporated in that building. Large
format photography of Gunston Hall in
Fairfax County. Virginia, to take another
example, should clearly, show William
Buckland's hand-carved moldings in the
Palladian Room, as well as other views.
HABS/HAER documentation is
usually in the form of measured
drawings, photographs, and written
data. While the criteria in this section
have addressed only these media,
documentation need not be limited to
them. Other media, such as films of
industrial processes, can and have been
used to document historic buildings,
sites, structures or objects. If other
media an to be used, the HABS/HAER
office should be contacted before
recording.
The actual selection of the
appropriate documentation level will
vary, as discussed above. For mitigation
documentation projects, this level will
be selected by the National Park Service
Regional Office and communicated to
the agency responsible for completing
the documentation. Generally. Level I
documentation is required for nationally
significant buildings and structures,
defined as National Historic Landmarks
and the primary historic units of the
National Park Service.
On occasion, factors other than
significance will dictate the selection of
another level of documentation. For.
example, if a rehabilitation of a property
is planned, the owner may wish to have
a full set of as-built drawings, even
though the significance may indicate
Level n documentation.
HABS Level I measured drawings
usually depict existing conditions
through the use of a site plan, floor
plans, elevations, sections and
construction details. HAER Level I
measured drawings will frequently
depict original conditions where
adequate historical material exists, so
as to illustrate manufacturing or
engineering processes.
Level II documentation differs from
Level I by substituting copies of existing
drawings, either original or alteration
drawings, for recently executed
measured drawings. If this is done, the
drawings must meet HABS/HAER
requirements outlined below. While
existing drawings are rarely as suitable
as as-built drawings, they are adquate in
many cases for documentation purposes.
Only when the desirability of having as-
built drawings is clear are Level I
measured drawings required in addition
to existing drawings. If existing
drawings are housed in an accessible
collection and cared for archivally, their
reproduction for HABS/HAER may not
be necessary. In other cases. Level I
measured drawings are required in the
absence of existing drawings.
Level m documentation requires a
sketch plan if it helps to explain the
structure. The architectural data form
should supplement the photographs by
explaining whst is act readily visible
Level IV documentation consists of
completed HABS/HAER inventory
cards. This level of documentation,
unlike the other three levels, is rarely
considered adequate documentation for
the HABS/HAER collections but is
.undertaken to identify historic resources
in a given area prior to additional more
comprehensive documentation.
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44733
Standard It Quality
1. Requirement- HABS and HAER
documentation shall be prepared
accurately from reliable sources with
limitations clearly stated to permit
independent verification of information.
2. Criteria: For all levels of
documentation, the following quality
standards shall be met
a. Measured drawings: Measured
drawings shall be produced from
recorded, accurate measurements.
Portions of the building that were not
accessible for measurement should not
be drawn on the measured drawings,
but clearly labeled as not accessible or
drawn from available construction
drawings and other sources and so
identified. No part of the measured
drawings shall be produced from
hypothesis or non-measurement related
activities. Documentation Level I
measured drawings shall be
accompanied by a set of field, notebooks
in which the measurements were first
recorded. Other drawings, prepared lor
Documentation Levels II and III. shall
include a statement describing where
the original drawings are located.
b. Large format photographs: Large
format photographs shall clearly depict
the appearance of the property and
areas of significance of the recorded
building, site, structure or object Each
view shall be perspective-corrected and
fully captioned.
c. Written history: Written history and
description-for Documentation Levels I
and n shall be based on primary sources
to the greatest extent possible. For
Levels III and IV, secondary sources
may provide adequate information; if
not primary research will be necessary.
A frank assessment of the reliability and
limitations of sources shall be included.
Within the written history, statements
shall be footnoted as to their sources.
where appropriate. The written data
shall include a methodology section
specifying name of researcher, date of
research, sources searched, and
limitations of the project.
3. rest Inspection of the
documentation by HABS/HAER staff.
4. Commentary: The reliability of the
HABS/HAER collections depends on
documentation of high quality. Quality
is not something that can be easily
prescribed or quantified, but it derives
from a process in which thoroughness
and accuracy play a large part. The
principle of independent verification
HABS/HAER documentation is critical
to the HABS/HAER collections
Standard IH: Materials
1. Requirement: HABS and HAER
documentation shall be prepared on
materials that are readily reproducible
for ease of access: durable for long
storage: and in standard sizes for ease
of handling.
2. Criteria: For all levels of
documentation, the following material
standards shall be met
a. Measured Drawings:
Readily Reproducible: Ink on
translucent material
Durable: Ink on archivally stable
materials:
Standard Sizes: Two sizes: 19 X 24"
or 24 X 36".
b. Large Format Photographs:
Readily Reproducible: Prints shall
accompany all negatives.
Durable: Photography-must be
archivally processed and stored;
Negatives are required on safety film
only. Resin-coated paper is not
accepted. Color photography is not
acceptable.
Standard Sizes: Three sizes: 4 x 5", 5
x r, 8 x 10".
c. Written History and Description:
Readily Reproducible: Clean copy for
xeroxing.
Durable: Archival bond required.
Standard Sizes: 8V4 X 11".
d. Field Records:
Readily Reproducible: Field
notebooks may be xeroxed. Photo
identification sheet will accompany 35
mm negatives and contact sheets.
Durable: No requirement
Standard Sizes: Only requirement is
that they can be made to fit into a 9V4 X
12" archival folding file.
3. Test- Inspection of the
documentation by HABS/HAER staff.
4. Commentary: All HABS/HAER
records are intended for reproduction;
some 20,000 HABS/HAER records are
reproduced each* year by the Library of
Congress. Although field records are not
intended for quality reproduction, it is
intended that they be used to
supplement the formal documentation.
The basic durability performance
standard for HABS/HAER records is 500
years. Ink on mylar is believed to meet
this standard, while color photography,
for example, does not Field records'do
not meet this archival standard, but are
maintained in the HABS/HAER
collections as a courtesty to the
collection user.
Standard IV: Presentation
1. Requirement: HABS and HAER
documentation shall be clearly and
concisely produced.
2. Criteria: For levels of
documentation as indicated below, the
following standards for presentation
will be used:
a. Measured Drawings: Level I
measured drawings will be lettered
mechanically (Le« Leroy or similar) or in
a handprinted equivalent style.
Adequate dimensions shall be included
on all sheets. Level HI sketch plans
should be neat and orderly.
b. Large format photographs: Level I
photographs shall include duplicate
photographs that include a scale. Level
n and in photographs shall include, at a
minimum, at least one photograph with
a scale, usually of the principal facade
c. Written history and description:
Data shall be typewritten on bond.
following accepted rules of grammar.
3. Test- Inspection of the
documentation by HABS/HAER staff.
Architectural and Engineering
Documentation Prepared for Other
Purposes
Where a preservation planning
process is in use. architectural and
engineering documentation, like other
treatment activities, are undertaken to
achieve the goals identified by the
preservation planning process.
Documentation is deliberately selected
as a treatment for properties evaluated
as significant and the development of
the documentation program for a
property follows from the planning
objectives. Documentation efforts focus
on the significant characteristics of the
property, as defined in the previously
completed evaluation. The selection of a
level of documentation and the
documentation techniques (measured
drawings, photography, etc.) is based on
the significance of the property and the
management needs for which the
documentation is being performed. For
example, the kind and level of
documentation required to record a
historic property for easement purposes
may be less detailed than that required
as mitigation prior to destruction of the
property. In the former case, essential
documentation might be limited to the
portions of the property controlled-by
the easement for example, exterior
facades; while in the latter case,
significant interior architectural features
and non-visible structural details would
also be documented.
The principles and content of the
HABS/HAER criteria may be used for
guidance in creating documentation
requirements for other archives. Levels
of documentation and the durability and
sizes of documentation may vary
depending on the intended use and the
repository. Accuracy of documentation
should be controlled by assessing the
reliability of all sources and making that
assessment available in the archival
record; by describing the limitations of
the information available from research
and physical examination of the
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Federal Register / Vol. 46. No. 190 / Thursday. September 29. 1983 / Notices
property; and by retaining the primary
data (Held measurements and'
notebooks) from which the archival
record was produced. Usefulness of the
documentation products depends on
preparing the documentation on durable
materials that are able to withstand
handling and reproduction, and in sizes
that can be stored and reproduced
without damage.
Recommended Sources of Technical
Information
Recording Historic Buildings. Harley I.
McKee. Government Printing Office. 1970.
Washington. D.C Available through the
Superintendent of Document*. U.S.
Government Printing Office. Washington.
D.C 20402. GPO number 024-005-0235-0,
HABS/HAER Procedures Manual. Historic
American Buildings Survey/Historic
American Engineering Record, National Park
Service. 1980. Washington. D.C
Photogrammetric Recording of Cultural
Resources. Perry E. Borchers. Technical
Preservation Services. U.S. Department of the
Interior, 1977. Waahinton. D.C
Rectified Photography and Photo Drawings
for Historic Preservation. ]. Henry Chambers.
Technical Preservation Services. US.
Department of the Interior, 1975. Washington.
D.C
Secretary of the Interior's Standards for
Archeological Documentation
Archeological documentation is a
series of actions applied to properties of
archeological interest Documentation of
such properties may occur at any or all
levels of planning, identification.
evaluation or treatment The nature and
level of documentation is dictated by
each specific set of circumstances.
Archeological documentation consists of
activities such as archival research,
observation and recording of above-
ground remains, and observation
(directly, through excavation, or
indirectly, through remote sensing) of
below-ground remains. Archeological
documentation is employed Tor ilie
purpose of gathering information on
individual historic properties or groups
of properties. It is guided by a
framework of objectives and methods
derived from the planning process, and
makes use of previous planning
decisions, such as those on evaluation of
nionificance. Archeological
documentation may be undertaken as an
aid to various a-eetasnt activities,
including research, interpretation.
reconstruction, stabilization and data
recovery when mitigating archeological
losses resulting froip construction. Care
should be taken to assure that
documentation efforts do not duplicate
previous efforts.
Standard I. Archeological
Documentation Activities Follow an
Explicit Statement of Objectives and
Methods That Responds to Needs
Identified in the Planning Process
Archeological research and
documentation may be undertaken to
fulfill a number of needs, such as
overviews and background studies for
planning, interpretation or data, recovery
to mitigate adverse effects. The planning
needs are articulated in a statement of
objectives to be accomplished by the
archeological documentation activities.
The statement of objectives guides the
selection of methods and techniques of
study and provides a comparative
framework for evaluating and deciding
the relative efficiency of alternatives.
Satisfactory documentation involves the
use of archeological and historical
sources, as well as those of other
disciplines. The statement of objectives
usually takes the form of a formal and
explicit research design which has
evolved from the interrelation of
planning needs, current knowledge,
resource value and logistics.
Standard JL The Methods and
Techniques of Archeological
Documentation are Selected To Obtain
the Information Required by the
Statement of Objectives
The methods and techniques chosen
for archeological documentation should
be the most effective, least destructive,
most efficient and economical means of
obtaining the needed information.
Methods and techniques should be
selected so that the results may be •
verified if necessary. Non-destructive
techniques should be used whenever
appropriate. The focus on stated
objectives should be maintained
throughout the process of .study and
documentation.
Standard III. The Results of
Archeological Documentation are
Azzssssd AgaiT!** tha Statement of
Objectives and Integrated Into the
Planning Process
One product of archeological
documentation is the recovered data;
another is the information gathered
about the usefulness of the statement of
objectives itself. The recovered data are
assessed against the objectives to
determine how they meet the specified
planning needs. Information related to
archeological site types, distribution and
density should be integrated in planning
at the level of identification and
evaluation. Information and data
concerning ultra-site structure may be
needed for. developing mitigation
strategies and are appropriately
integrated at this level of planning. The
results of the data analyses are
integrated into the body of current
knowledge. The utility of the method of
approach and the particular techniques
which were used in the investigation
(i.e. the research design] should be
assessed so that the. objectives of future
documentation efforts may be modified
accordingly.
Standard IV, The Results of
Archeological Documentation are
Reported and Made Available to the
Public
Results must be accessible to a broad
range of users including appropriate
agencies, the professional community
and the general public. Results should
be communicated in reports that
summarize the objectives, methods.
techniques and results of the
documentation activity, and identify the
repository of the materials and
information so that additional detailed
information can be obtained, if
necessary. The public may also benefit
from the knowledge obtained from
archeological documentation through
pamphlets, brochures, leaflets, displays
and exhibits, or by slide, film or multi-
media productions. The goal of
disseminating information must be
balanced, however, with the need to
protect sensitive information whose
disclosure might result in damage to
properties, duration arrangements
sufficient to preserve artifacts,
specimens and records generated by the
investigation must be provided for to
assure the availability of these materials
for future use.
Secretary of the Interior's Guidelines for
Archeological Documentation
Introduction
Tnese Guidelines link the Standards
for Archeological Documentation with
more specific guidance and technical
2nfcrci2tlc!L Thsy Hnscriba on*
approach to meeting the Standards for
Documentation. Agencies, organizations
or individuals proposing to approach
archeological documentation differently
may wish to review their approach with
the National Park Service.
The Guidelines are organized as
follows:
Archeological Documentation Objectives
Dssa:s9ata*i9n Plan
Methods
Reporting Results
Curation
Recommended Sources of Technical
Information
1. Collection of base-line data;
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• Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
44735
2. Problem-oriented research directed
toward particular data gaps recognized
in the historic context(s);
3. Preserve tion-or illustration of
significance which has been identified
for treatment by the planning process; or
4. Testing of new investigative or
conservation techniques, such as the
effect of different actions such as forms
of site burial (aqueous or non-aqueous).
Many properties having archeological
components have associative values as
well as research values. Examples
include Native American sacred areas
and historic sites such as battlefields.
Archeological documentation may
preserve information or data that are
linked to the identified values that a
particular property possesses.
Depending on the property type and the
range of values represented by the
property, it may be necessary to recover
information that relates to an aspect of
the property's significance other than
the specified research questions. It is
possible that conflicts may arise
between the optimal realizations of
research goals and other issues such as
the recognition/protection of other types
of associative values. The research
design for the archeological
documentation should provide for
methods and procedures to resolve such
conflicts, and for the close coordination
of the archeological research with the
appropriate ethnographic, social or
technological research.
Archeological Documentation
Objectives
The term "archeological
documentation" is'usgd here to refer
specifically to any operation that is •
performed using archeological
techniques as a means to obtain and
record evidence about past human
activity that is of importance to
documenting history and prehistory in
the United States. Historic and
prehistoric properties may be important
for the data they contain, or because of
their association with important
persons, events, or processes, or
because they represent architectural or
artistic values, or for other reasons.
Archeological documentation may be an
appropriate option for application not
only to archeological properties, but to
above-ground structures as well, and
may be used in collaboration with a
wide range of other treatment activities.
If a property contains artifacts,
features, and other materials that can be
studied using archeologica! techniques,
then archeological documentation may
be selected to achieve particular goals
of the planning process—such as to
address a specified information need, or
to illustrate significant associative
values. Within the overall goals and
priorities established by the planning
process, particular methods of
investigation are chosen that best suit
the types of study to be performed.
Relationship of archeological
documentation to other types of
documentation or other treatments:
Archeological documentation is
appropriate for achieving any of various
goals, including:
Documentation Plan
Research Design: Archeological
documentation can be carried out only
after defining explicit goals and a
methodology for reaching them. The
goals of the documentation effort
directly reflect the goals of the
preservation plan and the specific needs
identified for the relevant historic
contexts, in the case of problem oriented
archeological research, the plan usually
takes the form of a formal research
design, and includes, in addition to the
items below, explicit statements of the
problem to be addressed and the
methods or tests to be applied. The
purpose of the statement of objectives is
to explain the rationale behind the
documentation effort to define the
scope of the investigation: to identify the
methods, techniques, and procedures to
be used; to provide a schedule for the
activities: and to permit comparison of
the proposed research with die results.
The research design for an archeological
documentation effort follows the same
guidelines as those for identification
(see the Guidelines for Identification)
but has a more property-specific
orientation. .
