THE FOUR STEP SECTION 106 PROCESS: AN INTRODUCTION TENNESSEE STATE HISTORIC PRESERVATION OFFICE REVIEW AND COMPLIANCE SECTION All reproduction rights reserved.

THE FOUR STEP SECTION 106 THE FOUR STEP SECTION 106 PROCESS: AN INTRODUCTIONPROCESS: AN INTRODUCTION

TENNESSEE STATE HISTORIC TENNESSEE STATE HISTORIC PRESERVATION OFFICEPRESERVATION OFFICE

REVIEW AND COMPLIANCE SECTIONREVIEW AND COMPLIANCE SECTION

All reproduction rights reserved

What follows is a presentation text in What follows is a presentation text in PowerPoint format. It is being presented PowerPoint format. It is being presented

that way because the staff of the Tennessee that way because the staff of the Tennessee State Historic Preservation Office’s Review State Historic Preservation Office’s Review

and Compliance Section believes you will be and Compliance Section believes you will be able to absorb more of the message of the able to absorb more of the message of the presentation in this format than if it were presentation in this format than if it were presented as a printed text. As such, this presented as a printed text. As such, this

presentation lacks much of the “punch” of a presentation lacks much of the “punch” of a normal PowerPoint presentation. But since normal PowerPoint presentation. But since we are not there to narrate all the needed we are not there to narrate all the needed information for you, this is the best way to information for you, this is the best way to

transmit the information you need to transmit the information you need to complete Section 106 review swiftly and complete Section 106 review swiftly and

successfully.successfully.

WHAT ARE THE THE WHAT ARE THE THE FOUR STEPS IN THE FOUR STEPS IN THE

SECTION 106 REVIEW SECTION 106 REVIEW PROCESSPROCESS

Tennessee State Historic Preservation Office Tennessee State Historic Preservation Office (SHPO) review of Federal undertakings under (SHPO) review of Federal undertakings under Section 106 of the National Historic Preservation Section 106 of the National Historic Preservation Act can be as much as a four step process.Act can be as much as a four step process.

The Federal Agency must:The Federal Agency must:A.A. Initiate Section 106 Review,Initiate Section 106 Review,

B.B. Identify historic properties,Identify historic properties,

C.C. Assess project effects, andAssess project effects, and

D.D. Resolve adverse effects.Resolve adverse effects.

Step One:

Initiate Section 106 reviewInitiate Section 106 review

a)a) Establish whether the project, program, or Establish whether the project, program, or activity is an undertaking subject to activity is an undertaking subject to Section 106 reviewSection 106 review

b)b) Identify the appropriate SHPOIdentify the appropriate SHPO

c)c) Plan to involve the publicPlan to involve the public

d)d) Identify other consulting parties as defined Identify other consulting parties as defined at 36 CFR 800.2at 36 CFR 800.2

Step Two:

Identify historic propertiesIdentify historic properties

a)a) Determine scope of effortsDetermine scope of efforts

b)b) Identify historic propertiesIdentify historic properties

c)c) Evaluate historic significanceEvaluate historic significance

Step Three:

Assess effectsAssess effects

a)a) Apply the Criteria of Adverse Effect Apply the Criteria of Adverse Effect found at 36 CFR 800.5found at 36 CFR 800.5

Step Four:

Resolve adverse effectsResolve adverse effects

a)a) Continue Consultation to Resolve Continue Consultation to Resolve Adverse EffectsAdverse Effects

WHO BEGINS THE WHO BEGINS THE SECTION 106 REVIEW SECTION 106 REVIEW

PROCESS?PROCESS?

THE FEDERAL THE FEDERAL AGENCY OFFICIALAGENCY OFFICIAL

36 CFR 800.2(A) AGENCY OFFICIAL. 36 CFR 800.2(A) AGENCY OFFICIAL.

It is the statutory obligation of the Federal agency to fulfill the It is the statutory obligation of the Federal agency to fulfill the requirements of Section 106 and to ensure that an Agency Official with requirements of Section 106 and to ensure that an Agency Official with jurisdiction over an undertaking takes legal and financial responsibility jurisdiction over an undertaking takes legal and financial responsibility for Section 106 compliance in accordance with 36 CFR 800.3 for Section 106 compliance in accordance with 36 CFR 800.3 through .7. The Agency Official has approval authority for the through .7. The Agency Official has approval authority for the undertaking and can commit the Federal agency to take appropriate undertaking and can commit the Federal agency to take appropriate action for a specific undertaking as a result of Section 106 compliance. action for a specific undertaking as a result of Section 106 compliance. The Agency Official has the authority to commit the Federal agency to The Agency Official has the authority to commit the Federal agency to any obligation it may assume in the implementation of a program any obligation it may assume in the implementation of a program alternative. The Agency Official may be a State, local, or tribal alternative. The Agency Official may be a State, local, or tribal government official who has been delegated legal responsibility for government official who has been delegated legal responsibility for compliance with Section 106 in accordance with Federal law. compliance with Section 106 in accordance with Federal law.

