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

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THE FOUR STEP SECTION 106 PROCESS STEP
TWOTENNESSEE STATE HISTORIC PRESERVATION
OFFICEREVIEW AND COMPLIANCE SECTION
All reproduction rights reserved
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What follows is a presentation text in PowerPoint
format. It is being presented that way because
the staff of the Tennessee State Historic
Preservation 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.
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INTRODUCTION
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Step Two
Identify Historic Properties
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Identify Historic Properties

• Determine Scope of Efforts
• Identify Historic Properties
• Evaluate Historic Significance

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Questions You Should Answer Before Beginning
Consultation
Step Two Every Undertaking Must Pass Through
This Step
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Step Two Identify Historic Properties

• What is the Federal agencys scope of effort for
  this project as defined in the Regulation (Area
  of Potential Effects)?
• How will Historic Properties be identified?

8
Questions

• How will Historic Properties be evaluated?

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DETERMINE SCOPE OF IDENTIFICATION EFFORTS
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When determining a Scope of Effort, the Federal
agency should take into account the following
aspects of its undertaking (800.4 (b)(1) and
800.11(c))           the size and nature of
the undertaking           the degree of Federal
involvement in the undertaking           the
nature and likely location of Historic Properties
within the footprint of and adjacent to the
undertaking
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        past Historic Preservation related
studies of the vicinity of the undertaking       
    applicable standards and guidelines published
by the State Historic Preservation Office and
other appropriate agencies           the views
of Consulting Parties           confidentiality
concerns having to do with sensitive locational
information of burial sites, archaeological
sites, and traditional cultural properties
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The Federal agency should balance all these
concerns when defining a projects Area of
Potential Effects and identifying Historic
Properties potentially affected. For example,
the degree of direct Federal involvement in an
undertaking may be minimal (no direct funding),
but the nature of the undertaking (Federal
Communications Commission licenses for cellular
communications facilities and antenna structure
registrations for example) may be inordinately
impactful. This is true in this particular case
because of the likelihood of Historic Properties
being identified within project Areas of
Potential Effects that would be visually affected
by out of character with the landscape cellular
towers.
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Federal undertakings have both direct and
indirect effects. That is, effects may be both
direct and immediate and secondary and cumulative
over time. Under the Regulation, Federal
agencies should apply the if but for rule as
they resolve a particular undertakings ultimate
and foreseeable Area of Potential Effects. For
example, a Federal agency receives an application
for a permit to build a large marina out from the
shore of a lake in conjunction with the
construction of an adjacent condominium
development and golf course. The agency is
required, in establishing the undertakings
immediate and foreseeable Area of Potential
Effects, to determine whether the marina is
essential to the condominium and golf course
development.
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A standard operating procedure for making such a
determination involves reviewing the condominium
and golf course development site plan to decide
whether the marina is among its charted and
marketed programmatic elements. If the Federal
agency determines after a good faith analysis
that the successful marketing of the condominium
and golf course development is directly dependent
upon the construction of the marina, then the
Area of Potential Effects of the undertaking
should include both the marina and the
condominium and golf course development.
Experience dictates that the marina has the
potential directly to affect archaeological
Historic Properties along the lakeshore and
indirectly to affect archaeological and
architectural Historic Properties disturbed or
visually affected during the construction of the
condominium and golf course development. If the
successful marketing of the condominium and golf
course development does not directly depend upon
the marina, the Area of Potential Effects then
includes only the marina footprint.
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Here is another example. A Federal agency
receives a request to fund the installation of an
underground water line stretching from the
community water treatment plant to a proposed
industrial park a few miles away. In defining
the project Area of Potential Effects, the
Federal agency should test the proposed
industrial park against the if but for rule.
If the industrial park is dependent for its
existence upon the water line, then the projects
Area of Potential Effects includes both the route
of the water line and the site of the industrial
park. If the industrial park could reasonably be
expected to function without the new water line
(most unlikely), then the Area of Potential
Effects would only include the route of the line.
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The if but for rule is a direct result of the
concept of secondary, cumulative, and foreseeable
project effect. Because the Regulation states
very clearly that any Federal undertaking may
have both direct and indirect (secondary,
cumulative, and foreseeable) effects, then
Federal agencies should apply the if but for
rule as a matter of course when deciding upon
Areas of Potential Effects.   Agencies that do
not take both direct and indirect effects into
account when deciding upon their Areas of
Potential Effects risk charges of noncompliance
and resultant litigation. Such agencies also
risk State Historic Preservation Office findings
of foreclosure of an opportunity meaningfully to
comment.
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Scope of Efforts
   (a) DETERMINE SCOPE OF IDENTIFICATION EFFORTS.
In consultation with the SHPO, the agency
official shall
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Scope of Efforts
    (1) Determine and document the area of
potential effects, as defined in Sec. 800.16(d)
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AREA OF POTENTIAL EFFECTS (APE)
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AREA OF POTENTIAL EFFECTS (APE)