The research design should draw
upon the preservation plan to identify:
1. Evaluated significance of the
property(ies) to be studied;
2. Research problems or other issues
relevant to the significance of the
property;
3. Prior research on the topic and
property type; and how the proposed
documentation objectives are related to
previous research and existing
knowledge;
4. The amount and kinds of
information (data) required to address
the documentation objectives and to
make reliable statements, including at
what point information is redundant and
documentation efforts have reached a
point of diminishing returns:
5. Methods to be used to find the
information: and
3. Relationship of the proposed
archeological investigation to
anticipated historical or structural
documentation, or other treatments.
The primary focus of archeological
documentation is on the data classes
that are required to address the
specified documentation objectives.
This may mean that other data classes
are deliberately neglected. If so, the
reasons for such a decision should be
carefully justified in terms of the
preservation plan.
Archeological investigations seldom
are able to collect and record all
possible data. It is essental to determine
the point at which farmer data recovery
and documentation fail to improve the
usefulness of the archeological
information being recovered. One
purpose of the research design is to
estimate those limits in advance and to
suggest at what point information
becomes duplicative. Investigation
strategies should be selected based on
these general principles, considering the
following factors:
1. Specific data needs;
2. Tune and funds available to secure
the data; and
3. Relative cost efficiency, of various
strategies.
Responsiveness to the concerns of
local groups (eig., Native American
groups with-ties to specific properties)
that was built into survey and
evaluation phases of the preservation
plan, should be maintained in
archeological investigation, since such
activity usually involves site
disturbance. The research design, in
addition to providing for appropriate
ethnographic research and consultation.
should consider concerns voiced in
previous phases.Jn the absence of
previous-efforts to coordinate with local
or other interested groups, the research
design should anticipate the need to
initiate appropriate contracts and
provide a mechanism for responding to
sensitive issues, such as the possible
uncovering of, human remains or
discovery of sacred areas.
The research design facilitates an
orderly, goal directed and economical
project However, the research design
must be flexible enough to allow for
examination of unanticipated but
important research opportunities that
arise during the investigation.
Documentation Methods
Background Review: Archeological
documentation usually is preceded by.
or integrated with historical research
(i.e. that intensive background
information gathering including
identification of previous archeological
work and inspection of museum
collections; gathering relevant data on
geology, botany, urban geography and
other related disciplines; archival
research; informant interviews, or
recording of oral tradition, etc.).
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Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
Depending on the goals of the
archeological documentation, the
background historical and archeological
research may exceed the level of
research accomplished for development
of the relevant historic contexts or for
identification and evaluation, and
focuses on tie unique aspects of the
property to be treated. This assists in
directing the investigation and locates a
broader base of information than that
contained in the property itself for
response to the documentation goals.
This activity is particularly important
for historic archeological properties
where information sources other than
the property itself may be critical to
preserving the significant aspects of the
property. (See the Secretary of the
Interior's Standards and Guidelines for
Historical Documentation for discussion
of associated research activities.)
Field Studies: The implementation of
the research design in the field must be
flexible enough to accommodate the
discovery of new or unexpected data
classes or properties, or changing field
conditions. A phased approach may be
appropriated when dealing with large
complex properties or groups of
properties, allowing for changes in
emphasis or field strategy, or
termination of the program, based on
analysis of recovered data at the end of
each phase. Such an approach permits
the confirmation of assumptions
concerning property extent, content or
organization which had been made
based on data gathered from
identification and evaluation efforts, or
the adjustment of those expectations
and resulting changes in procedure. In
some cases a phased approach may be
necessary to gather sufficient data to
calculate the necessary sample size for
a statistically valid sample. A phased
documentation program may often be
most cost-effective, in allowing for early
ienniuuiluii of wcrlf if ths dc:ired
objectives cannot be achieved.
Explicit descriptive statements of and
justification for field study techniques
are important to provide a means of
evaluating results. In some cases,
especially those employing a sampling
strategy in earlier phases (such as
identification or evaluation), it is __
possible to estimate parameters oi
certain classes of data in a fairly
rigorous statistical manner. It is thus
desirable to-maintain some consistency
in choice of sampling designs throughout
multiple phases of work at the same
property. Consistency with previously
employed area! sampling frameworks
also improves potential replication in
terms of later locating sampled and
unsampled areas. It often is desirable to
estimate the nature and frequency of
data parameters based on existing
information or analogy to other similar
cases. These estimates may then be
tested in field studies.
An important consideration in
choosing methods to be used in the field
studies should be assuring full clear,
and accurate descriptions of all field
operations and observations, including
excavation and recording techniques
and stratigraphic or biter-site
relationships.
To the extent feasible, chosen
methodologies and techniques should
take into account the possibility that
future researchers will need to use the
recovered data to address problems not
recognized at the time the data were
recovered. The field operation may
recover data that may not be fully
analyzed: this data, as well as the data
analyzed, should be recorded and
preserved in a way to facilitate future
research.
A variety of methodologies may be
used. Choices must be explained.
including a measure of coat-
effectiveness relative to other potential
choices. Actual results can then be
measured against expectations, and the
information applied later in similar
cases.
Destructive methods should not be
applied to portions or elements of the
property if nondestructive methods are
practical If portions or elements of the
property being documented are to be
preserved in place, the archeological
investigation should employ methods
that wUl leave the property as
undisturbed as possible. However, in
cases where the property will be
destroyed by, for example, construction
following the investigation, it may be
most practical to gather the needed data
in the most direct manner, even though
that may involve use of destructive
techniques.
Logistics in the field, including the
deployment of personnel and materials
and the execution of sampling strategies,
should consider site significant
anticipated location of most important
data, cost effectiveness, potential time
limitations and possible adverse
conditions.
The choice of methods for recording
data gathered in the 5e!d shcsld be
based on the research design. Based on
that statement, it is known in advance of
field work what kinds of information are
needed for analysis; record-keeping
techniques should focus on these data.
Field records should be maintained in a
manner that permits independent
interpretation in so far as possible.
Record-keeping should be standardized
in format and level of detail
Archeological documentation should
be conducted under the supervision of
qualified professionals in the disciplines
appropriate to the data that are to be
recovered. When the general public is
directly involved in archeological
documentation activities, provision
should be made for training and
supervision by qualified professionals.
(See the Professional Qualifications
Standards.)
Analysis: Archeological
documentation is not completed with
field work; analysis of the collected
information is an integral part of the
documentation activity, and should be
planned for in the research design.
Analytical techniques should be
selected that are relevant to the
objectives of the investigation. Forms of
analysis that may be appropriate.
depending on the type of data recovered
and the objectives of the investigation,
include but are not limited to: studying
artifact types and distribution;
radiometric and other means of age
determination; studies of soil
stratigraphy; studies of organic matter
such as human remains, pollen, animal
bones, shells and seeds: study of the
composition of soils and study of the
natural environment in which the
property appears.
Reporting Results
Report Contents: Archeological
documentation concludes with written
report(s) including minimally the
following topics:
1. Description of the study area;
2. Relevant historical documentation/
background research;
3. The research design:
4. The field studies as actually
implemented, including any deviation
from the research design and the reason
for the changes;
5. All field observations:
6. Analyses and results, illustrated as
appropriate with tables, charts, and
graphs;
7. Evaluation of the investigation in
terms of the goals and objectives of the
investigation, including discussion of
how weii the needs uibimcd by the
planning process were served:
8. Recommendations for updating the
relevant historic contexts and planning
goals and priorities, and generation of
new or revised information needs;
9. Reference to related on-going or
proposed treatment activities, such as
structural documentation, stabilization.
eta; and
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Federal Register / Vol. 48, No. 190 / Thursday. September 29. 1983 / Notices
44737
10. Information on the location of
original data in the form of field notes,
photographs, and other materials.
Some individual property information.
such as specific locational data, may be
highly sensitive to disclosure, because' of
the threat of vandalism. If the objectives
of the documentation effort are such
that a report containing confidential
information such as specific site
locations or information on religious
practices is necessary, it may be
appropriate to prepare a separate report
for public distribution. The additional
report should summarize that
information that is not under restricted
access in a format most useful to the
expected groups of potential users. Peer
review of draft reports is recommended
to ensure that state-of-the-art technical
reports are produced.
Availability: Results must be made
available to the full range of potential
users. This can be accomplished through
a variety of means including publication
of results in monographs and
professionals journals and distribution
of the report to libraries or technical
clearinghouses such as the National
Technical Information Service in
Springfield, Virginia.
Curation
Archeological specimens and records
are part of the 'documentary record of an
archeological,site. They must be curated
for future use in research, interpretation.
preservation, and resource management
activities. Curation of important
archeological specimens and records
should be provided for in the
development of any archeological
program or project
Archeological specimens and records
that should be curated are those that
embody the information important to
history and prehistory. They include
artifacts and their associated
documents, photographs, maps, and
field notes; materials of an
environmental nature such as bones,
shells, soil and sediment samples, wood.
seeds, pollen, and their associated
records: and the products and
associated records of laboratory
procedures such as thin sections, and
sediment fractions that result from the
analysis of archeological data.
Satisfactory curation occurs when:
1. Curation facilities have adequate
space, facilities, and professional
personnel;
2. Archeological specimens-are
maintained so that their information
values are not lost through deterioration.
and records are maintained to a
professional archival standard:
3. Curated collections are accessible
to qualified researchers within a
reasonable time of having been
requested: and
4. Collections are available for
interpretive purposes, subject to
reasonable security precautions.
Recommended Sources of Technical
Information
Archeomagnetism: A Handbook for the
ArcheologiaL Jeffrey L. Eighmy, U.S.
Department of the Interior. Washington. D.C.,
1980.
The Curation and Management of
Archeological Collections: A Pilot Study.
Cultural Resource Management Series, U.S.
Department of the Interior, September 1960.
Human Bonn and Archeology. Douglas H.
Ubelaker. Interagency Archeological
Services. Heritage Conservation and
Recreation Service. US. Department of the
Ulterior. Washington. D.C.. 1980. Available
from the Superintendent of Documents. VS.
Government Printing Office. Washington.
D.C. 20402
Manual for Museums. Ralph H. Lewis,'
National Park Service. U.S. Department ot the
Interior. 1978.
Treatment of Archeological Properties; A
Handbook. Advisory Council on Historic
Preservation. Washington D.C. 1980.
Secretary of the Interior's Standards for
Historic Preservation Projects
General Standards for Historic
Preservation Projects
The following general standards apply
to all treatments undertaken on historic
properties listed in the National
Register.
1. Every reasonable effort shall be
made to provide a compatible use for a
property that requires minimal
alteration of the building, structure, or
site and its environment, or to use a
property for its originally intended
purpose.
2. The distinguishing original qualities
or character of a building, structure, or
site and its environment shall not be
destroyed. The removal or alteration of
any historic material or distinctive
architectural features should be avoided
when possible.
3. All buildings, structures, and sites
shall be recognized as products of their
own time. Alterations which have no
historical basis and which seek to create
an earlier appearance shall be
discouraged.
4. Changes which have taken place in
the course of time are evidence of the
history and development of a building,
structure, or site and its environment
These changes may have acquired
significance in their own right and this
significance shall be recognized and
respected.
5. Distinctive architectural features or
examples of skilled craftsmanship which
characterize a building, structure, or site
shall be treated with sensitivity.
6. Deteriorated architectural features
shall be repaired rather than replaced.
wherever possible. In the event
replacement is necessary, the new
material should match the material
being replaced in composition, design.
color, texture, and other visual qualities.
Repair or replacement of missing
architectural features should be based
on accurate duplications of features,
substantiated by historic, physical, or
pictorial evidence rather than on
conjectural designs or the availability of
different architectural elements from
other buildings or structures.
7. The surface cleaning of structures
shall be undertaken with the gentlest
means possible. Sandblasting and other
cleaning methods that will damage the
historic building materials shall not be
undertaken.
8. Every reasonable effort shall be
made to protect and preserve
archeological resources affected by. or
adjacent to, any acquisition,
stabilization, preservation.
rehabilitation, restoration, or
reconstruction project
Specific Standards for Historic
Preservation Projects
The following specific standards for
each treatment are to be used in
conjunction with the eight general
standards and. in each case, begin with
number 9. For example, in evaluating
acquisition projects, include the eight
general standards plus the four specific
standards listed under standards for
Acquisition. The specific standards
differ from those published for use in
Historic Preservation Fund grant-in-aid
projects (36 CFR Part 68) in that they
discuss more fully the treatment of
archeological properties.
Standards for Acquisition
9. Careful consideration shall be given
to the type and extent of property rights
which are required to assure the
preservation of the historic resource.
The preservation objectives shall
determine the exact property rights to be
acQuired.
10. Properties shall be acquired in fee
simple when absolute ownership is
required to insure their preservation.
11. The purchase of less-than-fee-
simple interests, such as open space or
facade easements, shall undertaken
when a limited interest achieves the
preservation objective.
12. Every reasonable effortshall be
made to acquire sufficient property with
the historic resource to protect its
historical archeological. architectural or
cultural significance.
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Federal Register / Vol. 48, No. 190 / Thursday. September 29. 1983 / Notices
Standard for Protection
9. Before applying protective
measures which are generally of a
temporary nature and imply future
historic preservation work, an analysis
of the actual or anticipated threats to
the property shall be made.
10. Protection shall safeguard the
physical condition or environment of a
property or archeological site from
further deterioration or damage caused
by weather or other natural, animal, or
human intrusions.
11. If any historic material or
architectural features are removed, they
shall be properly recorded and, if
possible, stored for future study or
reuse.
Standards for Stabilization
9. Stabilization shall reestablish the
structural stability of a property through
the reinforcement of loadbearing
members or by arresting deterioration
leading to structural failure.
Stabilization shall also reestablish
weather resistant conditions for a
property.
10. Stabilization shall be
accomplishedln such a manner that it
detracts as little as possible from the
property's appearance and significance.
When reinforcement is required to
reestablish structural stability, such
work shall be concealed wherever
possible so as not to intrude upon or
detract from the aesthetic and historical
or archeological quality of the property,
except where concealment would result
in the alteration or destruction of
historically or archeologically
significant material or spaces. Accurate
documentation of stabilization
procedures shall be kept and made
available for future needs.
ii. Stabilization work that will result
in ground disturbance shall be preceded
by sufficient archeological investigation
to determine whether significant
subsurface features or artifacts will be
affected. Recovery, curatiorftnd
documentation of archeological features
and specimens shall be undertaken in
accordance with appropriate
professional methods and techniques.
Standards for Preservation
S. Preservation shsl! maintain the
existing form, integrity, and materials of
a building, structure, or site.
Archeological sites shall be preserved
undisturbed whenever feasible and
practical. Substantial reconstruction or
restoration of lost features generally ere
not included in a preservation
undertaking.
10. Preservation shall include
techniques of arresting or retarding the
deterioration of a property through a
program of ongoing maintenance.
11. Use of destructive techniques, such
as archeological excavation, shall be
limited to providing sufficient
information for research, interpretation
and management needs.
Standards for Rehabilitation
9. Contemporary design for alterations
and additions to existing properties
shall not be discouraged when such
alterations and additions do not destroy
significant historic, architectural, or
cultural material and such design is
compatible with the size, scale, color.
material and character of the property.
neighborhood, or environment
10. Wherever possible, new additions
or alterations to structures shall be done
in such a manner that if such additions
or alterations were to be removed in the
future, the essential form and integrity
of the structure would be unimpaired.
Standards for Restoration
9. Every reasonable effort shall be
made to use a property for is originally
intended purpose or to provide a
compatible use that will require
minimum alteration to the property and
its environment
10. Reinforcement required for
structural stability or the installation of
protective or code required mechanical
systems shall be concealed wherever
possible so as not to intrude'or detract
from the property's aesthetic and
historical qualities, except where
concealment would result in the
alteration or destruction of historically
significant materials or spaces.
