THE FOUR STEP SECTION 106 PROCESS: STEP ONE TENNESSEE STATE HISTORIC PRESERVATION OFFICE REVIEW AND COMPLIANCE SECTION

1
THE FOUR STEP SECTION 106 PROCESS STEP
ONETENNESSEE STATE HISTORIC PRESERVATION
OFFICEREVIEW AND COMPLIANCE SECTION
All reproduction rights reserved
2
What follows is a presentation text in PowerPoint
format. It is being presented that way because
the staff of the Tennessee State Historic
Preservation Offices 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.
3
INTRODUCTION
4
Initiate Section 106 Review
Step One
5
Step One
All Federal agencies and applicants for Federal
assistance that propose projects, programs, and
activities that might affect Historic Properties
in Tennessee must complete this step.
6
It is the Federal Agency Official alone that
begins the Section 106 review process (800.3).
The Agency Official ultimately decides whether
the project, program, or activity is an
undertaking as defined in the Regulation (36 CFR
800.3(a) and 800.9(a)) that has the potential to
cause effects to Historic Properties (36 CFR
800.5). The Agency Official, however, does not
make these decisions in a vacuum.
7
The 36 CFR 800 Regulation directs each Federal
agency to base these decisions upon the outcome
of consultation. The agency first must refer to
the strict statutory and regulatory definitions
of an undertaking found at 36 CFR 800. Then, the
agency must rely upon its own regulations,
system-wide best practices, and standard
operating procedures to refine that definition.
Then the agency must consult with the appropriate
SHPO and other Consulting Parties to inform the
final decision.
8
QUESTIONS YOU SHOULD ANSWER BEFORE BEGINNING STEP
ONE
9
Questions
Step One Initiate The Section 106 Process

• Is the project under review an "Undertaking" as
  defined in the National Historic Preservation Act
  and in the 36 CFR 800 Regulation?
• What is the Federal agency's mission as
  demonstrated in the purpose and need of the
  project under review?

10
Questions

• What is the projects possible Area of Potential
  Effects as defined in the Act and in the 36 CFR
  800 Regulation?
• What is the size and nature of the undertaking as
  defined in the 36 CFR Part 800 Regulation?
• What is the appropriate degree of Federal
  involvement in the Section 106 process as defined
  in the 36 CFR 800 Regulation?

.
11
Questions

• What is the likelihood of identifying Historic
  Properties within the Area of Potential Effects?
• What is the nature and extent of potential
  effects to Historic Properties as defined in the
  Criteria of Adverse Effect codified at 36 CFR
  800.5?
• Who is the appropriate State Historic
  Preservation Officer/Tribal Historic Preservation
  Officer as defined at 36 CFR 800.2?

.
12
Questions

• How do you plan to involve the public?
• Who are the other likely Consulting Parties?
• Do you plan to meld the Section 106 review
  process into the National Environmental Policy
  Act process, a previously executed Programmatic
  Agreement, or other counterpart process reviewed
  and approved by the ACHP?

.
13
Things to Keep In Mind
What is the appropriate degree of Federal
involvement as defined in the Regulation?
The agency official should plan consultations
appropriate to the SCALE of the undertaking and
the SCOPE of Federal involvement and coordinated
with other requirements of other statutes, as
applicable, such as the National Environmental
Policy Act, the Native American Graves Protection
and Repatriation Act, the American Indian
Religious Freedom Act, the Archeological
Resources Protection Act, and agency-specific
legislation.
14
WHAT IS MEANT BY SECTION 106 SCALE AND SCOPE?
15
Section 106 Scale and Scope is comparable to
NEPA Context and Intensity
16
Things to Keep In Mind
40 CFR 1508.27 requires agency official
considerations of both context and
intensity (a) Context. This means that the
significance of an action must be analyzed in
several contexts such as society as a whole
(human, national), the affected region, the
affected interests, and the locality.
Significance varies with the setting of the
proposed action. For instance, in the case of a
site-specific action, significance would usually
depend upon the effects in the locale rather than
in the world as a whole. Both short- and
long-term effects are relevant.
17
Things to Keep In Mind
Here, context involves the close relationship
between the proposed project and known or
as-yet-unknown historic properties.
18
Things to Keep In Mind
40 CFR 1508.27 requires agency official
considerations of both context and
intensity (b) Intensity. This refers to the
severity of impact. Responsible officials must
bear in mind that more than one agency may make
decisions about partial aspects of a major
action. The following issues should be considered
in evaluating intensity
19
Things to Keep In Mind

• Impacts that may be both beneficial and adverse.
  A significant effect may exist even if the
  Federal agency believes that on balance the
  effect will be beneficial.
• The degree to which the proposed action affects
  public health or safety.
• Unique characteristics of the geographic area
  such as proximity to historic or cultural
  resources, park lands, prime farmlands, wetlands,
  wild and scenic rivers, or ecologically critical
  areas.

20
Things to Keep In Mind

• The degree to which the effects on the quality of
  the human environment are likely to be highly
  controversial.
• The degree to which the possible effects on the
  human environment are highly uncertain or involve
  unique or unknown risks.
• The degree to which the action may establish a
  precedent for future actions with significant
  effects or represents a decision in principle
  about a future consideration.

21
Things to Keep In Mind

• Whether the action is related to other actions
  with individually insignificant but cumulatively
  significant impacts. Significance exists if it is
  reasonable to anticipate a cumulatively
  significant impact on the environment.
  Significance cannot be avoided by terming an
  action temporary or by breaking it down into
  small component parts.
• The degree to which the action may adversely
  affect districts, sites, highways, structures, or
  objects listed in or eligible for listing in the
  National Register of Historic Places or may cause
  loss or destruction of significant scientific,
  cultural, or historical resources.

22
Things to Keep In Mind

• The degree to which the action may adversely
  affect an endangered or threatened species or its
  habitat that has been determined to be critical
  under the Endangered Species Act of 1973.
• Whether the action threatens a violation of
  Federal, State, or local law or requirements
  imposed for the protection of the environment.