WHAT ARE THE WHAT ARE THE FEDERAL AGENCY FEDERAL AGENCY

OFFICIAL’S SECTION OFFICIAL’S SECTION 106 106

RESPONSIBILITIES?RESPONSIBILITIES?

To complete the appropriate number To complete the appropriate number of steps in the Section 106 process of steps in the Section 106 process relative to a specific undertaking relative to a specific undertaking promptly and successfully and in promptly and successfully and in consultation with the Tennessee consultation with the Tennessee SHPO and other consulting parties.SHPO and other consulting parties.

To do so, Federal Agency Officials and applicants for To do so, Federal Agency Officials and applicants for Federal assistance must make informed decisions Federal assistance must make informed decisions

about:about:

1)1) Lists of Consulting Parties (36 CFR 800.2).Lists of Consulting Parties (36 CFR 800.2).2)2) The Undertaking’s Areas of Potential Effects The Undertaking’s Areas of Potential Effects

(36 CFR 800.4).(36 CFR 800.4).3)3) National Register of Historic Places eligibility National Register of Historic Places eligibility

(36 CFR 800.4).(36 CFR 800.4).4)4) Project effects upon Historic Properties (36 Project effects upon Historic Properties (36

CFR 800.5).CFR 800.5). 5)5) Resolution of adverse effects (36 CFR 800.5).Resolution of adverse effects (36 CFR 800.5).

HOW?HOW?

Agency Official consultation with the Agency Official consultation with the SHPO :SHPO :

1)1) Helps define the Consulting Party list.Helps define the Consulting Party list.2)2) Helps define Areas of Potential Effects.Helps define Areas of Potential Effects.3)3) Helps make consensus determinations of Helps make consensus determinations of

National Register eligibility/non-eligibility.National Register eligibility/non-eligibility.4)4) Helps make consensus findings of project Helps make consensus findings of project

effects.effects.5)5) Helps make consensus resolutions of adverse Helps make consensus resolutions of adverse

effects.effects.

Agency Official Consultation With All Agency Official Consultation With All Consulting Parties is Successful Risk Consulting Parties is Successful Risk

ManagementManagement

Consultation transfers part of the risk Consultation transfers part of the risk associated with Section 106 review to associated with Section 106 review to

CONSULTING PARTIESCONSULTING PARTIES

SECTION 106 SECTION 106 CONSULTATION RUNS CONSULTATION RUNS THROUGH THE ENTIRE THROUGH THE ENTIRE

PLANNING AND PLANNING AND DEVELOPMENT PROCESS DEVELOPMENT PROCESS

FOR EACH FEDERAL FOR EACH FEDERAL UNDERTAKINGUNDERTAKING

WHAT ARE THE WHAT ARE THE STANDARD STAGES STANDARD STAGES

OF FEDERAL OF FEDERAL PROJECT PLANNING PROJECT PLANNING AND DEVELOPMENT?AND DEVELOPMENT?

PLANNING AND DEVELOPMENT: PLANNING AND DEVELOPMENT: INTEGRATED DESIGN INTEGRATED DESIGN MANAGEMENT: STEP ONEMANAGEMENT: STEP ONE

Feasibility Analysis – When considering a Federal undertaking, Feasibility Analysis – When considering a Federal undertaking, the agency official should consult with the appropriate SHPO to the agency official should consult with the appropriate SHPO to determine whether there are possible effects to historic determine whether there are possible effects to historic properties and consider the appropriateness of early properties and consider the appropriateness of early consultation with other consulting parties in accordance with consultation with other consulting parties in accordance with Section 106 of the National Historic Preservation Act.Section 106 of the National Historic Preservation Act.

ACHP, Sustainability and Historic Federal Buildings, 2011ACHP, Sustainability and Historic Federal Buildings, 2011

PLANNING AND DEVELOPMENT: PLANNING AND DEVELOPMENT: INTEGRATED DESIGN INTEGRATED DESIGN MANAGEMENT: STEP ONE – STEP TWOMANAGEMENT: STEP ONE – STEP TWO

Project Planning – Agency officials should structure their Project Planning – Agency officials should structure their project timelines and scopes of work to allow for ongoing project timelines and scopes of work to allow for ongoing Section 106 consultation covering existing conditions within the Section 106 consultation covering existing conditions within the undertaking’s Area of Potential Effects, the overall plan for the undertaking’s Area of Potential Effects, the overall plan for the proposed undertaking, and the existence of historic properties proposed undertaking, and the existence of historic properties within the APE. If there is consensus that no historic properties within the APE. If there is consensus that no historic properties will be affected, the SHPO will formally notify THE Agency will be affected, the SHPO will formally notify THE Agency Official or applicant that the Section 106 review process has Official or applicant that the Section 106 review process has been completed successfully.been completed successfully.