11. Restoration work such as the
demolition of non-contributing additions
that will result in ground or structural
disturbance shall be preceded by
sufficient srcheclcgicai investigation to
determine whether significant '
subsurface or structural features or
artifacts will be affected. Recovery,
curation and documentation of
archeological features and specimens
shall be undertaken in accordance with
appropriate professional methods and
techniques.
Standards for Reconstruction
9. Reconstruction of a part or all of a
property shall be undertaken only when
such work is essential to reproduce a
significant missing feature in a historic
district or scene, and when a
contemporary design solution is not
acceptable. Reconstruction of
archeological sites generally is not
appropriate.
10. Reconstruction of all or a part of a
historic property shall be appropriate
when the reconstruction is essential for
understanding and interpreting the value ^
of a historic district or when no other
building, structure, object or landscape
feature with the same associative value
has survived and sufficient historical or
archeological documentation exists to
insure an accurate reproduction of the
original.
11. The reproduction of missing
elements accomplished with new
materials shall duplicate the
composition, design, color, texture, and
other visual qualities of the missing
element Reconstruction of missing
architectural or archeological features
shall be based upon accurate
duplication of original features
substantiated by physical or
documentary evidence rather than upon
conjectural designs or the availability of
different architectural features from
other buildings.
12. Reconstruction of a building or
structure on an original site shall be
preceded by a thorough archeological
investigation to locate and identify all
subsurface features and artifacts.
Recovery, curation and documentation
of archeological features and specimens
shall be undertaken in accordance with
professional methods and techniques.
13. Reconstruction shall include I
measures to preserve any remaining
original fabric, including foundations,
subsurface, and ancillary elements. The
reconstruction of missing elements. The
reconstruction of missing elements and
features shall ba done in such a manner
that the essential form and integrity of
the original surviving features are
unimpaired.
Secretary of the Interior Guidelines for
Historic Preservation Projects
The guidelines for the Secretary of the
Interior's Standards for Historic
Preservation Projects, not included here
because of their length, may be obtained
separately from the National Park
Serivce.
Professional Qualifications Standards
The following requirements are those
used by the National Park Service, and
have been previously published in the
Code of Federal Regulations. 36 CFR
Part 61. The qualifications define
minimum education and experience
required to perform idenoficatica.
evaluation, registration, and treatment
activities. In some cases, additional
areas or levels of expertise may be
needed, depending on the complexity of
the taak and the nature of the historic '
properties involved. In the following
definitions, a year of full-time
professional experience need not consist
of a continuous year of fuUtime work but
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Federal Register / Vol. 48. No. 190 / Thursday. September 29, 1983 / Notices
44739
may be made up of discontinuous
periods of full-time or part-time work
adding up to the equivalent of a year of
full-time experience.
History
The minimum professional
qualifications in history are a graduate
degree in history or closely related field:
or a bachelor's degree in history or
closely related field plus one of the
following:
1. At least two years of full-time
experience in research, writing,
teaching, interpretation, or other
demonstrable professional activity with
an academic institution, historic
organization or agency, museum, or
other professional institution: or
•2. Substantial contribution through
research and publication to the body of
scholarly knowledge in the field of
history.
Archeology
The minimum professional
qualifications in archeology are a
graduate degree in archeology.
anthropology, or closely related field
plus:
1. At least one year of full-time
professional experience or equivalent
specialized training in archeological
research, administration or
management
2. At least four months of supervised
field and analytic experience in general
North American archeology, and
3. Demonstrated ability to carry
research to completion.
In addition to these minimum
qualifications, a professional hi
prehistoric archeology shall have at
least one year of full-time professional
experience at a supervisory level in the
study of archeological resources of the
prehistoric period. A professional in
historic archeology shall have at least
one year of full-time professional
experience at a supervisory level hi the
study of archeological resources of the
historic period.
Architectural History
The minimum professional
qualifications in architectural history
are a graduate degree Oi architectural
history, art history, historic
preservation, or closely related field.
with coursework in American
architectural history; or a bachelor's
degree in architectural history, art
history, historic preservation or closely
related field plus one of the following:
1. At least two years of full-time
experience in research, writing, or
teaching inAmerican architectural
history or restoration architecture with
an academic institution, historical
organization or agency, museum, or
other professional institution: or
2. Substantial contribution through
research and publication to the body of
scholarly knowledge in the field of
American architectural history.
Architecture.
The minimum professional
qualifications hi architecture are a
professional degree in architecture plus
at least two years of full-time
experience in architecture: or a State
license to practice architecture.
Historic Architecture
The minimum professional
qualifications historic in architecture are
a professional degree in architecture or
a State license to practice architecture,
plus one of the following:
1. At least one year of graduate study
hi architectural preservation. American
architectural history, preservation
planning, or closely related field: or
2. At least one year of full-time
professional experience on historic
preservation projects.
Such graduate study or experience
shall include detailed investigations of
historic structures, preparation of
historic structures research reports, and
preparation of plans and specifications
for preservation projects.
Preservation Terminology
Acquisition—the act ojr process of
acquiring fee title 'or interest other than
fee title of real property (including
acquisition of development rights or
remainder interest).
Comprehensive Historic Preservation
Planning—the organization into a logical
sequence of preservation information
pertaining to identification, evaluation.
registration and treatment of historic
properties, and setting priorities for
accomplishing preservation activities.
Historic.Context—a unit created for
planning purposes that groups
information about historic properties
based on a shared theme, specific time
period and geographical area.
Historic Property—a district site.
building, structure or object significant
in American history, architecture,
engineering, archeology or culture at the
national. State, or local level.
Integrity—the authenticity of a
property's historic identity, evidenced
by the survival of physical
characteristics that existed'during the
property's historic or prehistoric period.
Intensive Survey—a systematic.
detailed examination of an area
designed to gather information about
historic properties sufficient to evaluate
them against predetermined criteria of
significance within specific historic
contexts.
Inventory—a list of historic properties
determined to meet specified criteria of
significance.
National Register Criteria—the
established criteria for evaluating the
eligibility of properties for inclusion hi
the National Register of Historic Places.
Preservation (treatment)—the act or
process of applying measures to sustain
the existing form, integrity and material
of a building or structure, and the
existing form and vegetative cover of a
site. It may include initial stabilization
work, where necessary, as well as
ongoing maintenance of the historic
building materials.
Property Type—a grouping of
individual properties based on a set of
shaYed physical or associative
characteristics.
Protection (treatment}—the act or
process of applying measures designed
to affect the physical condition of a
property by defending or guarding it
from deterioration, loss or attack, or to
cover or shield the property from danger
or injury. In the case of buildings and
structures, such treatment is generally of
a temporary nature and anticipates
future historic preservation treatment: in
the case of archeological sites, the
protective measure may be temporary or
permanent
Reconnaissance Survey—an
examination of all or part of an area
accomplished hi sufficient detail to
make generalizations about the types
and distributions of historic properties
that may be present
Reconstruction (treatment}—the act
or process of reproducing by new
construction the exact form and detail of
a vanished building, structure, or object
or any part thereof, as it appeared at a
specific period of time.
Rehabilitation (treatment}—the act or
process of returning a property to a state
of utility through repair or alteration
which makes possible an efficient
contemporary use while preserving
those portions or features of the
property which are significant to its
historical, architectural and cultural
values.
Research design—a statement of
proposed identification, documentation.
investigation, or other treatment of a
historic property that identifies the
project's goals, methods and techniques.
expected results, and the relationship of
the expected results to other proposed
activities or treatments.
Restoration—the act or process of
/accurately recovering the form and
details of a property and its setting as it
appeared at a particular period of time
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44740-44742 Federal Register / Vol. 48. No. 190 / Thursday. September 29. 1983 / Notices
by means of the removal of later work
or by the replacement of missing, earlier
work.
Sample Survey—survey of a
representative sample of lands within a
given area in order to generate or test
predictions about the types and
distributions of historic properties in the
entire area.
Stabilization (treatment}—the act or
process of applying measures designed
to reestablish a weather resistant
enclosure and the structural stability of
an unsafe or deteriorated property while
maintaining the essential form as it
exists at present.
Statement of objectives—see
Research design.
Dated: September 26.1983.
Ruwell E. Dickensoo.
Director. National Park Service.
|FR Doc. 0-ZM07 Fltod 9-ZS-di 8*1 *m|
BtLUMQ COM 43W-70-M
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Errata Sheet
ARCHEOLOGY AND HISTORIC PRESERVATION; SECRETARY OF THE INTERIOR'S
STANDARDS AND GUIDELINES
FEDERAL REGISTER, VoL 48, No. 190, Part IV.
In the Guidelines for Archeological Documentation, the section titled "Archeological
Documentation Objectives" was published out of sequence. The correct order of the
material on pages 44734 and 44735 is as follows:
Secretary of the Interior's Guidelines for
Archeoibgical Documentation
Introduction
Tbe«e Guidelines link the Standards
for Archeological Documentation with
more specific guidance and technical
information. They describe one
approach to meeting the Standards for
Documentation. Agencies, organizations
or individuals proposing to approach
archeological documentation differently
may wish to review their approach with
th&Hational Park Service.
are organized as
Archeological DocumenUtion Objectives
Documentation Plan
Method*
Reporting Result*
Curaucn
Recommended Source* of Technical
Information
Archeological Documentation
Objectives
The term "archeological
documentation" is used here to refer
specifically to any operation that is
performed using archeological
techniques as a means to obtain and
record evidence about past human
activity that is of importance to
documenting history and prehistory in
the United States. Historic and
prehistoric properties may be important
for the data they contain, or because of
their association with important
persons, events, or processes, or
because they represent architectural or
artistic values, or for other reasons.
Archeological documentation may be an
appropriate option for application not
only to archeological properties, but to
above-ground structures as well and
may be used in collaboration with a
wide range of other treatment activities.
If a property contains artifacts.
features, and other materials that can be
studied using archeological techniques-
then archeological documentation may
be selected to achieve particular goals
of the planning process—such as to
address a specified information need, or
to illustrate significant associative
values. Within the overall goals and
priorities established by the planning
process, particular methods of
investigation are chosen that best suit
the types of study to be performed.
Relationship of archeological
documentation to other types of
documentation or other treatments:
Archeological documentation is
appropriate for achieving any of various
goals, including:
1. Collection of base-line data:
2. Problem-oriented research directed
toward particular data gaps recognized
in the historic context(s):
3. Preservation or illustration of
significance which has been identified
for treatment by the planning process: or
4. Testing of new investigative or
conservation techniques, such as the
effect of different actions such as forms
of site burial (aqueous or non-aqueous).
Many properties having archeological
components have associative values as
well as research values. Examples
include Native American sacred areas
and historic sites such as battlefields.
Archeological documentation may
preserve information or data that are
linked to the identified values that a
particular property possesses.
Depending on the property type and the
range of values represented by the
property, it may be necessary to recovei
information that relates to ad aspect of
the property's significance other than
the specified research questions. It is
possible that conflicts, may arise
between the optimal realizations of
research goals and other issues such as
the recognition/protection of other type
of associative values. The research
design for the archeological
documentation should provide for
methods and procedures to resolve sue:
conflicts, and for the close coordinator
of the archeological research with the
appropriate ethnographic, social or
technological research.
Documentation Plan
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Attachment 4
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WORKING WITH
SECTION 106
IDENTIFICATION
OF HISTORIC PROPERTIES:
A Decisionmaking Guide for Managers
JOINTLY ISSUKDHY
Advisory Council on Historic Preservation
National Park Service, U. S. Department of the Interior
SEPTEMBER , 1988
-------
Cover photos:
Tic rod, the U.S. Mint, New Orleans.
fMfirrifi /4r(/>i/;im Smith. nhfUftp-
rapher.)
Eroding midden, Swansboro, North
Carolina, archeological site. (Photo
courtesy of the U.S. Army Corps of
Engineers.)
Columbia River Highway, Oregon,
listed on the National Register of His-
toric Places in 1983. (Photograph
courtesy of Oregon Department of
Transportation/James Norman, photog-
rapher.)
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
Table of Contents
Preface 5
I. Introduction 7
II. Identification principles 9
A. Identification efforts should be consistent with national historic
preservation policy 10
B. Identification efforts should be reasonable with reference to the
nature of the undertaking and its likely effects 11
C. An agency's program for identification should provide for consulting
authorities and for resolving disputes over methods and approaches 12
D. An identification effort should make use of and build on existing
information and on methods agreed upon orused during previous
such efforts ' 13
E. An identification effort should be multidisciplinary 13
III. Designing an identification effort: a decisionmaking guide 14
A. Standard decisionmaking process for identification 14
1. Establish areas(s) of potential effect 15
2. Determine whether the area has been surveyed or otherwise
inspected to identify historic properties 16
3. Determine whether the area is "large" or "small" 17
4. Determine whether the available information provides a reliable
basis for decisionmaking 17
5. Determine whether the area should be subjected to intensive
survey, and whether such a survey can be carried out within a
reasonable period of time and at reasonable cost 18
6. Determine whether an alternative to intensive survey is
appropriate 19
7. Decide how to proceed with Section 106 review 20
B. Special decisionmaking process for identification in large areas 21
1. Use available information to develop a "predictive model"
indicating where historic properties exist or are likely to exist 21
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
2. Test the predictive model 22
3. Establish additional survey needs and approaches, if any, and
consider a Programmatic Agreement 22
IV. Reporting and preserving identification results 23
V. Conclusion 24
Appendix A: Further guidance 25
Table of Figures
Figure 1: A brief look at Section 106 review 8
Figure 2: Identification principles 9
Figure 3: Standard decisionmaking process for identification 15
Figure 4: Special decisionmaking process for identification in large areas 21
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
Preface
Identification is a key part of any program of historic preservation. Without identification, historic properties cannot be
thoughtfully preserved, rehabilitated, or considered in planning modern programs of development and land use.
Over the years, a number of publications have been issued dealing with the processes and results of identification. Notable
among these are Secretary of the Interior's Standards and Guidelines for Identification and the more detailed Guidelines for
Local Surveys: A Basis for Preservation Planning and Tlie Archeological Survey: Methods and Uses, all published by the
Department of the Interior.
Questions continue to arise, however, about how one decides to carry out a program of identification, and what approaches
to use. This publication is designed to answer these questions, thus filling an important gap in the identification literature.
The Advisory Council on Historic Preservation and others first perceived a need for this publication during the process of
revising the Council's regulations, "Protection of Historic Properties" [36 CFR Part 800], which implement Section 106 of the
National Historic Preservation Act of 1966 (NHPA).
Once the regulatory revisions were complete, the Council turned its attention to developing this and other guideline docu-
ments needed to make the Section 106 review process work more smoothly. The National Park Service, recognizing that this
guidance would have applications well beyond Section 106 review, participated actively in its development; the two agencies
that its joint issuance would be appropriate.
111*111.3 111.
guidance
W'
This publication was developed under the supervision of a task force of Council members headed by Janice S. Golec, deputy
assistant secretary for program development, Department of Housing and Urban Development (HUD). Members of the
task force, in addition to the Department of the Interior and HUD, included the Honorable Michael Newbold Castle, gover-
nor of Delaware; Bruce Nestande, citizen member of the Council from Costa Mesa, California; Clifton Caldwell, historic
preservation expert member of the Council from Richardson, Texas; and Avery C. Faulkner, FAIA, historic preservation ex-
pert member from Washington, DC. The primary author of this publication is Thomas F. King, Ph.D., director of the
Council's Office of Cultural Resource Preservation. Major drafting assistance was provided by James Brennan, director, En-
vironmental Management Division, Office of Environment and Energy, HUD, and Dale Lanzone, former special assistant to
the director, National Park Service, Department of the Interior, and now director of arts and historic preservation, General
Services Administration.
It is our hope that this publication will be widely used not only in helping Federal agencies and others carry out their iden-
tification responsibilities under Section 106, but also in conducting historic preservation programs at all levels of government
and in the private sector.