23
Things to Keep In Mind
40 CFR 1508.27 requires agency official
considerations of both context and
intensity Intensity also refers to the level of
direct and indirect impact of the project upon
historic properties.
24
Summing Up
All this means is that different types of Federal
undertaking demand different levels of Federal
Agency Official effort in fulfilling the
requirements of Section 106 review.
25
Summing Up
These varying levels of effort may include
initial review requests to the Tennessee SHPO and
other Consulting Parties, site visits, the
preparation of cultural resources survey reports,
and formal Public Meetings and Consulting Parties
Meetings.
26
STEP ONE SECTION 106 CHECKLIST
27
Check the appropriate line (Yes, No) as you
complete each specific task.
28

• Establish Whether the Project is an Undertaking
• Remember! Undertakings are defined in the Section
  106 Regulation (800.3(a) and 800.9(a) and
  800.16(y)) .

29
Sec. 800.3    Initiation of the Section 106
process.     (a) ESTABLISH UNDERTAKING. The
agency official shall determine whether the
proposed Federal action is an undertaking as
defined in 36 CFR 800.16(y) and, if so, whether
it is a type of activity that has the potential
to cause effects on historic properties (800.3(a)
and 800.9(a)
30
PARSING THE REGULATORY DEFINITION OF AN
UNDERTAKING(CHECK ALL THAT APPLY)
31
36 CFR 800.16(y)

• project, activity, or program________,
• Federally funded in whole or in part________ or,
• under the direct or indirect jurisdiction of a
  Federal agency________,
• including those carried out by or on behalf of a
  Federal agency or________
• those carried out with Federal financial
  assistance or________
• those requiring a Federal permit, license or
  approval or________
• those subject to State or local regulation
  administered pursuant to a delegation or approval
  by a Federal agency_________.

.
32
36 CFR 800.3(a)

• that might cause an effect to a property ELIGIBLE
  FOR LISTING IN OR LISTED IN the National Register
  of Historic Places.
• Yes_________ No_________

33
Undertaking
This rather broad definition is the consequence
of the most recent amendment to the NHPA (1992).
At that time, Congress wanted to make plain that
it intended for the definition of undertaking to
cover most everything the Federal government did
that might affect historic properties.
34
Undertaking
More recent federal litigation has restricted
this definition in some areas involving federal
pass throughs to state governments of authority
to issue certain environmental permits. Overall,
however, this broad definition of an undertaking
has stood the test of time. Remember that
Federal undertakings have both direct and
indirect effects upon historic properties.
35
Undertaking
If more than one state is involved in an
undertaking, the involved State Historic
Preservation Offices may decide to choose a lead
State Historic Preservation Officer to act on its
behalf in the Section 106 process, including
taking actions that would conclude the Section
106 process.
36
Undertaking
If more than one federal agency is involved in an
undertaking, some or all of the agencies may
choose a lead federal agency and a lead agency
official who acts on their behalf, discharging
their collective responsibilities under Section
106. Those federal agencies that do not choose a
lead federal agency remain individually
responsible for their compliance.
37
CAVEAT
38
Section 214 of NHPA states, The ACHP, with the
concurrence of the Secretary of the Interior,
shall promulgate regulations or guidelines, as
appropriate, under which Federal programs or
undertakings may be EXEMPTED from any or all of
the requirements of this Act when such exemption
is determined to be consistent with purposes of
NHPA, taking into consideration the magnitude of
the exempted undertaking or program and the
likelihood of impairment of historic properties.
39
Section 214 of NHPA, therefore, allows for a
CATEGORICAL NO HISTORIC PROPERTIES AFFECTED
determination either from the ACHP, or, by
inference, from a particular SHPO, when deemed
appropriate.
40
TWO POSSIBILE FEDERAL AGENCY FINDINGS
41

• 1) No Undertaking
• The agency official decides that the project
  under review does not meet the definition of an
  undertaking. If this is the case, the agency
  official has completed Section 106 review, but
  may be called upon by the ACHP to justify the no
  undertaking decision later.

42

• 2) Undertaking
• The agency official decides that the project
  under review meets the definition of an
  undertaking. The agency official then informs the
  Tennessee State Historic Preservation Office,
  begins consultation, assembles a slate of
  additional Consulting Parties, informs the
  Public, and proceeds to Step Two.

43

• 2) Undertaking
• The Tennessee State Historic Preservation Office
  may suggest added consulting parties and consult
  with the agency official on proper ways for the
  interests of the Public to be included in Section
  106 review.

44

• 2) Undertaking
• Since a correct determination about whether a
  Federal activity is an undertaking is critical
  to successful Section 106 review, test your
  decision again and again.

45

• 2) Undertaking
• What are some specific questions to ask yourself
  when making a determination about whether a
  Federal activity is an undertaking?

46

• Does your project, program, or activity involve
  Federal funding, licensing, permitting or other
  type of approval or assistance?
• Yes_________ No_________ Dont know_________
•  

47

• Does it have the potential to alter any
  eligibility-defining characteristic of a Historic
  Property that qualifies that Historic Property
  for eligibility in the National Register of
  Historic Places now or in the future?
• Yes_________ No_________ Dont know_________

48
WHAT ARE SOME ELIGIBILITY-DEFINING
CHARACTERISTICS?
49
Some Eligibility-defining Characteristic

• Architectural features such as windows, doors,
  rooflines, exterior materials, interior
  architectural features such as mantles, moldings,
  etc.
• Setting
• Viewshed
• Previously undisturbed archaeology

50
Reality Check

• If the answer to both questions is Yes, your
  activity is an undertaking. Proceed to the next
  question.

51
Firewall

• If the answer to either question is No, You
  have no undertaking. Your project is not subject
  to Section 106 review.
• But you had better make real sure of this.

