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Feb. 7th esp 179-cultural-2

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Kevin Fang
Kevin Fang

The document provides an overview of cultural and historic resource regulations including the Antiquities Act of 1906, National Historic Preservation Act of 1966, and other relevant laws. It discusses the Section 106 review process that federal agencies must follow to consider impacts to historic properties from undertakings. Key aspects of the Section 106 process include identifying historic properties, evaluating their eligibility for historic registers, assessing effects, and developing treatment plans to resolve adverse effects. The document also compares the Section 106 process to review under the California Environmental Quality Act.

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ESP 179 - Winter 2012 Cultural and Historic Resources Feb. 7th, 2012 Ken Lord, PhD, RPA
Historical Background When? Antiquities Act of 1906 National Historic Preservation Act of 1966 NEPA, Environmental Quality Improvement Act of 1970 Executive Order 11593 (1971) Archaeological Resources Protection Act of 1979 Native American Graves Protection and Repatriation Act (1990)
What IS Section 106? A section of the National Historic Protection Act of 1966 One of 407 Sections Prescribes federal agency project review responsibilities Take into account effects of actions on historic properties Afford the Advisory Council on Historic Preservation (ACHP) a reasonable opportunity to comment
Archaeological
What is Section 106 Compliance? Reviewing proposed actions under the regulations implementing Section 106 of the NHPA 36 CFR 800 Issued by ACHP Binding on ALL federal agencies
Historical
Letter of the Law: Section 106 The head of any Federal agency having direct or indirect jurisdiction over a proposed Federal or federally assisted undertaking in any State and the head of any Federal department of independent agency having authority to license an undertaking or prior to the approval of an expenditure of any Federal funds on the undertaking or prior to the issuance of any license, as the case may be, take into account the effect of the undertaking on any district, site, building, structure, or object that is included in or eligible for inclusion in the National Register. The head of any such Federal agency shall afford to the Advisory Council on Historic Preservation . . . a reasonable opportunity to comment with regard to such undertaking.
Traditional Cultural Resources
What are the Purposes? Section 2 of the NHPA states : Productive harmony Fulfill needs of future generations National and international leadership Stewardship of federally owned historic places Contribute to non-federal preservation Encourage preservation by all Assist states, tribes, Native Hawaiians, local governments, etc. in doing preservation
So The Mandate Is PRIOR to approving an undertaking, a federal agency head must: Take into account the effects of the undertaking on historic properties Give the ACHP a reasonable opportunity to comment per Section 106 Do this in a manner consistent with the purposes of the NHPA per Section 110(d) The Section 106 process seeks to accommodate historic preservation concerns with the needs of the federal undertakings through consultation . . . commencing at the early stages of project planning.
How Does It All Work? Section 106 isnt for every project Is there a Federal nexus? If YES does the action require review? If it does Coordinating with other reviews NEPA NAGPRA Identifying/Contacting SHPO(s) and or THPO(s) Planning for public involvement Identifying other consulting parties
Is the undertaking subject to review? Difference between 106 and NEPA For Section 106 an undertaking is anything Under the direct or indirect jurisdiction of a federal agency So undertakings are anything a Federal agency Does Assists with money or anything else Permits State and local permit actions under federal delegation and oversight are not Section 106 undertakings BUT the act of delegation or oversight may be an undertaking Initiating Section 106
Does it have Potential to Cause Effects? If NO the process is over Potential to Affect Historic Properties New construction Renovation Space acquisition Land transfers Land management Building management If YES Coordinate with Other Reviews NEPA NAGPRA AIRFA ARPA Agency-specific legislation, e.g. Section 4(f) DOT Act Initiating Section 106
Identification of Historic Properties and Effects Identification is an AGENCY responsibility Must identify ALL historic properties Must do a standard level/kind of survey Class I, II, III Phase 1, Phase 2, Phase 3 Must meet SHPO requirements Must mitigate anything found
Scoping Effort Establish Area(s) of Potential Effects (APE) Consider more than physical effects Visual, auditory, atmospheric Potential changes in land or building use Changes in setting Potential for neglect Review available data (records searches) Seek information from others (NAHC/tribal letters) Identify issues No absolute standards for identification Identification
Evaluating Properties Agency applies National Register criteria With SHPO/THPO, tribe, Native Hawaiian group Consensus determination of eligibility To Keeper of National Register for formal determination if: Agency and SHPO/THPO disagree, or ACHP or Keeper request What happens when you find something?