Robert D. Bush, Ph.D. Jerry L. Rogers
Executive Director Associate Director, Cultural Resources
Advisory Council on Historic Preservation National Park Service
Working with Section 106
-------
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES:
A Decisionmaking Guide for Managers
I. Introduction
What Section 106 requires of Federal
agencies
Identification of historic properties
The National Historic Preservation Act (NHPA), other Federal authorities, and
a growing number of State and local laws, ordinances, and policies require or en-
courage the consideration of historic properties in the planning and implementa-
tion of land use and development projects. In order for such consideration to
occur, historic properties must be identified, preferably at an early planning
stage, and in an orderly manner.
Section 106 of NHPA requires that Federal agencies take into account the effects
of their undertakings on historic properties. Procedures for complying with Sec-
tion 106 are set forth in the Council's regulations, "Protection of Historic Proper-
ties" [36 CFR Part 800,1986]. Figure 1 gives a brief overview of Section 106
review.
Section 106 and the Council's regulations have served as models for historic
preservation and environmental legislation and regulations at the State and local
levels. They have also been internalized by many Federal agencies as part of agen-
cy environmental review systems. Thus, in addition to their specific application to
the review of Federal undertakings, the principles embodied in Section 106 are
broadly applicable to the processes of historic preservation planning in general.
Identifying historic properties is a fundamental step in determining what proper-
ties may be affected by an undertaking, and is an essential step in taking into ac-
count the specific effects the undertaking may have. The Council's regulations
require any Federal agency considering an undertaking to "make a reasonable
and good faith effort to identify historic properties that may be affected by the un-
dertaking and gather sufficient information to evaluate the eligibility of these
properties for the National Register [of Historic Places]" [36 CFR § 800.4(b)].
This publication is designed to assist managers in identifying historic properties.
It is based on the experience of the Advisory Council on Historic Preservation
and the Department of the Interior in considering historic properties under Sec-
tion 106 of NHPA and related Federal authorities.
The Council and the Department of the Interior recognize that undertakings and
their potential effects on historic properties vary greatly, as do the techniques,
processes, and levels of effort appropriate for acquiring information about such
properties. For this reason, the Council's regulations, at § 800.3(b), call for
"flexible application" of Section 106 review and the concepts in this publication
should be applied flexibly as well. This publication sets out basic principles and
approaches that should be considered when designing an effort to identify his-
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
Figure 1: A brief look at Section 106 review
How doe* Section 106 review wetfc? The
standard review process is spelled out in
Federal regulations issued by the Ad*
visory Council on Historic Preservation.
Entitled "Protection of Historic Proper-
ties,* the resufefions appear in the U.S.
Cade of Federal Regulations at36CTO
Part 800. Tfteprooe** involve* five basks
steps, as follow.
Step 1; identify and evaluate his-
toric properties
The Federal agency responsible for an
undertaking begins by Identifying the nfe-
torlc properties the undertaking may af-
fect, To do this, the agency first reviews
background: JntarmaBon and consults
with the Stat* Historic Preservation Of-
ficer (SHPO) end other* who may know
about historic properties in ihe area.
Based on this wviewth* agency deter-
mines what additional surveys or other
f teld studies may be f»ededv and con-
ducts such tttudlea.
8 properties, that to, districts, artes, bulld-
fngs. structures, or objects, are found
ttetmaybeeJglbte to inclusion In the
Natonat Register of H)stottoPiaces,but
have not yet been Included tn the
Regt«lerfJhe agency evaluates them
i^nst criteria published by the National
JPsnt Service, which maintain* the
Ftoglster*
SOT* aria* about toe eligibility of a given
property, in* *g*ney may »**k « vaimm
determlnatort o^«ftjJb«ty from the
Secretary ot the Jnterior* tf*Droperfyhas
fieglstef, ol oourae, Jurther4»«aluatlon J»
not ordinarily nece**aryv Section 106
review gives equal treatmerft to proper-
tie* truit have aJready been Jndoded in
the fteglstef«ndthoe» feat are «t^rSMe
terlnctuston,
ctuded In or eligible tor mcfuslon In the
Natior^f*egJ*t«r,«ni found, *• agency
work* with the SHPO, and considers the
vJewa of others. Tfte agency makes Its
assessment based on criiefla found ir»
the Council's regulations, and can make
one of three determinations:
o No effect the undertaking wffl not af-
fectWstoric properties;
o No ad verse effect the undertaking will
affect on* or more historic properties,
but the effect will not be harmful;
o Adverse effect: the undertaking wffi
harm one or more historic properties,
Step 3; Consultation
(fan adverse effect wK occur, ttie agency
oorauRs with the SHPO and others In an
effort to find ways to make*e undertak-
ing less harmful. Others who are con-
suJfed, under various circumstances,
may include local governments, Indian
tribe*, property owners, other members
Of the public, and the Council. Consulta-
tion Is designed to result to a Memoran-
dum of Agreement {M0A), which outftnes
measures agreed upon tt»a* the agency
adverse sffeot (« some ««»$«» OOft-
suffing parties may agree that no sueh
measures are avaiable. bat thatthe «d-
verse effects must be moospted In the
pub«c interest
If owsultafion prove* unproductive, Ihe
agoncy or the Sl*O,«r1r«i Council fr
quest the CounciFk wrttten comment*.
Step 4: Council comment
atfon and signing the resulting MOA.
Otherwise, the agency obtalrw Coan<«
cy had requested.
Step 5: Proceed
San MCA is executed, the agency
proceeds with it* undertaking under the
terms of the MOA. to the absence of an
MOA, the agency head must take into ac-
count the Council's written comment* in
deciding whether and how to proceed.
Alternative approaches
The Section t06 regulations also spell
out three alternative means of complying
with Section 106- DM** are
o Programmatic Agreements among an
agency, the CouneB, one or mote
o Counterpart regulations developed by
an agency Md approved by the CouncB;
oAn agreement between the Council
and a State, which substitutes a State
review system for the standard Section
10$ review process,
metts, If oonsultatkjn wat terrnlriated,
tfi« Coundl issue* $* written tonwepts
dli»c%totr*ag«>cy head, ** the agen-
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
Other guidance materials
toric properties, and discusses how to apply these principles and approaches
under varying circumstances.
This guidance refers repeatedly to the Secretary of the Interior's Standards and
Guidelines for Identification, which is the Federal Government's basic technical
standards and guidelines for the identification of historic properties. First
published as part of Archeology and Historic Preservation: Secretary of the
Interior's Standards and Guidelines, Standards and Guidelines for Identification
should be used to supplement this publication where specific technical guidance
is needed. Bibliography information about these materials is provided in
Appendix A.
II. Identification principles
Managers should observe the following basic principles when determining what
kind of identification effort is appropriate for a specific land-use or development
action, and when establishing agency procedures to govern the review of under-
takings. Figure 2 lists these basic principles.
Figure 2: Identification principle*
ktorrtffic«tiQn«ffortt«»>ould
p(*^
ft. S* fMMNMbirwW* nfavnctt to th» nature of *» unctertaking *rai ft* blaly effect*,
€« ofc fB
ftw further diccusiiOn of CMM pnncipfnr •••
Woitiflgwitb SectioD 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
A. Identification efforts should be consistent with national historic preservation
policy.
Discussion: Section 110(d) of NHPA requires that Federal agencies, to the extent
"consistent with the agency's mission and mandates," conduct "agency programs
and projects (including those under which any Federal assistance is provided or
any Federal license, permit, or other approval is required) in accordance with the
purposes of this Act, and give consideration to programs and projects which will
further the purposes of this Act."
It follows that an agency's identification efforts, among its other programs, should
be made consistent with the act's purposes, and made to advance the act's pur-
poses, to the extent feasible given the agency's mission and mandates.
Coordinating identification efforts with
SHPOs, State historic preservation
plans, and other agencies
Section 110(a)(2) of NHPA
Recommended measures: An agency should
1. Carry out identification efforts in a manner that assists the State Historic
Preservation Officer (SHPO) in fulfilling his/her responsibility under §
101(b)(3)(A) of NHPA to "direct and conduct a comprehensive statewide survey
of historic properties and maintain inventories of such properties," by
a. using identification methods recommended by the SHPO, provided such
methods are consistent with these guidelines and the Standards and Guidelines
for Identification;
b. consulting with the SHPO in designing an identification effort, and in
evaluating its results;
c. when appropriate, conducting identification efforts through the SHPO,
or using specialists who meet standards acceptable to the SHPO;
d. recording identification results, including properties recorded, on forms
appropriate for incorporation into the State inventory,
e. providing SHPOs with identification results.
2. Identify historic properties and evaluate their significance with reference,
where applicable, to the State historic preservation plan developed by the SHPO
pursuant to Section 101(b)(3)(C) of NHPA.
3. Coordinate identification efforts with those of other agencies, and use iden-
titication methods compatible with those of oihcr agencies, pruviucu aucli
methods are consistent with these guidelines and the Standards and Guidelines
for Identification, in order to help advance the policy of intergovernmental
cooperation in historic preservation set forth in Section 2 of NHPA.
4. Where federally owned lands or structures are involved, conduct identifica-
tion efforts in a manner consistent with the requirements of Section 110(a)(2) of
NHPA and the Department of the interior's Guidelines fur Fcucrui Agency
Responsibilities, tinder Section 1 JO of the National Historic Preservation Act.
5. Carry out identification efforts in cooperation with members of the public in-
terested in the preservation of historic properties, pursuant to Sections l(b)(7)
10
Working with Section 106
-------
IDENTIFICATION OF HISTORIC PROPERTIES
and 2(5) of NHPA and as suggested in the Council publication Public Participa-
tion in Section 106 Review: A Guide for Agency Officials.
B. Identification efforts should be reasonable with reference to the nature of the un-
dertaking and its likely effects.
Discussion: 36 CFR § 800.4(b) requires "a reasonable and good faith effort" on
the part of Federal agencies to identify properties on or eligible for inclusion in
the National Register. An essential attribute of reasonableness is that the iden-
tification effort be responsive to the kind of undertaking involved and the kinds of
effects the undertaking is likely to create.
Similarly, 36 CFR § 800.3(b) calls for "flexible application" of Section 106 review.
This means that identification efforts, like other aspects of the review process,
should be appropriate to the type of undertaking and its potential to affect his-
toric properties, and to the kinds of effects anticipated.
Ttie scope and nature of an identifica-
tio^ffort
Developing identification strategies for
an agency's typical activities
Recommended measures:
1. The scope and nature of an agency's identification effort should reflect
a. the likelihood that historic properties exist within areas subject to effect,
and the probable nature and significance of such properties;
b. the likelihood that such properties retain their historic, cultural, and/or
architectural integrity, given what is known about historic and recent modifica-
tion of land or structures in the area;
c. the nature and severity of effects reasonably expectable as a result of the
type of undertaking involved, including both effects that will occur as the im-
mediate result of the undertaking, or near the site of the undertaking, and those
that may occur at a later time or greater distance, provided the latter are
reasonably foreseeable;
d. the nature of Federal involvement in or control over the undertaking.
2. Agencies should develop identification strategies for the kinds of undertak-
ings in which they chiefly engage and, where possible, for the geographic areas in
which they carry them out. The strategies should define those kinds of undertak-
ings that may require no identification work because of their limited potential to
affect historic properties. The strategies should also establish identification
measures appropriate to the different kinds of undertakings for which such
measures may be needed. For example, if a given kind of undertaking affects
buildings but never results in ground disturbance, identification of historic build-
ings and structures may be needed when planning such an undertaking, but iden-
tification of archeological sites may not.
When an agency plans to develop such identification strategies, it should do so in
cooperation with the SHPO and other authorities it deems appropriate, par-
ticularly in cases where the strategy will be designed for areas or subregions
within a particular State. Understanding and acceptance of identification
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IDENTIFICATION OF HISTORIC PROPERTIES
strategies by the agency and the SHPO in advance should help later, when
specific undertakings move through the Section 106 review process.
C. An agency's program for identification should provide for consulting authorities
and for resolving disputes over methods and approaches.
Discussion: The regulations require consultation with the State Historic Preserva-
tion Officer at the beginning of an identification effort [36 CFR § 800.4(a)(l)(ii)]
and as the effort progresses [36 CFR § 800.4(b) and (c)]. They also require that
agencies seek information from others "likely to have knowledge of or concerns
with historic properties in the area."
These requirements are meant to ensure that each identification effort fully uses
the results of previous identification work, is as comprehensive as needed, and is
developed and carried out with the advice and assistance of knowledgeable per-
sons. Considering the multifaceted and often hard-to-interpret nature of historic
properties, it should be no surprise that disagreements may arise between such
knowledgeable people, or between them and the agency, about how an identifica-
tion effort should be structured. Agencies should anticipate the possibility of such
disagreements, and be prepared to resolve them in ways that ensure effective and
reasonable identification.
Contacting individuals likely to have
knowledge or concerns about historic
properties
Resolving disagreements about how
identification should be done
Recommended measures:
1. Agencies that carry out continuing identification efforts or repeated under-
takings in a particular region, community, or neighborhood should establish con-
tact with people likely to have knowledge of or concerns about historic
properties, so that they can be consulted efficiently during particular identifica-
tion projects. (For more information, see the Council's publication Public Par-
ticipation in Section 106 Review: A Guide for Agency Managers.) Such systems of
interaction with knowledgeable parties can be embodied in a Programmatic
Agreement with the Council established pursuant to 36 CFR § 800.13, but such
an agreement is not necessary for this purpose.
2. Agencies should establish working relationships with SHPOs to foster
cooperation during identification and evaluation of historic properties. Early con-
tact with the SHPO enables the agency to review baseline data sources such as
the State historic properties inventory and comprehensive historic preservation
plan or recognized local plans, and to review and consider SHPO recommenda-
tions about identification methods and priorities.
3. Where disputes arise about how identification should be done, the disputing
parties should consult to resolve the disagreements.
4. Where consultation does not resolve a disagreement, the advisory opinion of
the Council or of the Keeper of the National Register on behalf of the Secretary
of the Interior can be sought as a basis for making a final decision as to ap-
propriate identification methodology.
12
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IDENTIFICATION OF HISTORIC PROPERTIES
D. An identification effort should make use of and build on existing information and
on methods agreed upon or used during previous such efforts.
Discussion: Managers should take care to avoid conducting redundant or other-
wise unnecessary identification efforts. This requires that already-available infor-
mation be used to plan identification efforts, and to establish the level and kinds
of efforts needed. Such information may include general data on the area's his-
tory and prehistory, information on its historical and contemporary environment
and patterns of land or building use, and the results of previous identification ef-
forts. On the basis of such information it should be possible to decide whether
field survey or other primary research is needed, and if so, to design the work
needed in the most efficient manner.
It is also appropriate for agencies with continuing or recurrent identification
needs in a given area to work with the SHPO, perhaps local preservation commis-
sions, and other knowledgeable parties to establish standard methods and proce-
dures which can then be applied in individual identification efforts as needed.
Recommended measures:
1. Agencies that carry out continuing identification efforts or repeated under-
takings in a particular region, community, or neighborhood should consult with
the SHPO(s) and local preservation commissions to establish standardized ap-
proaches to identification, and to develop systems to ensure that appropriate
background information and the results of previous identification efforts can be
readily consulted when planning new projects.
2. An early step in each identification effort should be to review relevant back-
ground information and, based on this information, to establish what level and
kind of identification effort is appropriate.
E. An identification effort should be multidisciplinary.
Discussion: A great variety of historic property types may be eligible for inclusion
in the National Register. Examples include historic homes, commercial areas,
residential neighborhoods, industrial complexes, archeological sites of both his-
toric and prehistoric age, ships, railroad facilities including engines and tracks,
airplanes, prehistoric rock art, parks and other designed landscapes, farms and
other rural landscapes, and places of traditional religious-cultural importance to
American Indian and other ethnic groups. As a result, an identification effort
should draw on the services of professionals and other specialists trained in the
recognition and evaluation of the historic property types that are likely to occur in
the area of potential effects.
Recommended measures:
1. Agencies should establish sufficient internal staff capacity at headquarters
and field office levels to oversee the identification and evaluation of historic
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IDENTIFICATION OF HISTORIC PROPERTIES
properties, even if most actual identification efforts are carried out by others
under contract.