52
Firewall
1) No undertaking/No potential to cause
effects If the Agency Official determines that
there is no undertaking as defined in Section
800.16(y), or there is an undertaking but it is
not a type of activity that has the potential to
cause effects on historic properties, there are
no further obligations under Section 106 or the
Councils regulations. Agencies are strongly
advised to keep appropriate records of such
findings in case questions are raised by members
of the public or other parties at a later date
Advisory Council on Historic Preservation
Working with Section 106, Users Guide
53
Reality Check

• If the answer is Dont know, or, you determine
  that you have completed the Section 106 process
  successfully because your project is not an
  undertaking, answer the following three even more
  specific questions to ensure you have made the
  correct decision.

54
Questions

• I. Does your project involve FEDERAL FUNDING, OR
  LICENSING, PERMITTING OR OTHER KINDS OF
  APPROVING either by a Federal agency or applicant
  for Federal assistance of any of the following

55
Questions

• Any new construction, including preservation,
  rehabilitation, reconstruction, or restoration
  directly or indirectly associated with the
  project
•  
• Yes_________ No_________

56
PRESERVATION IS DEFINED as the act or process of
applying measures necessary to sustain the
existing form, integrity, and materials of an
historic property. Work, including preliminary
measures to protect and stabilize the property,
generally focuses upon the ongoing maintenance
and repair of historic materials and features
rather than extensive replacement and new
construction. New exterior additions are not
within the scope of this treatment however, the
limited and sensitive upgrading of technical,
electrical, and plumbing systems and other
code-required work to make properties functional
is appropriate within a preservation project.
Secretary of the Interior's Standards for
Treatment of Historic Properties
57
REHABILITATION IS DEFINED as the act or process
of returning a property to a state of utility and
of making possible a compatible use for a
property through repair, alterations, and
additions which makes possible an efficient
contemporary use while preserving those portions
or features which convey its historical,
cultural, or architectural values.
Secretary of the Interior's Standards for
Treatment of Historic Properties
58
RESTORATION IS DEFINED AS the act or process of
accurately depicting the form, features, and
character of a property as it appeared at a
particular period of time by means of the removal
of features from other periods in its history and
reconstruction of missing features from the
restoration period. The limited and sensitive
upgrading of mechanical, electrical, and plumbing
systems and other code-required work to make
properties functional is appropriate within a
restoration project.
Secretary of the Interior's Standards for
Treatment of Historic Properties
59
RECONSTRUCTION IS DEFINED AS the act or process
of depicting, by means of new construction, the
form, features, and detailing of a non-surviving
site, landscape, building, structure, or object
for the purpose of replicating its appearance at
a specific period of time and in its historic
location.
Secretary of the Interior's Standards for
Treatment of Historic Properties
60
Questions

• Any partial or complete demolition of any
  structure, including abandonment directly or
  indirectly associated with the project
•  
• Yes_________ No_________

61
Questions

• Any modification of any structure directly or
  indirectly associated with the project
•  
• Yes_________ No_________

62
Questions

• Any relocation of any structure directly or
  indirectly associated with the project
•  
• Yes_________ No_________

63
Questions

• Any ground-covering activity such as a landfill,
  aeration field, spoil, staging area, biomat, fill
  into wetlands, trail, streambank or shoreline
  restoration, barrow, staging area, dock, pier,
  ramp, float, or riprap directly or indirectly
  associated with the project
•  
• Yes_________ No_________

64
Questions

• Any wind farm, solar voltaic panel, pipeline,
  transmission line, fuel storage facility,
  industrial plant, inter-modal facility, or
  terminal directly or indirectly associated with
  the project  
• Yes_________ No_________

65
Questions

• Any natural resources conservation activity such
  as a farm pond, watershed rehabilitation,
  plowing, streambank relocation, or forestry
  preservation directly or indirectly associated
  with the project
•  
• Yes_________ No_________

66
Questions

• Any planting or removal of vegetation, including
  reforestation, controlled burn, or tree, root,
  and brush removal directly or indirectly
  associated with the project
•  
• Yes_________ No_________

67
Questions

• Any reclamation program such as superfund,
  brownfield reclamation, mining reclamation, or
  forest reclamation directly or indirectly
  associated with the project
•  
• Yes_________ No_________

68
Questions

• Any transfer or lease of any Federal property,
  including structures, out of Federal ownership or
  from one Federal agency to another directly or
  indirectly associated with the project
•  
• Yes_________ No_________

69
Questions

• Any mortgage guarantee or any other similar type
  of Federal financial support to applicants
  directly or indirectly associated with the
  project
•  
• Yes_________ No_________

70
Questions

• Any purposeful and deliberate Federal agency
  neglect of any structure under its jurisdiction
  or control that has been determined National
  Register eligible   directly or indirectly
  associated with the project
• Yes_________ No_________

71
Questions

• Any survey-related data recovery of any
  significant archaeological Historic Property that
  is not Archaeological Resources Protection Act
  permitted directly or indirectly associated with
  the project
•  
• Yes_________ No_________

72
Questions

• Any survey-related data recovery of any
  significant archaeological Historic Property
  directly or indirectly associated with the
  project that is Archaeological Resources
  Protection Act permitted, but that has a
  collateral element that may affect an historic
  property
•  
• Yes_________ No_________

73
Questions

• Any data recovery of any archaeological resource
  directly or indirectly associated with the
  project that is significant for reasons other
  than purely research (National Register Criterion
  D) value (that is, significant for reasons of
  religious or cultural or historical association)
•  
• Yes_________ No_________

74
Questions

• Removal of any significant archaeological
  resources directly or indirectly associated with
  the project that contain human remains or
  directly associated funerary objects
•  
• Yes_________ No_________

75
Questions

• Neglect of any Federally owned or controlled land
  surface that contains or has the likelihood to
  contain significant archaeological resources
  directly or indirectly associated with the
  project through such actions as the knowing
  sanction of stream bank erosion, wind erosion,
  rain erosion, or other preventable natural force
  
•   Yes_________ No_________

76
Reality check

• If you checked Yes to any of the preceding
  types of activities, then your project really is
  an undertaking subject to Section 106 review.
  Therefore...

77
Reality check

• proceed to the next Step One numbered question.