National Register Criteria: 36 CFR.60.4 You see this in all our reports Integrity of design, materials, etc. Plus A: Association events, broad patterns (Traditional Cultural Landscapes or Traditional Cultural Properties B: People significant in our past C: Characteristic of Type, period, etc. Work of a master High artistic values Distinguishable entity (District) D: Data important in history or prehistory
No Historic Properties Subject to Effect Means No historic properties in APE, or Historic properties, but wont be affected Agency documents finding to SHPO/THPO Notifies other consulting parties Makes documentation available 30-day window for SHPO/THPO objection (some argument on this) What has been done to identify historic properties? What is the basis for concluding there is nothing affected?
Whats Up with CEQA Then? How is it different? In reality cultural resources are generally the same under NEPA or CEQA. When does it apply? CEQA does apply to discretionary projects and equates a substantial adverse change in the significance of a historical resource with a significant effect on the environment (Section 21084.1).
When does it not apply? CEQA does not apply to ministerial actions which may impact a historical resource. For example, a project which complies with the Uniform Building Code and for which no discretionary permit is required does not fall under CEQA, even if the project may alter a building which is considered a "qualified historic structure" under the State Historical Building Code Whats Up with CEQA Then?
Lead Agency has Responsibility Initial Study Checklist Are Resources Present? What Kinds? Will They be Impacted? Any Resource listed in or eligible for listing in the California Register of Historical Resources is presumed to be historically or culturally significant. Resources which are listed in a local historic register or deemed significant in a historical resource survey are to be presumed historically or culturally significant unless "the preponderance of evidence" demonstrates they are not. Who determines if there are resources?
What if a determination hasnt been made? This category is most common. The Information Centers provide information on known sites and identify areas that have been inventoried. If this hasnt happened, an archaeological and/or historic inventory must happen to determine if significant resources are present.
Evaluating Properties We know what to do on listed properties and properties under local historic registers. Many finds are a result of surveys and the discovered resources have not evaluated and determinations must be made. This is key to CEQA just like to NEPA. What happens when you find something?
State Historic Resources Commission and the Office of Historic Preservation Resources need to be evaluated California Register of Historic Places Requirements Integrity of design, materials, etc. Plus A: Association events, broad patterns (Traditional Cultural Landscapes or Traditional Cultural Properties B: People significant in our past C: Characteristic of Type, period, etc. Work of a master High artistic values Distinguishable entity (District) D: Data important in history or prehistory
Evaluation of a Resource Procedures from previous slide and or Section 106 come into play. A yes to any of the criteria results in a significant resource. Criteria D. This is the troubling one. Base approach on prehistoric resource is Phase II testing to determine if resource has data potential and how much.
What do you do with a significant site? If the lead agency determines that the project may have a significant effect on unique archaeological resources, the environmental impact report shall address the issue of those resources. unique archaeological resource means an archaeological artifact, object, or site about which it can be clearly demonstrated that, without merely adding to the current body of knowledge, there is a high probability that it meets any of the following criteria: (1) Contains information needed to answer important scientific research questions and that there is a demonstrable public interest in that information. (2) Has a special and particular quality such as being the oldest of its type or the best available example of its type. (3) Is directly associated with a scientifically recognized important prehistoric or historic event or person. (from CEQA 21083.2)
What do you do with a significant site? An environmental impact report, if otherwise necessary, shall not address the issue of nonunique archaeological resources. nonunique archaeological resource means an archaeological artifact, object, or site which does not meet the criteria in subdivision (g). A nonunique archaeological resource need be given no further consideration, other than the simple recording of the resource.
What do you do with a significant site? If it can be demonstrated that a project will cause damage to a unique archaeological resource, the lead agency may require reasonable efforts to be made to permit any or all of these resources to be preserved in place or left in an undisturbed state. Examples of that treatment, in no order of preference, may include, but are not limited to, any of the following: (1) Planning construction to avoid archaeological sites. (2) Deeding archaeological sites into permanent conservation easements. (3) Capping or covering archaeological sites with a layer of soil before building on the sites. (4) Planning parks, greenspace, or other open space to incorporate archaeological sites.