Using a variety of professionals and 2. Both agency staff composition and the composition of teams responsible for
specialists in identification effort individual identification efforts should reflect the range of historic property types
with which the agency is likely to need to deal. For example, land-managing agen-
cies most frequently deal with archeological sites, and thus can justify having his-
toric preservation staffs in which archeologists are numerically predominant.
Those that sometimes need to address American Indian cultural properties,
however, should have reasonable access to cultural anthropologists; those that
deal with rural landscapes should have access to folklorists, anthropologists, and
landscape architects; and those that sometimes encounter historic cabins, mining
structures or railroads should have access to historians, architectural historians,
and industrial historians.
3. Where a team approach is warranted, the appropriate composition of the
team responsible for a given identification effort should be established in consult-
ation with the SHPO [36 CFR § 800.4(a)(l)(ii)].
III. Designing an identification effort: a decisionmaking guide
The following outline recommends steps for deciding on the scope and nature of
an identification effort. Applied to a proposed Federal, federally assisted, or
federally licensed undertaking, this outline should produce a reasonable decision
about the kind of identification effort needed. As noted in the introduction to
these guidelines, although the following steps refer primarily to the Council's
regulations, and hence to Section 106 review, they are also logically applicable to
historic property identification efforts required by other authorities.
A. Standard decisionmaking process for identification
Determining that a project or program Managers should understand that the historic property identification process
is an undertaking follows an agency's determination that a given program or project proposal con-
stitutes an undertaking within the Council's definition of the term [36 CFR §
800.2(o)J. The determination that an action is an undertaking does not require
the knowledge that historic properties are present. An agency determines that a
given proposal is an undertaking based solely on that proposal's inherent ability
to affect historic properties. An agency action that involves the demolition of
buildings, for example, is always an undertaking because it has the potential to
demolish historic buildings. Similarly, an agency action that involves land distur-
bance is always an undertaking because it has the potential to disturb land con-
taining archeological sites or other historic properties. Actions with less obvious
destructive potential may or may not be undertakings, depending on tlie actions'
nature, not on the presence or absence of historic properties.
In some cases, once an agency has decided that an action is an undertaking and
has defined its area of potential effects, the agency will find that the area contains
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IDENTIFICATION OF HISTORIC PROPERTIES
no historic properties. In other cases, the agency will find that~although historic
properties are present-the undertaking will have no effect on them. These even-
tualities do not mean that the action no longer is an undertaking; they simply indi-
cate that Section 106 review will be completed at an earlier stage than would have
been the case had historic properties subject to effect been found.
The following standard process is applicable to most kinds of Federal agency un-
dertakings reviewed under Section 106, and Figure 3 gives a brief summary of this
process. A special process for large undertakings will be outlined later.
Figure 3; Standard decitionmaking process for identification
1 . CBfftMfVR ftNM|ft)~ Of .p0t6fiuAf •ifoClft.
2. fJMMmtiw whether ft* MM taut bMtn surveyed or otherwise Inspected to identify his*
tortopfopertiet,
3. Oetmntne whether fee BUM )i Targe11 or "•mall".
4. Determine whether the «vall«bteJnl Intensive survey, snd whether
6< tMnmitM wh*th«raR«&emath»«D Intwtriv* survey I* Appropriate.
7. 0«5ki«how1opfoa>rt*mhtt» SKiJton twrw^w
report.
1. Establish areas(s) of potential effect.
The area of a particular undertaking's potential effect on historic properties is
"the geographic area or areas within which an undertaking may cause changes in
the character or use of historic properties, if any such properties exist" [36 CFR §
800.2(c)]. It is within the area(s) of potential effect of a particular undertaking
that an agency is responsible for identifying historic properties under Section 106
[36CFR§800.4(a)(l)].
At this stage in decisionmaking, it is appropriate to define the area of potential ef-
fect broadly, considering all reasonably foreseeable potential effects the par-
ticular type of undertaking could have. Narrowing the area that is subject to
specific investigation will occur subsequently.
ition of an "effect" An effect is defined for purposes of Section 106 as an alteration in the characteris-
tics of a property "that may qualify the property for inclusion in the National
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IDENTIFICATION OF HISTORIC PROPERTIES..
Register" [36 CFR § 800.9(a)]. The regulatory definition goes on to note that al-
teration to features of a property's location, setting, or use may be relevant,
depending on the nature of the property's significance. For example, altering the
setting of an archeological site important only for the information it contains may
not affect the site's significant characteristics (that is, its information), but alter-
ing the setting of a historic building whose significance lies in the relationship of
its architectural elements to those of other buildings in the vicinity may have a
major effect on the building.
While the area of potential effect should be defined broadly, it should neverthe-
less be linked logically to the potential effects of the undertaking. For example, as
noted under principle B ("Identification efforts should be reasonable...") in part
II above, if an undertaking will affect only existing buildings and structures, and
has no potential for ground disturbance, it is unlikely to have effects on subsur-
face archeological sites. As a result, such archeological sites might be considered
to fall outside the area of potential effect.
Wien the area of potential effects is It is important to remember that the area of potential effects is defined before the
defined identification effort itself begins, so it may not be known whether any historic
properties actually exist there. This is why the regulations call for defining the
area of potential effects with reference to changes that may occur in the character
or use of historic properties "if any such properties exist." In other words, if an un-
dertaking could result in changes that would affect historic properties that may
subsequently be found to exist, then the land within which such changes will
occur should be included in the undertaking's area of potential effect. Where al-
ternative locations for an undertaking are considered, each such location—for ex-
ample, each alternative site for a reservoir, or each alternative alignment for a
highway—should be included in the area of potential effect.
2. Determine whether the area has been surveyed or otherwise inspected to iden-
tify historic properties.
This determination requires a review of background information on the area [36
CFR § 500.4(a)(i)(i)j, and should be made in consultation with the SI IPO [35
CFR § 800.4(a)(l)(ii)]. Other knowledgeable parties should also be consulted as
needed [36 CFR § 800. 4(a)(l)(iii)). At this stage the concern is only whether the
area has been inspected; the quality and nature of the inspection will be con-
sidered subsequently, depending on the scale of the undertaking.
If the area has been inspected, the next step is to consider the adequacy of the in-
formation resulting from the inspection, so the agency should skip to item III A.4
("Determine whether available information provides a reliable basis for decision-
making"), below.
If the area has not been inspected, or if the results cf the inspection dc not
provide a reliable basis for decisionmaking, then further identification work may
be needed. The most efficient approach to further identification work will
depend on the size of the area under consideration, so the agency should proceed
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IDENTIFICATION OF HISTORIC PROPERTIES
to item IIIA3 ("Determine whether the undertaking is 'large' or 'small'"), im-
mediately below.
3. Determine whether the area is "large" or "small".
How the agency defines the terms large and small can vary depending on the
region of the country involved, whether the area is rural or urban, the nature of
the local environment, and the nature of land use, among other factors. The dis-
tinction is an important one, however, because the kinds of identification
methods that are appropriate for use in a small area may be distinctly different
from those appropriate for use in a large area. It is recommended that agencies
consult with SHPOs to establish general agreement about how to distinguish be-
tween large and small areas of potential effect.
If the area is small, however the agency has decided to define this term, the agen-
cy should proceed to item III.A.4., immediately below, to determine what if any-
thing needs to be done to identify historic properties. If the area is large, the
agency should follow the steps outlined in part III.B. of this publication ("Special
decisionmaking process for identification in large areas").
4. Determine whether the available information provides a reliable basis for
decisionmaking.
Available information may be adequate for decisionmaking even where an area
or subarea has not been fully inspected to identify historic properties, depending
on the nature and quality of the information, the kinds of properties involved, and
the kinds of effects anticipated. For example, where high-quality surveys have
been done of portions of a large area, and where extensive background informa-
tion is available, it may be possible to generate an accurate "predictive model"
projecting the distribution and nature of historic properties.
Conversely, available information may be inadequate for decisionmaking even
where an area or subarea has been fully inspected. If the inspection was carried
out a number of years ago, "[t]he passage of time or changing perceptions of sig-
nificance may justify reevaluation of properties that were previously determined
to be eligible or ineligible [for the National Register]" [36 CFR § 800.4(c)(l)]. If
the inspection was carried out using obsolete methods, by less than fully qualified
persons, or addressing only certain kinds of properties (e.g., only archeological
sites, or only standing structures), its results may provide an inadequate basis for
decisionmaking.
The reliability of previous inspection results also varies with the intensity of the in-
spection. For example, as discussed in the Standards and Guidelines for Identifica-
tion, an intensive survey should result in a detailed and comprehensive
description of historic properties in an area, but a reconnaissance survey almost
certainly will not. Similarly, reliability varies with the extent to which the field in-
spection made effective use of background data. For example, an inspection of
the surface of the ground may be an inadequate basis for decisionmaking about
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IDENTIFICATION OF HISTORIC PROPERTIES
the presence or absence of archeological sites where background data suggests
that soil buildup may have buried such sites.
The adequacy of available information should be assessed in consultation with
the SHPO [36 CFR § 800.4(a)(l)(ii)].
If the available information does provide a reliable basis for decisionmaking, then
the agency is in a position to decide how to proceed with Section 106 review, as
discussed under item III.A.7. below.
If the available information is not adequate as a basis for decisionmaking, then
field survey should be considered, as discussed under item III.A.S. ("Determine
whether the area should be subjected to intensive survey....").
5. Determine whether the area should be subjected to intensive survey, and
whether such a survey can be carried out within a reasonable period of time and
at reasonable cost.
Definition of "intensive survey" An intensive survey is defined in the Standards and Guidelines for Identification as
a survey that "describes the distribution of properties in an area, determines the
number, location, and condition of properties, determines the types of properties
actually present within the area, permits classification of individual properties,
and records the physical extent of specific properties." It usually involves on-the-
ground inspection of all land and structures in the area, coupled with appropriate
background archival research. It often includes interviews with residents and
people knowledgeable about the area's historic resources. Sometimes test excava-
tions for archeological resources or detailed inspections of particular structures
are conducted. An intensive survey also includes analysis of results, and prepara-
tion of appropriate reports. Guidelines for intensive survey can be found in the
Standards and Guidelines for Identification.
Variables to consider in deciding whether to undertake an intensive survey in-
clude the size and complexity of the land area involved, whether the area is urban
or rural, the types of properties expected, the ease or difficulty with which such
property types can be identified, the extent of Federal control over the lands in-
volved, the ease or difficulty with which access can be obtained, and the nature of
projected effects. The kind of survey needed, and variables involved in carrying it
out, should be discussed with the SHPO [36 CFR § 800.4(a)(l)(ii)].
If circumstances suggest that an intensive survey is needed, and that the area can
be subjected to intensive survey within a reasonable period of time and at
reasonable cost, the agency should design and implement such a survey in consult-
ation with the SHPO. The survey should be consistent with the Standards and
Guidelines for Identification, as suggested by 36 CFR § 800.4(b). The Depart-
ment of the Interior's Guidelines for Federal Agency Responsibilities, under Section
110 of the National Historic Preservation Act should also be used as guidance
where applicable.
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IDENTIFICATION OF HISTORIC PROPERTIES
"Reconnaissance survey"
Projections based on surveys
Use of a "predictive model"
Based on the results of the survey, the agency will be in a position to decide how
to proceed with Section 106 review (item III.A.7., below).
If the area cannot be subjected to intensive survey within a reasonable period of
time and at reasonable cost, alternative identification methods should be con-
sidered, as discussed immediately below.
6. Determine whether an alternative to intensive survey is appropriate.
Alternatives to intensive survey may be appropriate under a number of condi-
tions. For example:
• If it is questionable whether any historic properties exist in an area, a reconnais-
sance survey may be appropriate. A reconnaissance survey is defined by the
Standards and Guidelines for Identification as one that provides a basis for "the
formulation of estimates of the necessity, type and cost of further identification
work and the setting of priorities for the individual tasks involved." It may in-
volve a variety of activities, such as a drive-through to look for standing historic
structures, interviews with local residents, and archeological inspection of
sample tracts, coupled with appropriate background research. In some cases a
reconnaissance survey may show that historic properties are so unlikely to
occur that there is no need for more intensive survey. In other cases reconnais-
sance survey may permit further survey work to be focused only on particular
subareas or types of properties.
• If access to all lands involved cannot be obtained, it may be possible to make
projections based on survey of those lands to which access can be gained.
• If the area of potential effects is poorly defined, as may occur when Section 106
review is initiated early in planning an undertaking with numerous alternatives,
or when an undertaking's total range of effects are not entirely foreseeable at
the time review begins, it may be appropriate to develop a "predictive model."
(See part III.B.l., "Use available information to develop a 'predictive model'")
Such a model uses background information about the surrounding region as a
basis for predicting the kinds of properties that may exist within the area of
potential effects. If such a model reliably indicates that the properties subject to
effect are likely to represent property types whose treatment will not generate
controversy or raise complicated issues, it may be possible to continue Section
106 review on the basis of predictive model data without the need for firm and
unequivocal identification of specific historic properties subject to effect.
When considering possible alternatives, the SHPO should be consulted [36 CFR
§800.4(b)].
If an alternative is selected, the agency should carry it out and decide how to
proceed with Section 106 review as discussed immediately below. In the unlikely
event that intensive survey cannot be done and no alternative can be found, it may
not be possible for the agency to comply with Section 106. The agency should im-
mediately contact the Council to discuss further options.
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IDENTIFICATION OF HISTORIC PROPERTIES
Mien historic properties exist that are
listed on the National Register
Wlien historic properties exist that may
meet National Register criteria
Wlien property types are predicted that
may meet National Register criteria
Wlien historic properties may be un-
detected
7. Decide how to proceed with Section 106 review.
Generally speaking, review of available information, the results of a survey, or the
results of an alternative form of identification will result in one or more of the fol-
lowing determinations:
a. Properties exist in the area that are already listed in, or have been deter-
mined eligible for, the National Register. If so, the agency should determine ef-
fects pursuant to 36 CFR § 800.5 with respect to such properties and also
consider whether paragraph b., below, is pertinent.
b. Properties exist in the area that may meet the National Register criteria.
If so, the agency should consider the eligibility of such properties pursuant to 36
CFR § 800.4 (c) and also consider whether paragraph c., below, pertains to the
area.
c. Property types are known or predicted to occur in the area that may meet
the National Register criteria, based on reconnaissance survey data, predictive
modeling, or other information. If so, it may be appropriate to execute a Program-
matic Agreement pursuant to 36 CFR § 800.13 to address effects on such proper-
ty types. If the undertaking will affect both known specific historic properties and
predicted property types (for example, if it will result both in the demolition of a
particular historic building and in altered traffic patterns or patterns of land use
that may affect other historic properties that have not yet been identified),
"programmatic" stipulations sometimes can be included in a Memorandum of
Agreement executed pursuant to 36 CFR § 800.5(e)(4). Finally, the agency
should consider whether paragraph d., below, is applicable.
d. The possibility exists that properties of historical significance have gone
undetected, and thus could be subject to discovery during implementation of the
undertaking. If so, the agency should consider developing a plan for the
properties' treatment pursuant to 36 CFR § 800.11(a).
20
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IDENTIFICATION OF HISTORIC PROPERTIES
B. Special decisionmaking process for identification in large areas
If an area of potential effects has not been inspected in the past, and if it is
defined by the agency in consultation with the SHPO as large (see item HI A3,
"Determining whether the area is 'large' or 'small"', above), then the following
decisionmaking process is recommended. This process is summarized in Figure 4.
Figure 4: Special decisionmaking process for identification lit
large areas
1. Use available Information to develop a "predictive model* Indicating where historic
properties exist or are ttcely.to exist.