78
Questions
2. Does the activity have the potential to cause
an EFFECT to an Historic Property? Yes_________
No_________
79
EFFECT means alteration to the characteristics
of an historic property qualifying it for
inclusion in or eligibility for the National
Register. This is different from Adverse
Effect, which means alteration to the
characteristics of an historic property
qualifying it for inclusion in or eligibility for
the National Register in a manner that
jeopardizes its future eligibility.
80
Whether you checked Yes or Noas a response to
any previous question, you still must coordinate
with other required reviews, laws, and
regulations.
81
  COORDINATE WITH OTHER REVIEWS. The agency
official should coordinate the steps of the
Section 106 process, as appropriate, with the
overall planning schedule for the undertaking and
with any reviews required under other authorities
such as the National Environmental Policy Act,
the Native American Graves Protection and
Repatriation Act, the American Indian Religious
Freedom Act, the Archeological Resources
Protection Act, and agency-specific legislation,
such as section 4(f) of the Department of
Transportation Act. Where consistent with the
procedures in this subpart, the agency official
may use information developed for other reviews
under Federal, State, or tribal law to meet the
requirements of Section 106.
82
Questions
3. Is the activity subject to the stipulations of
an existing Section 106 Programmatic Agreement
(PA)? Yes_________ No_________
83
Reality check

• If you checked Yes to the PA question, then
  once you record how the project complies with the
  terms of the PA, Section 106 review is complete
  and you are in compliance. To remain in
  compliance, you must implement the project in
  accordance with the PA.

84
Reality check

• If you checked No to all of the preceding
  questions, then your project IS NOT AN
  UNDERTAKING and you have successfully completed
  Section 106 review. THIS IS HIGHLY UNLIKELY

85
Reality check

• It is therefore best to seek concurrence with
  the Tennessee State Historic Preservation Office
  before assuming you have no undertaking.

86
How do you do that?
87
Reality check

• Submit a formal project description identifying
  the Federal agency, and a location map, and
  current photographic documentation to the
  Tennessee State Historic Preservation Office.
• Joseph Y. Garrison, PhD,Review and
  Compliance Coordinator,Tennessee Historical
  Commission,2941 Lebanon Road,Nashville,
  Tennessee,37243-0442

88
Firewall

• If the Tennessee State Historic Preservation
  Office does not respond within a reasonable
  amount of time (at least 30 days), you may then
  presume your project is not an undertaking
  subject to Section 106 review.

89
IF AT THE END OF THIS PROCESS YOU ARE CERTAIN
THAT YOUR PROJECT, PROGRAM, OR ACTIVITY HAS NO
POTENTIAL TO CAUSE EFFECTS TO HISTORIC PROPERTIES
90
36CFR800.3
    1) No potential to cause effects. If the
undertaking is a type of activity that does not
have the potential to cause effects on historic
properties, assuming such historic properties
were present, the agency official has no further
obligations under Section 106.
91
Firewall

• If you have determined that your project is, in
  fact, 2) an undertaking, MUCH MORE LIKELY, and,
  therefore, subject to Section 106 reviewwhat do
  you do?

92
INITIATE CONSULTATION WITH THE APPROPRIATE SHPO
93
IDENTIFY THE APPROPRIATE SHPO . As part of its
initial planning, the agency official shall
determine the appropriate SHPO or SHPOs to be
involved in the Section 106 process. The agency
official shall also determine whether the
undertaking may occur on or affect historic
properties on any tribal lands and, if so,
whether a THPO has assumed the duties of the
SHPO. The agency official shall then initiate
consultation with the appropriate officer or
officers.
94

• 2. Identify the appropriate State Historic
  Preservation Office and notify it that you have
  begun the Section 106 review process (800.16(f),
  800.3(c), 800.3(f), 800.3(f)(1) and 800.3(f)(2)),
  or Tribal Historic Preservation Office (IF THE
  UNDERTAKING IS PROPOSED EXCLUSIVELY ON TRIBAL
  LAND).

95
WHY DO FEDERAL AGENCIES NOT INITIATE CONSULTATION
WITH THPOs IN TENNESSEE?
96
BECAUSE THERE ARE NO FEDERALLY-DESIGNATED TRIBAL
LANDS LOCATED IN TENNESSEE
97
DOES THIS MEAN THAT YOU DO NOT HAVE TO CONSULT
WITH INDIAN TRIBES?
98
NO! THERE ARE MANY TRIBES THAT PLACE RELIGIOUS
AND CULTURAL VALUE UPON CERTAIN SITES LOCATED IN
TENNESSEE.
99
YOU MUST CONSULT WITH THE AUTHORIZED
REPRESENTATIVES OF THESE TRIBES (WHO MAY OR MAY
NOT BE THPOs). THEY WILL ASSIST YOU IN TAKING
SITES OF SPECIAL SIGNIFICANCE TO THEM INTO
ACCOUNT.
100
HOW DO YOU IDENTIFY THE APPROPRIATE SHPO?
101
 IDENTIFY THE APPROPRIATE SHPO AND TRIBAL
REPRESENTATIVE You can find SHPO/TRIBAL
REPRESENTATIVE contact information at ACHP.gov
and at the Tennessee Historical Commission
Website.
102
IN TENNESSEE, THE APPROPRIATE SHPO IS THE
TENNESSEE HISTORICAL COMMISSION/STATE HISTORIC
PRESERVATION OFFICE
103
INITIAL CONSULTATION WITH THE SHPO WHAT ARE THE
OPTIONS?
104
Initial Consultation With the SHPO
Federal agencies may choose between two methods
of conducting initial consultation with the
Tennessee SHPO.
105
Initial Consultation With the SHPO Method One
As part of its initial planning, the agency
official shall determine for her/himself the
appropriate SHPO to be involved in the Section
106 process.
106
Or
107
Initial Consultation With the SHPO Method Two
The agency official may authorize an applicant or
group of applicants to initiate consultation with
the SHPO and others, but remains legally
responsible for all findings and determinations
charged to the agency official. The agency
official shall notify the SHPO when an applicant
or group of applicants is so authorized.
108
Initial Consultation With the SHPO Method Two
A Federal agency may authorize all applicants in
a specific program pursuant to this section by
providing notice to all SHPOs. Federal agencies
that provide authorizations to applicants remain
responsible for their government-to-government
relationships with Indian tribes.
109
In other words
110
Consultation