Mitigation Mitigation measures required if you cant conserve. Excavation as mitigation shall be restricted to those parts of the unique archaeological resource that would be damaged or destroyed by the project. Phase II Testing. Excavation as mitigation shall not be required for a unique archaeological resource if the lead agency determines that testing or studies already completed have adequately recovered the scientifically consequential information from and about the resource, if this determination is documented in the environmental impact report.
How do we get to the end product for use in Environmental document? Keys for Consulting on Cultural Resources Project Description Area of Potential Effect Field Methodology Maps Photographs Literature Review Native American Consultation Eligibility Determination Determination of Effect Professional Qualifications Report Format Adversely Affected Historic Properties
Project Description Make sure it is as complete as possible Purpose Acres, location, construction methods Construction phasing and elements Depth and types of ground disturbance Visual impacts
Define Undertaking Clearly define why the report is being required. Permit type Initial Study Checklist Action, etc.
Field Methodology Field dates, names and numbers of people on survey and qualifications Include field conditions, any variations in methods Records searches only good for 1 yr Surveys only good for 2 yrs unless can demonstrate old methods and no changes in conditions Include potentials for subsurface remains
Literature Reviews and Native American Consultation Records search no more than 1 yr old Other maps (older USGS, GLO, Sanborns) Include submerged resources Native American consultation Document contacts Send letters followed by telephone/email contact Corps may deal directly with federally recognized tribes
Determination of Eligibility Consultants do not make determinations Federal or Local agencies make determination and SHPO concurs. Determinations must be made for Each prehistoric or historic site or object found in APE Must include historic context in accordance with NR Bulletin 15 Must address eligibility for NRHP/CRHP for each of the 4 criteria
Determination of Effect If sites found and determined eligible Must discuss impacts and define the effect with ACHP framework for 36 CFR 800.4(d) and 800.5 Describe how site(s) would be affected
Professional Qualifications Principal Investigators must meet Secretary of Interiors Standards for Professional Qualifications (48CFR 44738-44739) Show qualifications of those participating in survey and evaluations Dont make determinations if not qualified according to qualifications above
Adversely Affected Historic Properties Must develop treatment plan and MOU Again done primarily with USACE/SHPO input
Questions?

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Feb. 7th esp 179-cultural-2

  • 1. ESP 179 - Winter 2012 Cultural and Historic Resources Feb. 7th, 2012 Ken Lord, PhD, RPA
  • 2. Historical Background When? Antiquities Act of 1906 National Historic Preservation Act of 1966 NEPA, Environmental Quality Improvement Act of 1970 Executive Order 11593 (1971) Archaeological Resources Protection Act of 1979 Native American Graves Protection and Repatriation Act (1990)
  • 3. What IS Section 106? A section of the National Historic Protection Act of 1966 One of 407 Sections Prescribes federal agency project review responsibilities Take into account effects of actions on historic properties Afford the Advisory Council on Historic Preservation (ACHP) a reasonable opportunity to comment
  • 5. What is Section 106 Compliance? Reviewing proposed actions under the regulations implementing Section 106 of the NHPA 36 CFR 800 Issued by ACHP Binding on ALL federal agencies
  • 7. Letter of the Law: Section 106 The head of any Federal agency having direct or indirect jurisdiction over a proposed Federal or federally assisted undertaking in any State and the head of any Federal department of independent agency having authority to license an undertaking or prior to the approval of an expenditure of any Federal funds on the undertaking or prior to the issuance of any license, as the case may be, take into account the effect of the undertaking on any district, site, building, structure, or object that is included in or eligible for inclusion in the National Register. The head of any such Federal agency shall afford to the Advisory Council on Historic Preservation . . . a reasonable opportunity to comment with regard to such undertaking.
  • 9. What are the Purposes? Section 2 of the NHPA states : Productive harmony Fulfill needs of future generations National and international leadership Stewardship of federally owned historic places Contribute to non-federal preservation Encourage preservation by all Assist states, tribes, Native Hawaiians, local governments, etc. in doing preservation
  • 10. So The Mandate Is PRIOR to approving an undertaking, a federal agency head must: Take into account the effects of the undertaking on historic properties Give the ACHP a reasonable opportunity to comment per Section 106 Do this in a manner consistent with the purposes of the NHPA per Section 110(d) The Section 106 process seeks to accommodate historic preservation concerns with the needs of the federal undertakings through consultation . . . commencing at the early stages of project planning.