2. Test the predictive model.
3. Establish additional survey needs and approaches, H any, and consider a Program.
matic Agreement
For further discussion of this special deoMonmaklng process, tea part 8LB. of this
report
1. Use available information to develop a "predictive model" indicating where
historic properties exist or are likely to exist
Where a large area is involved, some portions of it may have been inspected to
identify historic properties. Even if no organized identification effort has been
made, some historic properties may be known, and may even have been
nominated to and included in the National Register based on property-specific
studies. Other properties may be recorded in State or local inventories, in publica-
tions and in manuscripts, while others may be known to experienced people in
the area. Other sources of information are historical documents, archeological
reports, ethnographic and sociological reports, geographic and geomorphological
data, and general anthropological and sociological premises about human be-
havior, settlement systems, and economic patterns under different environmental
conditions. All these sources can be used to predict the presence or absence of
historic properties.
For a full discussion of such sources see the Guidelines far Federal Agency Respon-
sibilities, under Section 110 of the National Historic Preservation Act and the Stan-
dards and Guidelines for Identification. Available information should be reviewed
in consultation with the SHPO [36 CFR § 800.4(a)(l)(i-iii)], resulting in a state-
ment of expectations about the kinds of historic properties known or anticipated
to exist, and their locations. Such a statement, including documentation about the
sources from which it derived and the sources' likely reliability, is usually referred
to as a "predictive model" because it predicts how historic properties of various
lands should be distributed within the area.
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IDENTIFICATION OF HISTORIC PROPERTIES
2. Test the predictive model.
A predictive model should not be regarded as reliable until it has been tested
against objective information derived from fieldwork. In some cases, enough field
survey work may already have been done within or near the area of potential ef-
fects to permit the model to be tested, but in most cases some kind of further sur-
vey will be needed. Generally a reconnaissance survey is used to test a predictive
model; often the reconnaissance survey involves inspection of a controlled sample
of the area, including both locations that are predicted to contain historic proper-
ties and locations that are predicted not to contain them.
3. Establish additional survey needs and approaches, if any, and consider a
Programmatic Agreement.
Once a predictive model is shown through testing to be reasonably reliable, it can
be used to guide further survey work and make it more efficient than it would
otherwise be. In some cases a reliable predictive model may be an acceptable
basis for determining that no further survey work is needed.
Assuming that further work is necessary to identify historic properties subject to
effect, the predictive model can be used to concentrate survey efforts on those
locations most likely to contain such properties, and to design survey strategies
specific to the kinds of properties that can be expected. For example, if the model
predicts that buried archeological sites will occur in association with particular
landforms, survey work around such landforms can be designed to include test ex-
cavation. If the model indicates that buildings representing a particular period
may be found in a neighborhood, an architectural historian specializing in the ar-
chitecture of the period can be added to the survey team. If the model suggests
that a portion of the area is used by an American Indian group for traditional cul-
tural purposes, ethnographic studies might be added to the survey program.
Considering an undertaking's effects in The nature of the undertaking's effects on the area should also be considered in
determining need for further survey work designing further survey work. It is possible that the undertaking will have direct
effects only. In other words, that the undertaking itself will disturb land, and/or
demolish or modify buildings, throughout the area of potential effect. On the
other hand, an undertaking may have indirect effects only. That is, it may not dis-
turb land and/or demolish or modify buildings anywhere within the area cf poten-
tial effect but may lead to subsequent, reasonably foreseeable, actions that will do
so. Most large undertakings, however, can be expected to have mixed effects.
That is, they will disturb some land and/or demolish or modify some buildings in
some subareas of the area of potential effect ("subareas directly affected"), and
make possible subsequent, reasonably foreseeable actions that will do so in other
subareas ("subareas indirectly affected").
It may be appropriate to emphasize the survey of subareas directly affected, but
areas indirectly affected should not be ignored. Even if only minor survey work is
possible in areas indirectly affected, it may still be possible to project the effects
of the undertaking on the kinds of historic properties that are predicted to occur
there, and develop measures to control such effects through Section 106 review.
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IDENTIFICATION OF HISTORIC PROPERTIES
For example, if an undertaking will induce urban growth in an area, it may be pos-
sible to work with local planning authorities to encourage the conduct of surveys
and the protection of historic properties hi advance of future construction in loca-
tions where the predictive model indicates that historic properties are likely to be
found.
Considering a Programmatic Agreement If the predictive model appears to be reasonably reliable, and if the likely effects
of the undertaking can be reasonably well predicted, it may be most efficient for
the agency to comply with Section 106 by executing a Programmatic Agreement,
following the procedures set forth in 36 CFR § 800.13. Such an agreement can
spell out what further survey work will be done (if any) and what steps will be
taken to avoid, reduce, or mitigate predicted effects.
If a Programmatic Agreement is not appropriate, the results of a large area iden-
tification effort as discussed above can be used as the basis for making informed
decisions about how to carry out Section 106 review with respect to individual, lo-
calized actions. (See part III.A.7., "Decide how to proceed with Section 1'06
review.")
The agency should consult the Council and the SHPO when determining which
approach to pursue, so as to ensure that Section 106 review is carried out in ac-
cordance with a schedule that is consistent with the planning and approval
schedule for the undertaking [36 CFR § 800.3(c)] and to ensure that the Council's
opportunity to comment on the undertaking is not foreclosed [36 CFR §
800.6(d)].
IV. Reporting and preserving identification results
Proper reporting of identification effort Whatever kind of identification effort is carried out, it should be properly
reported. A report of an identification effort should describe the area studied,
the methods employed, any problems encountered, and the results of the study. It
should present relevant background data and field observations. The report's
preparers and their titles, positions, or other qualifications should be identified.
To the extent feasible, the report should be designed to provide information in a
form that will be usable by others who may rely upon it in designing future
studies, and that will facilitate integration into the historic property inventories
maintained by the SHPO and, in some cases, by other Federal agencies, local
governments, or Indian tribes.
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IDENTIFICATION OF HISTORIC PROPERTIES
V. Conclusion
Use of the principles and decisionmaking guides offered above, together with the
Standards and Guidelines for Identification, Guidelines for Federal Agency Respon-
sibilities, under Section llOofOie National Historic Preservation Act, and other per-
tinent guidance, should ensure that an agency's program of identification meets
the standard of being "a reasonable and good faith effort to identify historic
properties that maybe affected by the undertaking" [36 CFR § 800.4(b)].
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IDENTIFICATION OF HISTORIC PROPERTIES
Appendix A: Further guidance
Brace, P. and Klein, J.Archeological Resources and Urban Development: A Guide
to Assess Impact. Washington, DC: American Society of Landscape Architects,
1984.
Available from the ASLA bookstore as LATIS No. 7 at $15.00 a copy. To
order, write LA bookstore, P.O. Box 6525, Ithaca, NY 14851, or call (607) 277-
2211 for credit card orders.
Deny, A.; Jandl, H. W.; Shull, Carol D.; and Thorman, J. Guidelines for Local
Surveys: A Basis for Preservation Planning. Revised by Patricia L. Parker.
Washington, DC: National Park Service, U. S. Department of the Interior, 1985.
Available from the American Association for State and Local History
(AASLH) as a technical report (TR13) for $5.55 per copy. To order write
AASLH/ Order/Billing Dept./172 2nd Avenue North/ Suite 102/ Nashville, TN
37201. ($2.00 postage charge; minimum order is $10.00)
Guidelines for Federal Agency Responsibilities, under Section 110 of the National
Historic Preservation Act. 53 Federal Register 4727-46, February 17,1988.
King, T. F. The Archeological Survey: Methods and Uses. Washington, DC: Nation-
al Park Service, U. S. Department of the Interior, 1978.
Available from U. S. Department of Commerce as NTIS order no: PB284061
at $19.95 for paperback and $6.95 microfiche. To order contact U.S. Department
of Commerce/ National Technical Information Service/ 5285 Port Royal Road/
Springfield, VA 22161. ($3.00 postage charge)
Public Participation in Section 106 Review: A Guide for Agency Officials.
Washington, DC: Advisory Council on Historic Preservation, 1988.
Single copies available from the Council on request. (In preparation)
Secretary oftiie Interior's Standards and Guidelines for Identification. 48 CFR
44720, September 1983.
Published by the U. S. Department of the Interior as part of Archeology and
Historic Preservation: Secretary of the Interior's Standards and Guidelines. 48 CFR
44716-42, September 29,1983.
Workin" with Section 106 25
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Attachment 5
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\
WORKING WITH
SECTION 106
PUBLIC PARTICIPATION IN
SECTION 106 REVIEW:
A Guide for Agency Officials
ISSUED BY
Advisory Council on Historic Preservation
FEBRUARY, 1989
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Coverphotos:
Council members toured the Big Five
Tunnel in Idaho Springs, Colorado, an
EPA Superfund cleanup site subject to
Section 106 review. (Brit A. Storey,
photographer.)
A member of the Kootenai tribe spoke
to the Council about the protection of
historic properties on tribal lands and
Native Americans'participation in the
Section 106 review process. (Robert
Fink, photographer.)
Interested property owners, State and
Federal officials met to discuss plans
for a Maryland highway project subject
to Section 106 review. (Conduce Clif-
ford, photographer.)
Working with Section 106
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F
PUBLIC PARTICIPATION IN SECTION 106 REVIJW
Table of Contents
I. Introduction 5
II. Planning for public participation 5
III. Public participation principles 8
A. Public participation in Section 106 review should support historic
preservation objectives and help the Federal agency meet its program
responsibilities 9
B. Both Federal agencies and members of the public have responsibilities
in a public participation program 10
C. Public participation objectives should be approached with flexibility 10
D. The level and type of public participation should be appropriate
to the scale and type of undertaking and to the likelihood that historic
properties may be present and subject to effect 10
FV. Evaluating an existing public participation program 11
V. Methods of public participation through programmatic coordination 12
VI. Methods of public participation on an individual undertaking 13
A. Determine the extent of public participation needed 13
B. Identify potential participants 14
C. Seek information from parties with knowledge or concerns 14
D. Determine whether "interested persons" exist 15
E. Coordinate identification and evaluation with interested persons 15
F. Coordinate effect determination with interested persons 15
G. Consult with interested persons about adverse effects 17
H. Report the conclusion of Section 106 review to interested persons 18
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
VII. Documenting public participation 18
VIII. Approaches to situations involving numerous interested persons 19
IX. Public participation in Programmatic Agreement development 20
X. Conclusion 21
Table of Figures
Figure 1: Abrief look at Section 106 review 6
Figure 2: Who are "interested persons"? 8
Figure 3: Public participation principles 9
Figure 4: Methods of public participation on an individual undertaking 13
Figure 5: Making documentation available to the public 16
Working with Section 106
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW:
A Guide for Agency Officials
I. Introduction
What Section 106 requires of Federal
agencies
The National Historic Preservation Act (NHPA) and other Federal authorities,
and a growing number of State and local laws, ordinances, and policies, require
or encourage the consideration of historic properties in the planning and im-
plementation of land use and development projects.
Section 106 of NHPA requires Federal agencies to take into account the effects
of their undertakings on historic properties, and to afford the Advisory Council
on Historic Preservation a reasonable opportunity to comment on such undertak-
ings. The Council's regulations, "Protection of Historic Properties" [36 CFR Part
800,1986], guide implementation of Section 106. The resulting system is referred
to as the Section 106 review process. Figure 1 gives a brief overview of Section
106 review.
The Section 106 review process provides for active participation by the public.
The general public must be notified of agency actions under the regulations, and
organizations and individuals concerned with the effects of an undertaking on his-
toric properties (defined in the regulations as "interested persons") are to be in-
volved in the review process in various ways, depending on their particular
interests.
The purpose of this publication is to help agencies involve the public effectively,
with minimum burden to agency missions. A separate publication will provide ad-
vice to the public about participation in the review process.
For general information on the Section 106 review process or on the regulations
themselves, the Council's publication, Section 106, Step-by-Step, and other litera-
ture concerning the process and related historic preservation requirements are
available from the Council.
II. Planning for public participation
Systematic planning for public participation in Section 106 review will help agen-
cies ensure that such participation takes place in an orderly and productive man-
ner. Identifying and addressing the public's concerns about historic preservation
issues should be a regular part of each agency's overall planning system, whether
the activities planned are specific projects or the ongoing management of land or
structures.
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
Figure 1: A brief look at Section 106 review
How does Section 106 review work? The
standard review process is spelled out in
Federal regulations issued by the Ad-
visory Council on Historic Preservation.
Entitled "Protection of Historic Proper-
ties," the regulations appear in the U.S.
Code of Federal Regulations at 36 CFR
Part 800. The process involves five basic
steps, as follow.
Step 1: Identify and evaluate his-
toric properties
The Federal agency responsible for an
undertaking begins by Identifying the his-
toric properties the undertaking may af-
fect. To do this, the agency first reviews
background information and consults
with the State Historic Preservation Of-
ficer (SHPO) and others who may know
about historic properties in the area.
Based on this review the agency deter-
mines what additional surveys: or other
field studies may be needed, and con-
ducts such studies.
ff properties, that is, districts, sites, build-
Ings, structures or objects, are found that
may be eligible for inclusion in the Na-
tional Register of Historic Places, but
have not yet been included in the
Register, the agency evaluates them
against criteria published by the National
Park Service, which maintains the
Register. This evaluation Is carried out tn
consultation with the SHPO, and if ques-
tions arise about the eligibility of a given
property, the agency may seek a formal;
determination of eligibility from the
Secretary of the Interior, tf a property has
already been Included in the National
Register, of course, further evaluation Is
not necessary. Section 106 review gives
equal treatment to properties that have al-
ready been Included in the Register and
those that are eligible for Inclusion.
Step 2: Assess effects
If historic properties, that is, properties In-
cluded in or eligible for inclusion In the
National Register, are found, the agency
then assesses what effect Its undertaking
will have on them. Again the agency
works wtth the SHPO, and considers the
views of others. The agency makes its
assessment based on criteria found In
the Council's regulations, and can make
one of three determinations:
• No effect: the undertaking will not af-
fect historic properties;
• No adverse effect: the undertaking
will affect one or more historic proper-
ties, but the effect will not be harmful;
• Adverse effect: the undertaking will
harm one or more historic properties.
Step 3: Consultation
tf an adverse effect will occur, the agency
consults with the SHPO and others In an
effort to find ways to make the undertak-
ing less harmful. Others who are con-
sulted, under various circumstances,
may Include local governments, Indian
tribes, property owners, other members
of the public, and the Council. Consulta-
tion Is designed to result in a Memoran-
dum of Agreement (MOA), which outlines
measures agreed upon that the agency
will take to reduce, avoid, or mitigate the;
adverse effect. In some cases the con-
sulting parties may agree that no such
measures are available, but that the ad-
verse effects must be accepted In the
public interest.
If consultation proves unproductive, the
agency or the SHPO, or the Council it-
self, may terminate consultation. The
agency must submit appropriate
documentation to the Council and re-
quest the Council's written comments.
Step 4: Council comment
The Council may comment during step 3
of the process, by participating in consult-
ation and signing the resulting MOA.
Otherwise, the agency obtains Council
comment by submitting the MOA to the
Council for review and acceptance. The
Council can accept the MOA, request
changes, or opt to Uisue written com-
ments. If consultation was terminated,
the Council issues Its written comments
directly to the agency head, as the agen-
cy had requested.
Step 5: Proceed
If an MOA Is executed, the agency
proceeds with its undertaking under the
terms of the MOA. In the absence of an
MOA, the agency hoad must take into ac-
count the Council's written comments In
deciding whether and how to proceed.
Alternative approaches
The Section 106 regulations also spell
out three alternative! means of complying
with Section 106. These are
• Programmatic Agreements among an
agency, the Council, one or more
SHPOs, and othors;
• Counterpart regulations developed by
an agency and approved by the Coun-
cil;
• An agreement between the Council
and a State, which substitutes a State
review system for the standard Sec-
tion 106 review process.
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
Integrating public participation into an
agency's administrative processes
"Interestedpersons' and the general
public
The regulations provide that Section 106 review, including public participation in
such review, may be fully coordinated with and satisfied by the procedures car-
ried out by agencies under the authority of the National Environmental Policy
Act (NEPA) and other pertinent statutes. The Council encourages agencies to
provide for public participation in Section 106 review through existing agency
public participation procedures, and also encourages the public to use such pro-
cedures fully to raise and resolve historic preservation issues.