• 1.) It may begin consultation by a Federal
  agency direct consultation request - begin
  consultation. (Land-holding, building-holding
  agencies some funding agencies some permitting
  agencies)

111
Or
112
Consultation

• 2.) It may also begin the process indirectly
  through a review request submitted by a duly
  certified applicant for Federal funds, licenses,
  or permits. (Grant applicants, assistance
  applicants, permit applicants, license
  applicants, approval applicants)

113
Questions

• How do you choose to initiate consultation with
  the Tennessee SHPO for this undertaking?
•  
• Directly_____ Indirectly_____

114
Initial Review Documentation

• Either way, you or your applicant should submit
  as much of the following information as you can
  accumulate to the Tennessee State Historic
  Preservation Officer to initiate Section 106
  review. Prepare the following basic
  documentation

115
INITIAL REVIEW WHAT IS THE BASIC DOCUMENTATION
CHECKLIST?
116
Questions
I

• A cover letter on AGENCY OR APPLICANT contact
  information letterhead requesting Section 106
  review of EACH SEPARATE SPECIFIC PROJECT OR
  ACTIVITY (the Tennessee SHPO prefers multiple
  projects within the same undertaking grouped by
  county). The Review Request letter should contain
  the following
•  
• Yes_________ No_________

117
A CAPTION HEADING CONTAINING
118
Questions

• The name or initials of EACH Federal agency
  funding, licensing, permitting, or approving the
  undertaking
• Yes_________ No_________

119
Questions

• The name of the Federal undertaking.  
• Yes_________ No_________

120
Questions

• The appropriate municipal designator or legal
  description (STREET ADDRESS, CITY, COUNTY) of
  the undertaking. If a property such as a vacant
  lot or rural property does not have an address,
  then enter its street name, lot number, or other
  legal location. If the project is located in an
  unincorporated area, so indicate that.
• Yes_________ No_________

121
Questions

• Appropriate Agency Official (800.2) contact
  information (address, telephone, email, etc.),
  and if applicable, the name, address, telephone
  number, and email address of the applicant for
  Federal funding, licensing, permitting, or
  approval.
•  
• Yes_________ No_________

122
Questions

• The applicable statute or regulation, license, or
  permit authorizing the Federal action.
• Yes_________ No_________

123
Questions

• If applicable, a copy of the formal Federal
  agency authorization to initiate consultation as
  the applicant for Federal funding, licensing,
  permitting, or approval.
•  
• Yes_________ No_________

124
Questions

• The size of the undertaking in acres.
•  
• Yes_________ No_________

125
Questions

• The size, terrain, and present land uses of the
  proposed Area of Potential Effects ((APE)
  (36CFR800.16)), as well as that of adjacent land.
  
•  
• Yes_________ No_________

126
Questions

• The type and level of Federal involvement
• Funding, Licensing, Permitting, Approving.
•  
• Yes_________ No_________

127
Questions

• A project narrative
• that describes the undertaking
• in enough detail
• to enable a cold reader unfamiliar with the scope
  of the undertaking or its location
• to gain a full understanding of the undertaking
• and all of its elements
• and their potential to affect directly and
  indirectly any Historic Properties
• within the proposed Area of Potential Effects 
• Yes_________ No_________

128
Questions
The project narrative should begin with a ONE
PARAGRAPH ABSTRACT, and should BRIEFLY specify
the underlying purpose and need to which the
agency is responding in proposing the
undertaking. Yes_________ No_________
129
Questions
The project narrative should specify the Project
Type Road/Highway Construction or Improvements,
Demolition, Rehabilitation, Addition to Existing
Building/Structure, New Construction,
Utilities/Infrastructure, Other Ground
Disturbance, etc..        Yes_________
No_________
Georgia Historic Preservation Division
Environmental Review Form
130
Questions

• The project narrative should make note of and
  describe any Historic Properties (both
  architectural and archaeological) previously
  identified plus any potential Historic Properties
  located within the proposed Area of Potential
  Effects that might be affected directly and
  indirectly. 
• Yes_________ No_________

131
LIST YOUR SUGGESTED CONSULTING PARTIES IN YOUR
INITIAL TENNESSEE SHPO REVIEW REQUEST
132
    (f) IDENTIFY OTHER CONSULTING PARTIES. In
consultation with the SHPO, the agency official
shall identify any other parties entitled to be
consulting parties and invite them to participate
as such in the Section 106 process. The agency
official may invite others to participate as
consulting parties as the Section 106 process
moves forward
133
Consultation

• A preliminary list of Consulting Parties that the
  agency or applicant has recommended to
  participate in consultation relative to the
  undertaking.
• Yes_________ No_________

134
Consultation

• Remember! Consulting Parties include
• State Historic Preservation Officers
• Tribal Historic Preservation Offices ON TRIBAL
  LANDS
• Tribes and Native Hawaiian organizations OFF
  TRIBAL LANDS
• Representatives of local governments
• Applicants for Federal assistance
• Property owners
• Groups and individuals with standing

135
A Current List of Federally Recognized
Tribes http//www.tn.gov/environment/hist/pdf/appe
xd.pdf Consulting Archaeologists Working In
Tennessee http//www.tn.gov/environment/hist/pdf/a
rchaeol.pdf Tennessee Division of
Archaeology http//www.tn.gov/environment/arch/ T
ennessee County Historians http//tn.gov/tsla/hist
ory/misc/historians.htm Tennessee Certified
Local Government Contacts http//www.tn.gov/enviro
nment/hist/pdf/clg_list.pdf
136
Consultation

• Remember! CONSULTING PARTIES do not usually
  include
• The Advisory Council on Historic Preservation
  (may be specifically invited to participate or it
  may request to participate subject to Appendix
  A of the 36 CFR Part 800 regulation)
• People or groups that do not have standing
• The Public