PLANNING AND DEVELOPMENT: PLANNING AND DEVELOPMENT: INTEGRATED DESIGN INTEGRATED DESIGN MANAGEMENT: STEP TWO – STEP THREEMANAGEMENT: STEP TWO – STEP THREE

Conceptual Design – If the Area of Potential Effects contains Conceptual Design – If the Area of Potential Effects contains historic properties, and as an agency official consults historic properties, and as an agency official consults concerning the potential undertaking’s concept designs, the concerning the potential undertaking’s concept designs, the SHPO and other consulting parties should consult to identify SHPO and other consulting parties should consult to identify the effects that those design options may have on the character-the effects that those design options may have on the character-defining features and significant spaces within any identified defining features and significant spaces within any identified historic properties. Agency officials should also continue historic properties. Agency officials should also continue consultation to keep the development of the undertaking on consultation to keep the development of the undertaking on schedule, especially for those projects that involve new schedule, especially for those projects that involve new construction or substantial alteration. construction or substantial alteration.


PLANNING AND DEVELOPMENT: PLANNING AND DEVELOPMENT: INTEGRATED DESIGN INTEGRATED DESIGN MANAGEMENTMANAGEMENT : STEP THREE- STEP FOUR : STEP THREE- STEP FOUR

Conceptual Design – If a historic property may be adversely Conceptual Design – If a historic property may be adversely affected by the undertaking, an agreement documenting the affected by the undertaking, an agreement documenting the agency’s commitments to avoid, minimize, or mitigate such agency’s commitments to avoid, minimize, or mitigate such effects should be executed by the end of this phase, in effects should be executed by the end of this phase, in accordance with Section 106 of the National Historic accordance with Section 106 of the National Historic Preservation Act.Preservation Act. If there is consensus that the undertaking will If there is consensus that the undertaking will not adversely affect any historic property, the SHPO will not adversely affect any historic property, the SHPO will formally notify the agency official that Section 106 review has formally notify the agency official that Section 106 review has been completed successfully.been completed successfully.


PLANNING AND DEVELOPMENT: PLANNING AND DEVELOPMENT: INTEGRATED DESIGN INTEGRATED DESIGN MANAGEMENT: STEP FOURMANAGEMENT: STEP FOUR

Design Development – As the agency official works through Design Development – As the agency official works through design development, the SHPO and other affected consulting design development, the SHPO and other affected consulting parties should attend milestone project meetings to ensure that parties should attend milestone project meetings to ensure that the design will comply with the agreement previously reached. the design will comply with the agreement previously reached. Continuing consultation with the SHPO and other consulting Continuing consultation with the SHPO and other consulting parties will keep the undertaking on schedule, especially for parties will keep the undertaking on schedule, especially for those undertakings that include new construction or substantial those undertakings that include new construction or substantial alteration.alteration.



Construction – As remediation, excavation, and selective demolition plans Construction – As remediation, excavation, and selective demolition plans are drafted, along with other design documents, the SHPO and other are drafted, along with other design documents, the SHPO and other affected consulting parties should attend regular milestone walking tours affected consulting parties should attend regular milestone walking tours of the in-progress work at the historic property with the agency official, of the in-progress work at the historic property with the agency official, architects, engineers, and contractors. Special inspection tours may be architects, engineers, and contractors. Special inspection tours may be necessary to ensure protection of significant character defining features of necessary to ensure protection of significant character defining features of an historic property. Design specifications should be provided to the an historic property. Design specifications should be provided to the SHPO and consulting parties before any such tours. The SHPO and SHPO and consulting parties before any such tours. The SHPO and consulting parties should be given the opportunity to review and comment consulting parties should be given the opportunity to review and comment on any change orders promptly, as appropriate, and should be consulted on any change orders promptly, as appropriate, and should be consulted with regard to unanticipated conditions that may require revising a design with regard to unanticipated conditions that may require revising a design already reviewed and approved.already reviewed and approved.



Completion – Before final project close-out and agency official Completion – Before final project close-out and agency official signoff, the SHPO and other consulting parties should attend a signoff, the SHPO and other consulting parties should attend a special tour to identify any concerns and confirm compliance special tour to identify any concerns and confirm compliance with the agreement document. with the agreement document.


Following these consultative Following these consultative procedures for each planning procedures for each planning and development stage of the and development stage of the project leads to prompt and project leads to prompt and successful Section 106 review.successful Section 106 review.

END OF INTRODUCTIONEND OF INTRODUCTION

THE FOUR STEP SECTION 106 PROCESS: AN INTRODUCTION TENNESSEE STATE HISTORIC PRESERVATION OFFICE REVIEW AND COMPLIANCE SECTION All reproduction rights reserved.

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federal agency official

step section

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compliance section

initiate section

historic significance

adverse effects slide