To the maximum extent possible, public participation in Section 106 review
should be integrated into an agency's normal administrative processes in such a
way as to ensure that both Section 106 in general, and public participation in par-
ticular, occur in a timely manner well before potentially damaging undertakings
are approved. Agencies that are organized into headquarters, regional, and field
offices should ensure that their procedures at all levels provide adequately for
•timely review and public participation. It is essential that agencies ensure that
field offices have sufficient time to meet all applicable requirements of Section
106 review, and receive necessary guidance and assistance from regional and
headquarters levels.
The Council's regulations distinguish between "interested persons" and other ele-
ments of the public. "Interested persons" are defined as "organizations and in-
dividuals that are concerned with the effects of an undertaking on historic
properties" [36 CFR § 800.2(h)]. Interested persons may be, and in some cases
must be, invited to participate in consultation about how to reduce the adverse ef-
fects of an undertaking on historic properties. (See Figure 2.) Members of the
general public who are not interested persons must be notified of planned actions
and decisions, and their comments must be considered, but they need not be in-
vited to be active participants in consultation. It is important that in planning
public participation agencies establish mechanisms for identifying and involving
interested persons, without diminishing the role of the general public.
Part III, which follows, discusses general principles that should be considered in
all kinds of public participation in Section 106 review. Subsequent portions of
this paper discuss points to consider in evaluating an existing public participation
process, offer recommendations about how to work with the public on a program-
matic basis, and outline step-by-step procedures for involving the public in each
activity required by the regulations.
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
Figure 2: Who are "interested persons"?
Definition
The regulations define "interested persons* as "those organizations and individuals that
are concerned with the effect of an undertaking on historic properties* (36 CFR §
800.2(h)].
Mandatory participation by interested persons
The following are considered to be interested persons who must be invited to par-
ticipate in consultation when these persons so request [36 CFR § 800.5(e)(1)]:
• The head of a local government (for example, the mayor of a city, the chief executive
of a county government, or his/her designee) when the undertaking may affect his-
' tone properties within the local government's jurisdiction;
• The representative of an Indian tribe (federally recognized tribe or Alaska Native Cor-
poration) when an undertaking will affect Indian lands or properties of historic value
to the tribe on non-Indian lands. (In the former case the tribe must be invited to con-
cur in any agreement reached by the consulting parties) [36 CFR § 800.1 (c),(2)(iii));
• Applicants for or holders of grants, permits, or licenses that are the subjects of Sec-
tion 106 review;
•: Owners of affected lands, that is, persons who meet the regulations' definition of 'in-
terested person* and who hold title to real property within an undertaking's area of
potential effect.
Optional participation by interested persons
The following are considered to be interested persons who may be invited to participate
in consultation if the agency official, SHPO, and Council frf participating) jointly deter-
mine that participation is appropriate [36 CFR f 800.5(e)(2) j:
• Traditional cultural leaders, that is, individuals in a Native American group or other so-
cial or ethnic group who are recognized by members of the group as experts on the
group's traditional history and cultural practices [36 CFR § 800.1(c)(2)(iii)J;
• Other Native Americans, that is, American Indians, Native Hawaiians, and others who
are identified by themselves and recognized by others as members of a named, na-
tive cultural group that historically has shared linguistic, cultural, social, and other
characteristics, bin that is not necessarily a federally recognized Indian uibe or Alas-
ka Native Corporation [36 CFR §800.1 (c) (2)0")].
• Others who meet the definition of "interested person* [36 CFR § 800.5(e)(1)(iv)].
II. Public participation principles
Agencies should consider the following principles in designing systems for public
participation in Section 106 review. See Figure 3 for a summary of public par-
ticipation principles.
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
Figure 3: Public participation principles
A. Public participation In Section 106 review should support historic preservation objec-
tives and help the Federal agency meet its program responsibilities.
B. Both Federal agencies and members of the public have responsibilities in a public par-
ticipation program.
C. Public participation objectives should be approached with flexibility.
D. The level and type of public participation should be appropriate to the scale and type
of undertaking and to the likelihood that historic properties may be present and subject
to effect
A, Public participation in Section 106 review should support historic preservation ob-
jectives and help the Federal agency meet its program responsibilities.
ical objectives of an agency's An agency's public participation effort should be designed to meet such practical
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
B. Both Federal agencies and members of the public have responsibilities in a public
participation program.
Agencies have the affirmative duty to make the public aware of the opportunity to
participate in Section 106 review, and to encourage the participation of interested
persons. Agencies should be able to expect members of the public who are con-
cerned about historic properties to pursue their opportunity to participate active-
ly and cooperatively in Section 106 review. The process is designed to emphasize
good-faith information sharing, consultation and exploration of alternatives, to
promote agreement on measures acceptable to all involved. Such a process re-
quires understanding of each party's rights and obligations and respect for
diverse points of view.
C. Public participation objectives should be approached with flexibility.
The regulations may be implemented "in a flexible manner reflecting differing
program requirements, as long as the purposes of Section 106...and these regula-
tions are met" [36 CFR § 8003(b)]. With reference to public participation, this
means that the agency should involve the public in a flexible manner that reflects
the type of undertaking under consideration, the agency's administrative proces-
ses, and the nature of known or expected public interests.
D. The level and type of public participation should be appropriate to the scale and
type of undertaking and to the likelihood that historic properties may be present and
subject to effect.
The level of agency effort to ensure public participation in Section 106 review
should be appropriate to the scale and type of undertaking involved, to its poten-
tial effects, to the kinds of historic properties likely to be affected, and to the
kinds of possible public interest present. For example, an undertaking of small
scale or in an area not likely to contain historic properties rarely requires the
level of public participation that a large scale undertaking or one in an area of
known or likely historical significance will warrant. Similarly, an undertaking of a
kind that has little potential for adverse effect to historic properties is unlikely to
require the same level of public participation as will one that is likely to have
major adverse effects.
Based on their mandates and on the volume and variety of their actions, Federal
agencies are encouraged to define levels and methods of public participation ap-
propriate to the various classes of undertakings in which they participate. The
levels and methods should be consistent with Council guidelines, and should take
into account the potential each class of undertaking has for affecting historic
properties; they should also provide alternative approaches where particular cir-
cumstances warrant them.
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
For an individual case, at the time an agency initiates Section 106 review, it may
not know what kinds of historic properties are subject to effect, what kinds of ef-
fects will occur, and what kinds of interests may be affected. A major part of the
Section 106 review process involves making informed determinations about
precisely these matters. Initial formulation of a means for public participation
thus may require some initial identification effort. (See the Council/National
Park Service publication, Identification of Historic Properties: A Decision/noting
Guide for Managers.) A plan for public participation will also benefit from the ad-
vice of the SHPO. Approaches may have to be adjusted as increased under-
standing is gained about what effects, if any, the undertaking will have.
IV. Evaluating an existing public participation program
The Council and its regulations encourage agencies to "examine'their administra-
tive processes to see that they provide for participation by the State Historic
Preservation Officer and others interested in historic preservation," and to con-
sult with the Council to develop special procedures if impediments to such par-
ticipation are found to exist [36 CFR § 800.1(b)].
Questions to consider in evaluating an In reviewing their current processes regarding public participation to ensure that
cy's public participation process they provide adequately for participation by those interested in historic preserva-
tion, in a manner consistent with these Council guidelines, agencies should con-
sider such questions as the following:
• Does the agency make decisions about the scope and tuning of public participa-
tion in a manner commensurate with the scale of the undertaking and the
likelihood that historic properties and public interests in such properties will be
affected?
• Does the agency inform the public of potential undertakings in a timely man-
ner, when the widest feasible range of alternatives is open for consideration?
• In such timely public notice, does the agency explicitly request views on historic
preservation issues or concerns?
• Does the agency specifically invite the views of groups likely to have interests in
potentially affected historic properties?
• Does the agency identify interested persons early in Section 106 review, invite
them to participate, and facilitate their participation?
• Does the agency provide mechanisms for addressing and, if possible, resolving
the concerns of interested persons?
• Do agency procedures provide for information to be readily available to the
public at all stages of the review process, including information on Section 106
review and the means by which the public can participate in review?
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
• Does the procedure systematically integrate and document the results of public
participation, including public views and agency responses, into the Section 106
review process?
If the answers to the above questions are affirmative, the agency's program
should fully meet the purposes of public participation in Section 106 review. If
not, the program may need to be modified to meet the purposes of Section 106
and Council regulations. The regulations encourage agencies to consult with the
Council in making such modifications [36 CFR § 800.1(b)].
V. Methods of public participation through programmatic coordination
Definition of programmatic
coordination
When programmatic coordination
with the public is appropriate
Programmatic coordination means establishing and maintaining relationships
with elements of the public on an ongoing basis with respect to an agency
program, as distinguished from contacting or being contacted by the public only
when particular actions are contemplated. Where an agency anticipates
numerous undertakings in a general area, programmatic coordination with the
public is strongly recommended as a prelude, and sometimes as an alternative, to
public participation in the review of individual undertakings. Early outreach to
the public to identify potentially interested persons and to establish specific
means by which they will be afforded the opportunity to participate in review can
greatly facilitate planning of specific undertakings.
Programmatic coordination may be especially appropriate for Federal land
management agencies, whose undertakings involve the ongoing administration
and use of large areas of land. Since interested members of the public, like the
land management agencies themselves, generally have long-term interests in the
land and resources involved, groups representing various relevant interests are
often known to the agencies, and arrangements can be made to ensure that public
participation, where needed in specific cases, occurs in an efficient and effective
manner. The Council also recommends programmatic coordination where an
agency anticipates participating in numerous undertakings in a general area.
Systems for programmatic coordination can be embodied in agency procedures,
in memoranda of understanding with interested persons, in Programmatic Agree-
ments executed in accordance with 36 CFR § 800.13, and in informal arrange-
ments designed to meet specific needs. Upon request, the Council will review
such systems and advise agencies of their consistency with the purposes of NHPA
[Section 202(a)(6)].
Agencies should periodically review and revise their programs for coordination
with the public to ensure that these programs remain effective and that they
provide for participation by those who are interested in current undertakings.
12
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
VI. Methods of public participation on an individual undertaking
The Council recommends that agencies use the following methods when arrang-
ing for public participation in the review of individual undertakings AS noted
elsewhere, arrangements for public participation should be made early in the
agency's consideration of the undertaking, when the widest feasible range of alter-
natives is open for consideration [36 CFR § 8003(c)]. Figure 4 gives a summary
of these methods.
Figure 4: Methods of public participation on an individual undertaking
A. Determine the extent of public participation needed.
B. Identify potential participants.
C. Seek Information from parties with knowledge or concerns.
D. Determine whether "interested persons" exist.
E. Coordinate identification and evaluation with interested persons.
F. Coordinate effect determination with interested persons.
G. Consult with interested persons about adverse effects.
H Report the conclusion of Section 106 review to interested persons.
A. Determine the extent of public participation needed.
Normally, Section 106 review begins with an assessment of information needs for
identification of historic properties, as outlined in 36 CFR § 800.4(a). At this
point, the responsible agency should begin to provide for public participation.
When no arrangements for public In some cases, no specific public participation arrangements may be needed.
participation are needed This may be the case if prior programmatic coordination has shown that there are
no local governments, Indian tribes, public and private organizations, [or] other
parties likely to have knowledge of. or concerns with historic properties in the
area [36 CFR § 800.4(a)(l)(iii)J. An example of such a circumstance might be
one in which a local government has carried out programmatic coordination with
respect to a neighborhood and found no interest in the neighborhood's historic,
architectural, archeologjcal, or cultural characteristics. Specific arrangements
may be unneeded, too, if the undertaking has very little potential for effect on his-
toric properties, or if it has some potential for effect, but is identical with or very
similar to other undertakings that have in the past generated no public interest,
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
and there is no reason for believing that public interest now exists that did not
exist previously.
WJien particular pre-arranged forms of In other cases, the scale or nature of the undertaking may be such that only a par-
public participation are needed ticular pre-arranged form of public participation is needed. For example, an
agency undertaking rehabilitation of houses in a historic district might, through
programmatic coordination, find that consultation with a neighborhood organiza-
tion was the best way to ensure public participation in each of its projects,
without the need for wider notification of the public. Similarly, a land managing
agency whose undertakings might affect properties of cultural importance to an
Indian tribe might establish specific agreements with the tribe and its traditional
cultural leaders to ensure that their concerns were identified and addressed,
without the need for public participation on a broader scale.
When general public participation is In other cases general public participation in Section 106 review may be needed.
needed The further steps outlined below are recommended for such cases; they should
be carried out in the context of the agency's overall public participation process.
B. Identify potential participants.
The regulations direct agencies to seek information from "local governments, In-
dian tribes, public and private organizations, and other parties likely to have
knowledge of or concerns with historic properties in the area" [36 CFR §
800.4(a)(l)(iii)] The SHPO should be able to assist the agency in developing an
initial list of such parties, each of whom, when contacted, may be able to identify
others. In addition to contacting specific groups and individuals, the agency can
also notify the public that it has initiated Section 106 review, through articles in
local newspapers, media releases, or other appropriate mechanisms, soliciting
any information or concerns members of the public may have about potentially af-
fected historic properties.
C. Seek information from parties with knowledge or concerns.
People identified as having particular knowledge or concerns should be asked for
2ay information they may have about affected historic properties and for any con-
cerns about the undertaking's effects [36 CFR § 800.4(a)(i)(iii)].
Ways of seeking information Local governments, Indian tribes, and historic preservation organizations may
have official points of contact through which an agency can ask for such informa-
tion. Tribes and other Native American groups may also have traditional cultural
leaders who are highly knowledgeable about historic properties; seeking informa-
tion from such leaders may require the assistance of a trained ethnographer.
Contacting small public and private organizations and knowledgeable individuals
may also require special efforts. Local historical societies and neighborhood or-
ganizations, for example, may not be familiar with government operating proce-
dures, and may need help translating their information and concerns into terms
that are meaningful to agency planning.
14 Working with Section 106
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
Those contacted should be made aware of Section 106 review and the way the
agency's undertaking will be reviewed. They should be asked if they wish to be
notified of agency determinations. They should also be advised that the Council
oversees Section 106 review and that if they question the way the process is being
conducted, they can request Council review of agency findings under 36 CFR §
800.6(e). Their views should be recorded and used in carrying out further steps
in the process.
D. Determine whether "interested persons" exist.
As discussed earlier, the regulations give special roles in Section 106 review to "in-
terested persons"; that is, organizations and individuals that are concerned with
the effects of an undertaking on historic properties. The agency should apply the
definition of "interested persons" to each party identified as having interests in or
concerns about historic properties.
E. Coordinate identification and evaluation with interested persons.
The regulations require no specific form of coordination with interested persons
during the identification and evaluation phase of Section 106 review [36 CFR §§
800.4(b) and (c)], but the Council recommends that the agency seek their views,
particularly where an interested person has jurisdiction over an area (e.g., a local
government or a property owner), or has special knowledge of or interest in a
property (e.g., an Indian tribe with an ancestral site, or a historical society with a
historic building).
Notification if no historic properties If it is determined that no historic properties exist in the area affected by the un-
exist dertaking, the regulations encourage, although they do not require, the agency to
"notify interested persons and parties known to be interested in the undertaking
and its possible effects on historic properties and [to] make the documentation
[that no historic properties exist] available to the public" [36 CFR § 800.4(d)].
Broad dissemination of "no property" findings is encouraged, because public
review may reveal historic properties inadvertently missed in the identification ef-
fort and help avoid delays later in the undertaking.