.
137
THE QUAD MAP
138
PROVIDE THE TENNESSEE SHPO WITH AN 8 ½ X 11
TRUE-TO-SCALE COPY OF A 1-24000 SCALE USGS 7 ½
MINUTE SERIES TOPOGRAPHIC MAP SECTION
139
WITH THE UNDERTAKINGS APE CLEARLY BOUNDED ON IT
AND INDICATING ALL ITS CONSTITUENT PARTS
140
THE TENNESSEE SHPO SITE FILE MAPS ARE 1-24000
SCALE USGS 7 ½ MINUTE SERIES
141
Questions

• A USGS 7 1/2 minute series (1 TO 24,000 scale)
  topographic quadrant map (NOT MapQuest, TopoZone,
  Google, or Yahoo Maps) clearly indicating the
  boundary of the undertaking, the location of all
  undertaking elements, and the undertakings
  suggested Area of Potential Effects (800.4).
•  
• Yes_________ No_________

142
  WHAT IS A U. S. GEOLOGICAL SURVEY 7 1/2 MINUTE
SERIES/1 TO 24,000 SCALE TOPOGRAPHIC MAP AND WHY
IS IT IMPORTANT TO USE THIS KIND OF MAP WHEN
PREPARING A DOCUMENT TO SEND TO THE SHPO AND
OTHER CONSULTING PARTIES?
143
7 1/2 MINUTE SERIES/1 TO 24,000 SCALE TOPOGRAPHIC
MAP
The United States Department of the Interior,
Geological Survey (USGS) sometimes with the
help of other agencies - prepares and issues
topographic maps that record the land area of the
United States. They are referred to as 7 1/2
minute series maps because they document seven
and one half minutes of latitude and longitude.
These maps are also referred to as 124000 scale
maps.
144
(No Transcript)
145
7 1/2 MINUTE SERIES/1 TO 24,000 SCALE TOPOGRAPHIC
MAP
These maps accurately show landforms, contour
intervals, watercourses, geographical boundaries,
and manmade features such as buildings, roads,
railroads, et cetera. Most cultural resources
site surveys use USGS 7 ½ minute quadrant
topographic maps to locate their findings. Most
State Historic Preservation Officers and Tribal
Historic Preservation Officers use these types of
maps as well to record the locations of
properties that have been previously surveyed for
National Register eligibility. That means that
this type of map is the industry standard.
146
7 1/2 MINUTE SERIES/1 TO 24,000 SCALE TOPOGRAPHIC
MAP

• USGS 7.5 minute topographic maps may be ordered,
  downloaded or printed from the Internet at the
  following locations
• Tennessee State Division of Geology, or
• The United States Geological Survey website
  free

147
What are you documenting on this topographic map?
THE UNDERTAKINGS AREA OF POTENTIAL EFFECTS
148
Area of Potential Effects

• Area of potential effects means the geographic
  area or areas within which an undertaking may
  directly or indirectly cause alterations in the
  character or use of historic properties, if any
  such properties exist.

149
MORE INITIAL SHPO REVIEW REQUEST DOCUMENTATION
150
Questions

• Other suitably scaled maps or site plans as
  necessary to depict the extent of the undertaking
  and its locational relationship to its
  surroundings and environment.
•  
• Yes_________ No_________

151
AND
152
Questions

• Original, current GROUND LEVEL/NOT AERIAL high
  resolution, color, digital photographs of the
  undertakings Area of Potential Effects.  
• Yes_________ No_________

153
The photography should document not only the
project area, but also any adjacent properties
that are within the APE If the APE includes
buildings or structures, please include clear
views of each. All photography should be keyed
to a site map and project plans (as applicable).
Photographs should be individually numbered, and
corresponding numbers should be placed on the map
or site plan, showing location and direction of
view. Should your project entail the alteration
of existing historic structures, please provide
photographs of existing conditions of sites,
buildings and interior areas to be impacted.
Georgia Historic Preservation Division
Environmental Review Form
154

• Original chemical or digital photographs of the
  undertakings proposed Area of Potential Effects
  must be numbered and clearly keyed to one of the
  above maps or site plans (Tennessee State
  Historic Preservation Office, Review and
  Compliance Section, Photographic Policy Standards
  and GuidelinesInitial Request, 2011). ______

Excerpted from National Register Photo Policy
Factsheet Office of the Keeper of the National
Register of Historic Places, 2008
155
Federal agencies and applicants for Federal
assistance must provide photographic
documentation to accompany their Section 106
review requests. This photographic documentation
must comply with the following Policy Standards
and Guidelines.   1. Buildings, structures, and
objects   a. Submit photographs showing the
principal facades and the setting in which the
property is located. Additions, alterations,
intrusions, and dependencies should appear in the
photographs.   b. Include views of interiors,
outbuildings, landscaping, or unusual features if
they contribute to the significance of the
property. 
156
 2. Historic and archeological sites   a. Submit
photographs showing the condition of the site and
any above-ground or surface features and
disturbances.   b. If relevant to the evaluation
of significance, include drawings or photographs
illustrating artifacts that have been removed
from the site.   c. At least one photograph must
show the physical environment and topography of
the site.
157
 3. Architectural and Historic Districts (key all
photographs to the sketch map for the
district)   a. Submit photographs showing major
building types and styles, pivotal buildings and
structures, and representative noncontributing
resources.   b. Streetscapes and landscapes are
recommended. Aerial views may also be useful.
Views of significant topographic features and
spatial elements should also be submitted. c.
Views of individual buildings are not necessary
if streetscape views clearly illustrate the
significant historical and architectural
qualities of the district.
158
4. Archeological Districts   a. Submit
photographs of the principal sites and site types
within the district following the guidelines for
archaeological sites (see above).   5. Selecting
a Digital Camera   Six megapixel or greater
digital SLR camera   6. Taking the Picture   Tag
Image File format (TIFF) or RAW format images.
Six megapixels or greater (2000 x 3000 pixel
image) at 300 dpi
159
7. Printing the Images   a. No more than two
images per 8 ½ X 11 page   b. Manufacturer
recommended ink for photograph printing - some
examples   1. Epson UltraChrome K3 2. Kodak No.
10 Pigmented Inks 3. HP Vivera Pigment Inks 4.
Epson Claria Hi-Definition Inks 5. Epson
DuraBrite Ultra Pigmented Inks 6. HP Vivera 95
dye-based inks
160
8. Examples of acceptable photo label place
below photograph   a. Name of Property b.
Street Address c. City or Vicinity d.
County e. State f. Date of Photograph
161
AND
162
Questions

