Transcript Tennessee Historical Commission, Review and Compliance

THE FOUR STEP SECTION 106
PROCESS: AN INTRODUCTION
TENNESSEE STATE HISTORIC
PRESERVATION OFFICE
REVIEW AND COMPLIANCE SECTION
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What follows is a presentation text in PowerPoint format. It is being
presented that way because the staff of the Tennessee State Historic
Preservation Office’s Review and Compliance Section believes you will
be able to absorb more of the message of the presentation in this
format than if it were presented as a printed text. As such, this
presentation lacks much of the “punch” of a normal PowerPoint
presentation. But since we are not there to narrate all the needed
information for you, this is the best way to transmit the information
you need to complete Section 106 review swiftly and successfully.
WHAT ARE THE THE
FOUR STEPS IN THE
SECTION 106 REVIEW
PROCESS
Tennessee State Historic Preservation Office
(SHPO) review of Federal undertakings under
Section 106 of the National Historic Preservation
Act can be as much as a four step process.
The Federal Agency must:
A.
B.
C.
D.
Initiate Section 106 Review,
Identify historic properties,
Assess project effects, and
Resolve adverse effects.
Step One:
Initiate Section 106 review
a) Establish whether the project, program, or
activity is an undertaking subject to
Section 106 review
b) Identify the appropriate SHPO
c) Plan to involve the public
d) Identify other consulting parties as defined
at 36 CFR 800.2
Step Two:
Identify historic properties
a) Determine scope of efforts
b) Identify historic properties
c) Evaluate historic significance
Step Three:
Assess effects
a) Apply the Criteria of Adverse Effect
found at 36 CFR 800.5
Step Four:
Resolve adverse effects
a) Continue Consultation to Resolve
Adverse Effects
WHO BEGINS THE
SECTION 106 REVIEW
PROCESS?
THE FEDERAL
AGENCY OFFICIAL
36 CFR 800.2(A) AGENCY OFFICIAL.
It is the statutory obligation of the Federal agency to fulfill the
requirements of Section 106 and to ensure that an Agency Official with
jurisdiction over an undertaking takes legal and financial responsibility
for Section 106 compliance in accordance with 36 CFR 800.3 through
.7. The Agency Official has approval authority for the undertaking and
can commit the Federal agency to take appropriate action for a specific
undertaking as a result of Section 106 compliance. The Agency Official
has the authority to commit the Federal agency to any obligation it may
assume in the implementation of a program alternative. The Agency
Official may be a State, local, or tribal government official who has
been delegated legal responsibility for compliance with Section 106 in
accordance with Federal law.
WHAT ARE THE
FEDERAL AGENCY
OFFICIAL’S SECTION
106
RESPONSIBILITIES?
To complete the appropriate number
of steps in the Section 106 process
relative to a specific undertaking
promptly and successfully and in
consultation with the Tennessee
SHPO and other consulting parties.
To do so, Federal Agency Officials and applicants for
Federal assistance must make informed decisions
about:
1) Lists of Consulting Parties (36 CFR 800.2).
2) The Undertaking’s Areas of Potential Effects
(36 CFR 800.4).
3) National Register of Historic Places eligibility
(36 CFR 800.4).
4) Project effects upon Historic Properties (36
CFR 800.5).
5) Resolution of adverse effects (36 CFR 800.5).
HOW?
Agency Official consultation with the
SHPO :
1) Helps define the Consulting Party list.
2) Helps define Areas of Potential Effects.
3) Helps make consensus determinations of
National Register eligibility/non-eligibility.
4) Helps make consensus findings of project
effects.
5) Helps make consensus resolutions of adverse
effects.
Agency Official Consultation With All
Consulting Parties is Successful Risk
Management
Consultation transfers part of the risk
associated with Section 106 review to
CONSULTING PARTIES
SECTION 106 CONSULTATION
RUNS THROUGH THE ENTIRE
PLANNING AND
DEVELOPMENT PROCESS
FOR EACH FEDERAL
UNDERTAKING
WHAT ARE THE
STANDARD STAGES
OF FEDERAL
PROJECT PLANNING
AND DEVELOPMENT?
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT: STEP ONE
Feasibility Analysis – When considering a Federal undertaking,
the agency official should consult with the appropriate SHPO to
determine whether there are possible effects to historic
properties and consider the appropriateness of early
consultation with other consulting parties in accordance with
Section 106 of the National Historic Preservation Act.
ACHP, Sustainability and Historic Federal Buildings, 2011
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT: STEP ONE – STEP TWO
Project Planning – Agency officials should structure their
project timelines and scopes of work to allow for ongoing
Section 106 consultation covering existing conditions within the
undertaking’s Area of Potential Effects, the overall plan for the
proposed undertaking, and the existence of historic properties
within the APE. If there is consensus that no historic properties
will be affected, the SHPO will formally notify THE Agency
Official or applicant that the Section 106 review process has
been completed successfully.
ACHP, Sustainability and Historic Federal Buildings, 2011
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT: STEP TWO – STEP THREE
Conceptual Design – If the Area of Potential Effects contains
historic properties, and as an agency official consults
concerning the potential undertaking’s concept designs, the
SHPO and other consulting parties should consult to identify
the effects that those design options may have on the characterdefining features and significant spaces within any identified
historic properties. Agency officials should also continue
consultation to keep the development of the undertaking on
schedule, especially for those projects that involve new
construction or substantial alteration.
ACHP, Sustainability and Historic Federal Buildings, 2011
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT : STEP THREE- STEP FOUR
Conceptual Design – If a historic property may be adversely
affected by the undertaking, an agreement documenting the
agency’s commitments to avoid, minimize, or mitigate such
effects should be executed by the end of this phase, in
accordance with Section 106 of the National Historic
Preservation Act. If there is consensus that the undertaking will
not adversely affect any historic property, the SHPO will formally
notify the agency official that Section 106 review has been
completed successfully.
ACHP, Sustainability and Historic Federal Buildings, 2011
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT: STEP FOUR
Design Development – As the agency official works through
design development, the SHPO and other affected consulting
parties should attend milestone project meetings to ensure that
the design will comply with the agreement previously reached.
Continuing consultation with the SHPO and other consulting
parties will keep the undertaking on schedule, especially for
those undertakings that include new construction or substantial
alteration.
ACHP, Sustainability and Historic Federal Buildings, 2011
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT: STEP FOUR
Construction – As remediation, excavation, and selective demolition plans
are drafted, along with other design documents, the SHPO and other
affected consulting parties should attend regular milestone walking tours
of the in-progress work at the historic property with the agency official,
architects, engineers, and contractors. Special inspection tours may be
necessary to ensure protection of significant character defining features of
an historic property. Design specifications should be provided to the
SHPO and consulting parties before any such tours. The SHPO and
consulting parties should be given the opportunity to review and comment
on any change orders promptly, as appropriate, and should be consulted
with regard to unanticipated conditions that may require revising a design
already reviewed and approved.
ACHP, Sustainability and Historic Federal Buildings, 2011
PLANNING AND DEVELOPMENT: INTEGRATED DESIGN
MANAGEMENT: STEP FOUR
Completion – Before final project close-out and agency official
signoff, the SHPO and other consulting parties should attend a
special tour to identify any concerns and confirm compliance
with the agreement document.
ACHP, Sustainability and Historic Federal Buildings, 2011
Following these consultative
procedures for each planning
and development stage of the
project leads to prompt and
successful Section 106 review.
END OF INTRODUCTION