F. Coordinate effect determination with interested persons.
If historic properties are identified, the agency must apply the criteria of effect
[36 CFR § 800.9(a)] to the properties, "giving consideration to the views, if any, of
interested persons" [36 CFR § 800.5(a)]. If the agency determines that the under-
taking will have no effect on historic properties, it must notify the SHPO and "in-
terested persons who have made their concerns known," and make the finding
"available for public inspection" [36 CFR § 800.5(b)]. If the agency determines
that its undertaking will have an effect on historic properties, but that the effect
will not be adverse, the agency can obtain the SHPO's concurrence and notify the
Council with summary documentation, which must be made available for public
Woridng with Section 106 15
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
inspection [36 CFR § 800J(d)(l)(i); also see Section 106, Step-by-Step]. Alterna-
tively, the agency can provide the determination to the Council together with the
views of "affected local governments, Indian tribes, Federal agencies, and the
public, if any were provided, as well as a description of the means employed to
solicit such views" and notify the SHPO [36 CFR § 800.5(d)(l)(ii)]. Figure 5
describes methods by which this documentation can be made available to the
public [36 CFR § 800.8(a)(5)].
Figure 5: Making documentation available to the public
When an agency determines that no historic properties are present, that no effect will
occur on historic properties, or that an effect will occur but that it will not be adverse, the
regulations require that documentation of the determination be made available to the
public [36 CFR 6 800.4(d); 800.5(b); 800.5(d)(1)]. This documentation should identify the
undertaking and include a description of the agency's efforts to Identify historic proper-
ties. It should describe any such properties involved, and discuss how (if at all) the un-
dertaking win affect them, with reference to the criteria of effect and adverse effect as
applicable.
How the documentation is made available to the public can vary with the scale and na-
ture of the undertaking and the extent of agency reporting responsibilities under
authorities other than Section 106. Where environmental documents are made available
for public review under NEPA, for example, notification of the agency's determination
can be included in such documents. For routine or small scale undertakings, it maybe
sufficient simply to retain documentation in agency files available for inspection by the
public, as long as such documentation is also provided to the SHPO and interested per-
sons as required. Documentation made available to the public should include notifica-
tion to reviewers of their opportunity to request Council review of the agency's finding
(36CFR§800.6(e)(1)].
In some cases, the historic properly involved may be vulnerable to vandalism or other
damage if their locations or exact descriptions are revealed. Section 304 of the National
Historic Preservation Act (16 U.S.C. 470w-3) directs Federal agencies, 'after consultation
with the Secretary [of the Interior] [to] withhold from disclosure to the public, information
relating to the location or character of historic resources" under such circumstances.
Procedures to follow in such cases are outlined in the Department of the Interior's
Guidelines for Federal Aoencv Responsibilities under Section 110 of the National Historic
Preservation Act {53 FR 4727-46; February 17.1988). Deciding on whether and haw to
withhold .such information requires careful balance between the need to protect the
property from damage, and the need to provide the public with sufficient information to
participate effectively in the Section 106 process. A commonly used compromise ap-
proach involves placing location and detailed descriptive information In confidential ap-
pendices to the documentation made available to the public, limiting the availability of
such appendices to those with a definite need to know, and providing only general infor-
mation on the location and nature of historic properties in the material openly available.
to the public..
In order to consider the views of interested persons, the agency should advise
them of the agency's initial conclusions, either orally or in writing, and request
their reactions. The agency should explain the rationale for its determination,
with appropriate background data.
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
G. Consult with interested persons about adverse effects.
Mandatory and optional consulting
parties
Inviting interested persons to participate
in consultation
If it is determined that the undertaking will result in adverse effects on historic
properties, the regulations provide for interested persons to participate in con-
sultation about ways to avoid or reduce such effects. Some interested persons
who so request must be invited to participate, and in some cases to concur in
agreements. These include a local government representative within whose juris-
diction the undertaking will occur, an affected applicant for or holder of a grant,
permit, or license, and the owner of affected land (see Figure 2). An Indian tribe
whose lands are affected by an undertaking must be invited both to participate in
consultation and to concur in any agreement. Other interested persons should be
allowed to participate in consultation to the extent feasible, but their participa-
tion is conditional to the agreement of the responsible Federal agency, the
SHPO, and the Council (where the Council participates in consultation).
The agency should contact any interested persons it has identified, or who have
identified themselves, and ask them if they wish to participate in the consultation.
Participation can occur at a number of different levels. A participant can be a
full consulting party, taking part in meetings that may take place as part of the
consultation process, receiving copies of pertinent correspondence, and negotiat-
ing actively with the agency, SHPO, and other parties. Consulting parties should
usually be invited to concur in any agreements reached, particularly if an agree-
ment specifies actions that these persons will take. At a less intensive level of in-
volvement, participants may take part in consultation only with respect to
particular aspects of the undertaking, or to effects of particular kinds or effects
on particular properties. The agency may choose not to ask such participants to
concur in agreements, or the participants themselves, once they have expressed
their own views, may choose not to concur in any agreements.
Those who participate as consulting parties should be provided with the
documentation set forth in 36 CFR § 800.8(b) when consultation is initiated. The
consultation thereafter can vary based on the nature of the undertaking and its ef-
fects, the agency's planning system, the project schedule, and other factors. The
fact that a person is a consulting party does not automatically mean that he or she
must be included in every telephone conversation or informal meeting. Consult-
ing parties are free to discuss issues among themselves without involving other
consulting parties, but must involve other consulting parties in such formal ac-
tions as the conduct of public meetings, on-site inspections of areas pertinent to
their interests, and the exchange of documents.
All parties should approach consultation as a good-faith effort to resolve conflict
between historic preservation interests and the needs of the undertaking, by ex-
ploring alternatives to avoid or reduce the adverse effects of the undertaking.
Consultation should be carried out with the intent of reaching an agreement ac-
ceptable to all consulting parties, and of ensuring that the concerns of all other
participants have been identified, thoughtfully considered, and if possible,
resolved.
Wotting with Section 106
17
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
If a consulting party other than the Federal agency, the SHPO, or the Council will
not execute or concur in a Memorandum of Agreement (MOA), the agency,
SHPO, and Council are not prohibited from executing it. Objections by inter-
ested persons to MOAs in preparation, however, should be given full and careful
consideration, whether or not such person are consulting parties.
Participation in review by the public in The public in general must be given "an adequate opportunity...to receive infor-
general mation and express their views" [36 CFR § 800.5(e)(3)] during the consultation.
This can be done in a variety of ways, again depending on the scope of the project
and its effects, the agency's planning process, and other factors. Pertinent
documentation should be made available for public inspection, and the status of
Section 106 consultation should be reported at public hearings or meetings or in
pertinent documents that are part of its projects planning or environmental
review activities. Meetings with particular groups or individuals, or general
public meetings, may be held by the agency, the SHPO, or the Council [36 CFR §
800.5(e)(3)].
H. Report the conclusion of Section 106 review to interested persons.
The Council recommends that interested persons be notified of the conclusion of
Section 106 review once the agency has completed the process and, where ap-
plicable, obtained the Council's comments.
VII. Documenting public participation
The reason for documenting the agency's public participation efforts is to permit
reviewers, including Federal courts in the event of litigation, to review the record
and determine whether the agency's efforts have been adequate and reasonable.
Generally, the Council has found it easiest to review documentation organized
around a chronological summary that outlines the steps taken to provide for
public participation and the results of these actions, along with reports, copies of
written comments, summaries of meetings, and similar supporting documents at-
tached where pertinent.
Documentation when no hlsiurit. The regulations do not require that specific documentation of public participa-
properties are found or no effect is tion be prepared when no historic properties are found, or when the undertaking
determined is found to have no effect on historic properties. It has been the Council's ex-
perience that it is prudent, however, to describe as appropriate public participa-
tion efforts and their results, in identification reports, environmental documents,
agency files, and elsewhere, as well as in the documentation provided to the
SHPO and others pursuant to 36 CFR §§ 800.4(d) or 80O5(b).
Documentation when no adverse effect Where a "no adverse effect" determination is reported to the Council, specific
is determined documentation of public participation efforts is required by 36 CFR §
800.8(a)(5). Where "adverse effect" is determined and further consultation
results in an MOA, the agreement when submitted to the Council must be accom-
panied by "a summary of the views of.. .any interested persons" [36 CFR §
18 Working with Section 106
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
800.8(c)]. If an agreement is not reached and the Council's comments on the un-
dertaking are sought as a result, the agency must document its "efforts to obtain
and consider the views of affected local governments, Indian tribes, and other in-
terested persons," together with "copies or summaries of any written view sub-
mitted" by such persons or others [36 CFR §§ 800.8(d)(8) and 800.8(d)(10)].
Information to include in an agency's ' Generally speaking, a reviewer of an agency's record of public participation
record of public participation should be able to answer the following questions from the available documents:
• What general efforts did the agency make to ensure that the public was aware
that the undertaking was being planned, and that Section 106 review was being
carried out?
• What particular elements of the public were contacted for information or to
identify concerns? Why were these particular elements of the public chosen
over others?
• What groups and individuals, if any, were identified as interested persons?
How were interested persons involved in the Section 106 review process?
• What concerns were identified, and what was done about these concerns?
. Approaches to situations involving numerous interested persons
Where a large undertaking is reviewed under Section 106, with widespread poten-
tial effects or many alternatives, it is possible that large numbers of people and
groups request the opportunity to participate as interested persons. The regula-
tions do not require that all interested persons be invited to be consulting parties,
but they do require that persons falling into certain categories be invited. As a
result, it is possible for the number of consulting parties to become quite large.
For example, a large project with many alternatives could affect hundreds or even
thousands of landowners, who must be invited to be consulting parties if they so
request [36 CFR § 800.5(e)(l)(iii)].
Developing strategies to provide for Agency public participation processes should be designed to provide for large
large numbers of interested persons numbers of consulting parties, as needed in a balanced and reasonable manner.
Agencies should consult with SHPOs and the Council about ways to keep consult-
ation from becoming unwieldy. Some possible strategies include
• distinguishing carefully between formal consulting parties and other interested
persons, including in the former category only those required to be accorded
consulting party status by the regulations and those whose participation clearly
will advance the objectives of Section 106 [36 CFR § 800.1(c)(2)];
• requesting that consulting parties name one or a few representatives to take an
active role in consultation on the parties' behalf;
Working with Section 106 19
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
i using public information meetings, workshops, or similar devices to identify
major interest groups and their representatives in consultation or other forms
of participation;
i breaking up the process of review so that it addresses different alternatives or
different kinds of effects at different times, allowing participants to seek
resolu tion of particular concerns without having to participate in consultation
regarding the entire undertaking; and
i limiting the number of consulting parties asked to concur in agreements to
those with key interests in or concerns about the undertaking.
IX. Public participation in Programmatic Agreement development
Participation when a Programmatic
Agreement is national in scope
Participation when PAs are used with
programs of local governments
Including public participation
provisions in PAs
The regulations permit agencies to develop "Programmatic Agreements" (PAs)
with the Council, covering entire agency programs, in lieu of review of individual
undertakings [36 CFR § 800.13]. PAs are appropriate where a program results in
undertakings that have repetitive effects on historic properties, where effects can-
not be fully determined in advance of Federal decisionmaking where non-Federal
parties have major decisionmaking responsibilities, and where general land-
management planning or routine Federal installation management is involved.
Under 36 CFR § 800.13(c), the Council is responsible for arranging for public in-
volvement "appropriate to the subject matter and the scope of the program."
Where a PA is national in scope, the Council may publish notice in the Federal
Register or undertake other general notification that consultation has been in-
itiated. This notification must occur early in the consultation process, but not
before an initial draft agreement or at least an outline of issues to be considered
is developed, so that respondents to the notice will be able to receive a document
on which to comment. The Council also notifies organizations and other parties
known or thought to be interested in the agreement's subject matter. Where a
PA affects a smaller region or a single State, the Council uses press releases and
similar devices, and direct mail contacts with potentially interested persons iden-
tified by the agency, the SHPO, and others, in lieu of or to supplement Federal
Register publication. Public meetings may be held, and interested persons may be
invited to consult and to concur in PAs.
PAs are sometimes used with respect to programs for the rehabilitation of
residential, commercial and industrial areas carried out by local governments
using Community Development Block Grants and other funds provided through
the Department of Housing and Urban Development (HUD). In such cases, the
Council will normally regard the local government's fulfillment of the public par-
ticipation requirements set forth at 24 CFR §§ 58.55 through 66 as sufficient to
ensure public participation in PA development.
Often, because of the programmatic nature of the activities covered by a PA, it
may be difficult to identify some segments of the public who may have concerns
about them, or to identify effects with much certainty at the time the PA is
20
Working with Section 106
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PUBLIC PARTICIPATION IN SECTION 106 REVIEW
X. Conclusion
developed. In such cases the PA itself must be designed to include provision for
effective public participation in its implementation. The measures of adequacy
for such a public participation program are generally the same as those applied to
an agency public participation program under Part IV of these guidelines.
The Council values the views of the public on historic preservation questions and
encourages maximum public participation in the Section 106 process [36 CFR §
800.1(c)(2)(iv)]. The Council encourages full integration of public participation
under Section 106 review and the regulations with other agency programs of plan-
ning and public participation. Agencies should ensure that such programs make
the public fully aware of historic preservation issues; fully elicit expressions of
public interest, knowledge, and concern; and wherever possible resolve conflicts
between agency mission requirements and the historic preservation interests held
by members of the public. Members of the public are encouraged to view the op-
portunities afforded them by the regulations as opportunities to work with, rather
than against, Federal agencies to ensure that the pursuit of agency programs does
not cause undue damage to historic properties, but rather, where possible, results
in the enhancement of such properties.
Working with Section 106 21
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Attachment 6
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ATTACHMENT 6:
SRF AGENCY/SHPO COORDINATION
[These do not substitute for 36 CFR 800.4 through 800.6]
fA) Initial project consultation.
(1) Early in a project's planning phase, when project
alternatives are identified which have the potential to affect
historic properties, if any are present, the SRF Agency should,
in conformance with 36 CFR Part 800.4(a)(1)(ii), consult with the
SHPO and request their views, comments and advice on: (a) what
further actions may be necessary by the SRF Agency to further
identify and evaluate historic properties; (b) the significance
of all identified historic properties; (c) possible effects on
historic properties; and (d) project alternatives and suggested
mitigation measures where effects are likely.
(2) If within a thirty day period (as provided under 36 CFR
Section 800.l(c)) the SHPO does not respond to the SRF Agency's
request(s), the SRF Agency Shall proceed in accordance with 36
CFR 800.4, et. seq..
i
(B) Routine consultation.
Following initial contact, SRF Agencies should respond to
the SHPO's views, comments and advice; shall take further actions
as necessary to identify and evaluate historic properties and
assess effects on them; and continue to consult and coordinate
with the SHPO throughout the historic preservation review
process. Where applicable, this review should be integrated with
the SERP process (as defined in Attachment 1).
(C) Transmittal of decision documents.
(1) Prior to making a decision on a project, the SRF Agency
shall notify the SHPO of measures it intends to incorporate in
the project to avoid, minimize, or mitigate effects on historic
properties, which must be consistent with any determinations made
or agreements entered into by the SRF Agency pursuant to 36 CFR
800.4(d), 800.5(d), 800.5(e) (4), 800.5(e)(5), and/or 800.11(a)
as applicable.
(2) The SRF Agency shall provide the SHPO with a copy of
its final ER determination for all SRF projects that have
involved consultation and coordination pursuant to 36 CR Part 800
et. seq. and the Programmatic Agreement among EPA, the Advisory
Council on Historic Preservation, and the National Conference of
SHPOs.
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(3) In addition, the SRF Agency will routinely notify the
SHPO that appropriate documentation regarding SRF 212 projects
funded with EPA federal assistance that nay affect historic
properties is available whenever:
(i) A Draft ER document is finalized; or
(ii) Significant new information relevant to the project's
environmental determination is identified, or significant changes
to the project plan is made, following the issuance of a Final
Determination (ER decision document), but prior to completion of
construction,; or
(iii) A mandatory five-year reassessment of a previously
issued environmental determination has been conducted on
projects and, as requested or otherwise agreed between the SRF
Agency and SHPO, provide the SHPO with copies of such
documentation.
(4) Appropriate documentation should also be provided the
SHPO at similar intervals for 319 and 320 projects funded with
EPA federal assistance that may affect historic properties.
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Attachment 7
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