• Any available information including DATES OF
  CONSTRUCTION of buildings either inside the
  undertaking footprint or within view or sound of
  the undertaking (Area of Potential Effects) (NOT
  THE DATES WHEN NEW CONSTRUCTION WILL BEGIN).
•  
• Yes_________ No_________

163
AND
164
Questions

• Any required forms specified by a particular
  Federal agency such as FCC Form-620 and FDIC
  Request for Cultural Resources Review.
•  
• Yes_________ No_________

165
AND
166
Questions

• A request for any data or information from the
  Tennessee SHPO concerning known Historic
  Properties located within the undertakings Area
  of Potential Effects.
•  
• Yes_________ No_________

167
NPS Focus allows you to search the National
Register Information System a database of over
85,000 historic buildings, districts, sites,
structures and objects listed on the National
Register of Historic Places. The information is
downloadable in a variety of formats, including
simplified versions of the data.
http//nrhp.focus.nps.gov/natreg/docs/Download.htm
l
168
Reality Check

• The Tennessee State Historic Preservation Office
  requires this level of documentation at minimum
  for initial project review. So, do not proceed
  until you have answered all the preceding
  questions Yes.

169
FORMALLY IDENTIFY OTHER CONSULTING PARTIES
170
The Tennessee State Historic Preservation Office
is required under the 36 CFR 800 Regulation to
respond to a Federal agencys direct consultation
request or a duly certified applicants review
request within thirty days. The agency and State
Historic Preservation Office then should consult
together to identify other appropriate Consulting
Parties (800.16(f), 800.3(c), 800.3(f),
800.3(f)(1) and 800.3(f)(2)). The Federal agency
should invite all agreed-upon Consulting Parties
to participate in the consultation process. The
Federal agency should take the views of all
Consulting Parties into account. Consultation
with all Consulting Parties runs through the
entire Section 106 review process.
171
Consultation

• 3. You must now confirm your selection of other
  Consulting Parties with the help of the
  Tennessee State Historic Preservation Officer
•  
• You and the Tennessee SHPO consult together to
  identify ALL appropriate Consulting Parties, if
  any, (800.16(f), 800.3(c), 800.3(f), 800.3(f)(1)
  and 800.3(f)(2)).

172
Consultation

• 4. You must also consider at this point if, what
  types, and how some project-related locational
  information should be made to remain
  confidential. This is particularly true of
  archaeological sites identified during the
  initial review process.
• MORE ABOUT CONFIDENTIALITY CONCERNS LATER

173
MORE ABOUT IDENTIFYING OTHER CONSULTING
PARTIES 36 CFR 800.2
174
Consultation
    (1) Involve local governments and applicants.
The agency official shall invite any local
governments or applicants that are entitled to be
consulting parties under Sec. 800.2(c).
Yes_________ No_________
175
Consultation
    (2) Involving Indian tribes. The agency
official shall make a reasonable and good faith
effort to identify any Indian tribes that might
attach religious and cultural significance to
historic properties in the area of potential
effects and invite them to be consulting parties.
Such Indian tribe that requests in writing to be
a consulting party shall be one Yes_________
No_________
176
Consultation
    (3) Requests to be consulting parties. The
agency official shall consider all written
requests of individuals and organizations to
participate as consulting parties and, in
consultation with the SHPO, determine which
should be consulting parties Yes_________
No_________
177
Questions

• 36 CFR Part 800.2 lists Consulting Parties as
•  
• Additional State Historic Preservation Offices
  (Undertakings in multiple states). _____
•  
• Additional Tribal Historic Preservation Officers
  on tribal lands. _____
•  
• Additional Indian tribes and Native Hawaiian
  organizations that retain cultural and religious
  interests off tribal lands. _____

178
Questions

• Additional Representatives of local governments.
  _____
•  
• Additional Applicants for Federal assistance,
  permits, licenses and other approvals. _____
•  
• Additional Federal agencies_____

179
Questions

• Certain additional individuals and organizations
  such as affected property owners with a
  demonstrated interest in the undertaking may
  participate as Consulting Parties due to the
  nature of their legal or economic relation to the
  undertaking or affected properties, or their
  concern with the undertaking's effects on
  Historic Properties. _____

180
Questions

• In rare instances, the Advisory Council on
  Historic Preservation may participate if invited
  or if it desires to participate under 36 CFR 800
  Appendix A. _____

181
Reality Check

• Remember, consultation with all Consulting
  Parties runs through the entire Section 106
  review process.
• Do not proceed until all of the preceding
  questions are answered Yes.

182

• AS YOU ARE CONSULTING WITH THE SHPO AND
  IDENTIFIED CONSULTING PARTIES, WHAT ELSE SHOULD
  YOU DO?

183
Questions

• Possible, not required
• Are you planning to coordination Section 106
  review with other Federal environmental reviews?
•  
• Yes_________ No_________

184
Questions

• Possible, not required
• Are you planning to develop a common set of
  project documents that satisfies the stated
  documentation needs of all pertinent review
  authorities including the State Historic
  Preservation Office?
•  
• Yes_________ No_________

185
EXPEDITING CONSULTATION WITH THE SHPO AND OTHER
CONSULTING PARTIES
186
Consultation
    (g) EXPEDITING CONSULTATION. A consultation
by the agency official with the SHPO and other
consulting parties may address multiple steps in
Secs. 800.3 through 800.6 where the agency
official and the SHPO agree it is appropriate as
long as the consulting parties and the public
have an adequate opportunity to express their
views as provided in Sec. 800.2(d).
187

• WHILE YOU ARE CONSULTING WITH THE SHPO, WHAT ELSE
  SHOULD YOU BE DOING?