  • 11. How Does It All Work? Section 106 isnt for every project Is there a Federal nexus? If YES does the action require review? If it does Coordinating with other reviews NEPA NAGPRA Identifying/Contacting SHPO(s) and or THPO(s) Planning for public involvement Identifying other consulting parties
  • 12. Is the undertaking subject to review? Difference between 106 and NEPA For Section 106 an undertaking is anything Under the direct or indirect jurisdiction of a federal agency So undertakings are anything a Federal agency Does Assists with money or anything else Permits State and local permit actions under federal delegation and oversight are not Section 106 undertakings BUT the act of delegation or oversight may be an undertaking Initiating Section 106
  • 13. Does it have Potential to Cause Effects? If NO the process is over Potential to Affect Historic Properties New construction Renovation Space acquisition Land transfers Land management Building management If YES Coordinate with Other Reviews NEPA NAGPRA AIRFA ARPA Agency-specific legislation, e.g. Section 4(f) DOT Act Initiating Section 106
  • 14. Identification of Historic Properties and Effects Identification is an AGENCY responsibility Must identify ALL historic properties Must do a standard level/kind of survey Class I, II, III Phase 1, Phase 2, Phase 3 Must meet SHPO requirements Must mitigate anything found
  • 15. Scoping Effort Establish Area(s) of Potential Effects (APE) Consider more than physical effects Visual, auditory, atmospheric Potential changes in land or building use Changes in setting Potential for neglect Review available data (records searches) Seek information from others (NAHC/tribal letters) Identify issues No absolute standards for identification Identification
  • 16. Evaluating Properties Agency applies National Register criteria With SHPO/THPO, tribe, Native Hawaiian group Consensus determination of eligibility To Keeper of National Register for formal determination if: Agency and SHPO/THPO disagree, or ACHP or Keeper request What happens when you find something?
  • 17. National Register Criteria: 36 CFR.60.4 You see this in all our reports Integrity of design, materials, etc. Plus A: Association events, broad patterns (Traditional Cultural Landscapes or Traditional Cultural Properties B: People significant in our past C: Characteristic of Type, period, etc. Work of a master High artistic values Distinguishable entity (District) D: Data important in history or prehistory
  • 18. No Historic Properties Subject to Effect Means No historic properties in APE, or Historic properties, but wont be affected Agency documents finding to SHPO/THPO Notifies other consulting parties Makes documentation available 30-day window for SHPO/THPO objection (some argument on this) What has been done to identify historic properties? What is the basis for concluding there is nothing affected?
  • 19. Whats Up with CEQA Then? How is it different? In reality cultural resources are generally the same under NEPA or CEQA. When does it apply? CEQA does apply to discretionary projects and equates a substantial adverse change in the significance of a historical resource with a significant effect on the environment (Section 21084.1).
  • 20. When does it not apply? CEQA does not apply to ministerial actions which may impact a historical resource. For example, a project which complies with the Uniform Building Code and for which no discretionary permit is required does not fall under CEQA, even if the project may alter a building which is considered a "qualified historic structure" under the State Historical Building Code Whats Up with CEQA Then?
  • 21. Lead Agency has Responsibility Initial Study Checklist Are Resources Present? What Kinds? Will They be Impacted? Any Resource listed in or eligible for listing in the California Register of Historical Resources is presumed to be historically or culturally significant. Resources which are listed in a local historic register or deemed significant in a historical resource survey are to be presumed historically or culturally significant unless "the preponderance of evidence" demonstrates they are not. Who determines if there are resources?
  • 22. What if a determination hasnt been made? This category is most common. The Information Centers provide information on known sites and identify areas that have been inventoried. If this hasnt happened, an archaeological and/or historic inventory must happen to determine if significant resources are present.
  • 23. Evaluating Properties We know what to do on listed properties and properties under local historic registers. Many finds are a result of surveys and the discovered resources have not evaluated and determinations must be made. This is key to CEQA just like to NEPA. What happens when you find something?