188
PLAN TO INVOLVE THE PUBLIC
189
    (e) PLAN TO INVOLVE THE PUBLIC. In
consultation with the SHPO, the agency official
shall plan for involving the public in the
Section 106 process. The agency official shall
identify the appropriate points for seeking
public input and for notifying the public of
proposed actions, consistent with 36 CFR 800.
190
The Federal agency involves the public in the
Section 106 process (800.3(e), 800.2(d)(1) and
800.11(c)). As is the case with Consulting
Parties, the Federal agency should consult with
the State Historic Preservation Officer
respecting a method for involving the public.
This method should demonstrate a good faith
attempt to take the publics views on
preservation issues into account.
191
In arriving at this method, the Federal agency
should consider           The nature and
complexity of the undertaking           The
nature and complexity of its potential effects
upon Historic Properties           The amount
and nature of likely public interest          
Concerns relative to the confidentiality of
information produced because of the consultation,
identification, evaluation, and protection
process.
192
The Regulation expects the Federal agency to
offer basic information to the public throughout
the process relative to           The existence
of Historic Properties within the undertakings
Area of Potential Effects (but not necessarily
their exact location)           The general
nature of the potential for project effect upon
these Historic Properties
193
Certainly and within reason, the Federal agency
may use its existing procedures for informing the
public based upon Federal law, regulation, policy
document, or the particular agencys unique
corporate culture. Such procedures should be
consistent with proper identification of Historic
Properties within the projects Area of Potential
Effects and evaluation of project effect.
Remember, consultation with the public runs
through the entire Section 106 process.   The
Regulation allows the public on its own to offer
its views on the boundary of an Area of Potential
Effects, the National Register eligibility of
properties within it and the effect of the
undertaking upon them (800.2(d)(2) and
800.2(d)(3)) to the State Historic Preservation
Office, other Consulting Parties, and the
Council, even without a Federal agency invitation
to do so.
194
You are nearing completion of Step One.
195
PRACTICE SCENARIO
196

• Read the Scenario
• 2. Answer the Questions
• 3. Check Your Answers

197
The Huey County Highway Department plans to use
funds from the Federal Emergency Management
Agency to repair the 1945 concrete, wood, and
steel bridge over the Frog Suck River. The
bridge was severely damaged by the Shonuff
Flood (Flood 714) that crested the river last
May. The County plans to replace broken, bent, or
washed away decking, rails, and I-beam
underpinnings and do extensive re-grading and
re-paving of the approaches on both sides of the
river. The County has hired the engineering firm
of Dewey, Swim n Lake (DSW) to facilitate
completion of environmental review, including
Section 106 review. DSW has contacted the Grace
State Historic Preservation Office to begin
Section 106 consultation, and has submitted
preliminary documentation to the Mudpuppy Tribe
of Indians as well.
198
 Please take pen and paper and answer the
following questions based upon the information
you have and your understanding of Step One.   Is
the project under review an "Undertaking" as
defined in the Act and in the Regulation?   What
is the Federal agency's mission as demonstrated
in the project under review?   What is the
projects possible Area of Potential Effects as
defined in the Act and in the Regulation? What
is the size and nature of the undertaking as
defined in the 36 CFR Part 800 Regulation?   What
is the appropriate degree of Federal involvement
as defined in the Regulation? 
199
  What is the likelihood of finding Historic
Properties within the Area of Potential Effects?
  What is the nature and extent of potential
effects to Historic Properties as defined in the
Criteria of Adverse Effect?   Who is the
appropriate State Historic Preservation
Officer/Tribal Historic Preservation
Officer?   How do you plan to involve the
public?   Who are the other likely Consulting
Parties?    
200
ANSWERS
201

• Is the project under review an "Undertaking" as
  defined in the Act and in the Regulation?
• YES!
• FEDERALLY FUNDED IN WHOLE OR PART
• POSSIBLE NEED FOR FEDERAL PERMITS
• MIGHT AFFECT HISTORIC PROPERTIES BRIDGE -
  APPROACHES

202
What is the Federal agency's mission as
demonstrated in the project under review? REPAIR
OR REPLACE PUBLIC INFRASTRUCTURE DAMAGED OR
DESTROYED BY NATURAL DISASTERS.
203
What is the projects possible Area of Potential
Effects as defined in the Act and in the
Regulation? THE BRIDGE STRUCTURE AND APPROACHES
204

• What is the size and nature of the undertaking as
  defined in the 36 CFR Part 800 Regulation?
• BRIDGE RECONSTRUCTION AND REPAIR
• GROUND DISTURBENCE ASSOCIATED WITH APPROPAH WORK
• RE-PAVING APPROACHES

205
What is the appropriate degree of Federal
involvement as defined in the Regulation?  MODERA
TE - FEDERAL FUNDING PASS THROUGH TO COUNTY
APPLICANT, WHO, THROUGH DSl, IS MOVING THROUGH
SECTION 106 REVIEW
206

• What is the likelihood of finding Historic
  Properties within the Area of Potential Effects?
• MODERATE
• THE BRIDGE MAY BE NATIONAL REGISTER ELIGIBLE
• THERE MAY BE ARCHAEOLOGICAL RESOURCES WITHIN THE
  APPROACHES

207

• What is the nature and extent of potential
  effects to Historic Properties as defined in the
  Criteria of Adverse Effect?
• HIGH REPAIRING THE BRIDGE MAY CAUSE OUT OF
  CHARACTER CONSTRUCTION ELEMENTS TO BE PLACED UPON
  IT
• APPROACH WORK MAY DISTURB ARCHAEOLOGICAL RESOURCES

208

• Who is the appropriate State Historic
  Preservation Officer/Tribal Historic Preservation
  Officer?
• THE STATE OF GRACE SHPO
• AUTHORIZED REPRESENTATIVE OF THE MUDPUPPY TRIBE

209

• How do you plan to involve the public?
• PUBLIC NOTICE IN LOCAL NEWSPAPER
• POSSIBLE PUBLIC MEETING IF NECESSARY

210

• Who are the other