  • 24. State Historic Resources Commission and the Office of Historic Preservation Resources need to be evaluated California Register of Historic Places Requirements Integrity of design, materials, etc. Plus A: Association events, broad patterns (Traditional Cultural Landscapes or Traditional Cultural Properties B: People significant in our past C: Characteristic of Type, period, etc. Work of a master High artistic values Distinguishable entity (District) D: Data important in history or prehistory
  • 25. Evaluation of a Resource Procedures from previous slide and or Section 106 come into play. A yes to any of the criteria results in a significant resource. Criteria D. This is the troubling one. Base approach on prehistoric resource is Phase II testing to determine if resource has data potential and how much.
  • 26. What do you do with a significant site? If the lead agency determines that the project may have a significant effect on unique archaeological resources, the environmental impact report shall address the issue of those resources. unique archaeological resource means an archaeological artifact, object, or site about which it can be clearly demonstrated that, without merely adding to the current body of knowledge, there is a high probability that it meets any of the following criteria: (1) Contains information needed to answer important scientific research questions and that there is a demonstrable public interest in that information. (2) Has a special and particular quality such as being the oldest of its type or the best available example of its type. (3) Is directly associated with a scientifically recognized important prehistoric or historic event or person. (from CEQA 21083.2)
  • 27. What do you do with a significant site? An environmental impact report, if otherwise necessary, shall not address the issue of nonunique archaeological resources. nonunique archaeological resource means an archaeological artifact, object, or site which does not meet the criteria in subdivision (g). A nonunique archaeological resource need be given no further consideration, other than the simple recording of the resource.
  • 28. What do you do with a significant site? If it can be demonstrated that a project will cause damage to a unique archaeological resource, the lead agency may require reasonable efforts to be made to permit any or all of these resources to be preserved in place or left in an undisturbed state. Examples of that treatment, in no order of preference, may include, but are not limited to, any of the following: (1) Planning construction to avoid archaeological sites. (2) Deeding archaeological sites into permanent conservation easements. (3) Capping or covering archaeological sites with a layer of soil before building on the sites. (4) Planning parks, greenspace, or other open space to incorporate archaeological sites.
  • 29. Mitigation Mitigation measures required if you cant conserve. Excavation as mitigation shall be restricted to those parts of the unique archaeological resource that would be damaged or destroyed by the project. Phase II Testing. Excavation as mitigation shall not be required for a unique archaeological resource if the lead agency determines that testing or studies already completed have adequately recovered the scientifically consequential information from and about the resource, if this determination is documented in the environmental impact report.
  • 30. How do we get to the end product for use in Environmental document? Keys for Consulting on Cultural Resources Project Description Area of Potential Effect Field Methodology Maps Photographs Literature Review Native American Consultation Eligibility Determination Determination of Effect Professional Qualifications Report Format Adversely Affected Historic Properties
  • 31. Project Description Make sure it is as complete as possible Purpose Acres, location, construction methods Construction phasing and elements Depth and types of ground disturbance Visual impacts
  • 32. Define Undertaking Clearly define why the report is being required. Permit type Initial Study Checklist Action, etc.
  • 33. Field Methodology Field dates, names and numbers of people on survey and qualifications Include field conditions, any variations in methods Records searches only good for 1 yr Surveys only good for 2 yrs unless can demonstrate old methods and no changes in conditions Include potentials for subsurface remains
  • 34. Literature Reviews and Native American Consultation Records search no more than 1 yr old Other maps (older USGS, GLO, Sanborns) Include submerged resources Native American consultation Document contacts Send letters followed by telephone/email contact Corps may deal directly with federally recognized tribes
  • 35. Determination of Eligibility Consultants do not make determinations Federal or Local agencies make determination and SHPO concurs. Determinations must be made for Each prehistoric or historic site or object found in APE Must include historic context in accordance with NR Bulletin 15 Must address eligibility for NRHP/CRHP for each of the 4 criteria
  • 36. Determination of Effect If sites found and determined eligible Must discuss impacts and define the effect with ACHP framework for 36 CFR 800.4(d) and 800.5 Describe how site(s) would be affected
  • 37. Professional Qualifications Principal Investigators must meet Secretary of Interiors Standards for Professional Qualifications (48CFR 44738-44739) Show qualifications of those participating in survey and evaluations Dont make determinations if not qualified according to qualifications above
  • 38. Adversely Affected Historic Properties Must develop treatment plan and MOU Again done primarily with USACE/SHPO input