• 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 _____
• The APE is influenced by
• the scale and nature of an undertaking _____
• may be different for different kinds of effects
• caused by the undertaking _____

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• geographic area or areas
• (This is a BOUNDED AREA on a USGS quadrant
  124000 scale 7 ½ minute series topographic map.)

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within which an undertaking MAY
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• DIRECTLY OR INDIRECTLY cause ALTERATIONS
• (Directly or Indirectly Immediate OR
  Foreseeable AND Cumulative
• Alterations Change, Modification, or
  Adjustment)

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• in the CHARACTER or USE
• (Character The combination of qualities or
  features that distinguishes one thing from
  another.
• Use The purpose for which something is
  used.)

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of Historic Properties
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if any such properties exist.
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APE COMPOSIT DEFINITION
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A BOUNDED AREA ON A USGS TOPOGRAPHIC MAP WITHIN
WHICH AN UNDERTAKING MAY CHANGE, MODIFY, OR
ADJUST EITHER THAT COMBINATION OF QUALITIES OR
FEATURES THAT DISTINGUISHES ONE HISTORIC PROPERTY
FROM ANOTHER OR THE PURPOSE FOR WHICH THE
HISTORIC PROPERTY HAS BEEN USED TRADITIONALLY
EITHER IMMEDIATELY, CUMULATIVELY, OR WITHIN THE
FORESEEABLE FUTURE.
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SO FAR, YOU HAVE NOT YET BEEN EXPECTED TO
STIPULATE WHETHER THAT CHANGE, MODIFICATION, OR
ADJUSTMENT IS SALUTARY OR DESTRUCTIVE TO HISTORIC
PROPERTIES.
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THAT GETS SETTLED LATER IN THE PROCESS THROUGH
CONSULTATION.
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The location of the project APE is influenced by
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the SCALE and NATURE of an undertaking SCALE
The GRADATION of the undertaking (LIGHT
Federal involvement to HEAVY Federal involvement
) and the SIZE of the undertaking itself (LARGE,
MEDIUM, or SMALL AREA)
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the SCALE and NATURE of an undertaking NATURE
The particular COMBINATION OF QUALITIES
belonging to the undertaking (i.e. demolition,
ground disturbance, construction, etc.)
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• The boundary of the APE may be DIFFERENT for
  different kinds of effects caused by the
  undertaking. There is an
• Architectural APE
• Archaeological APE

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THE AGENCY OFFICIAL SHALL ESTABLISH AND PLOT THE
PROJECTS APE ON THE APPROPRIATE TOPOGRAPHIC MAP
USING THESE METRICS
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THE AGENCY OFFICIAL SHALL REVIEW EXISTING
INFORMATION, SEEK INFORMATION, AND, GATHER
INFORMATION ON HISTORIC PROPERTIES LOCATED WITHIN
THE AREA OF POTENTIAL EFFECTS
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Scope of Efforts
    (2) Review existing information on historic
properties within the area of potential effects,
including any data concerning possible historic
properties not yet identified
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Scope of Efforts
    (3) Seek information, as appropriate, from
consulting parties, and other individuals and
organizations likely to have knowledge of, or
concerns with, historic properties in the area,
and identify issues relating to the undertaking's
potential effects on historic properties and
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Scope of Efforts
    (4) Gather information from any Indian tribe
identified pursuant to Sec. 800.3(f) to assist in
identifying properties, including those located
off tribal lands, which may be of religious and
cultural significance to them and may be eligible
for the National Register, recognizing that an
Indian tribe may be reluctant to divulge specific
information regarding the location, nature, and
activities associated with such sites. The agency
official should address concerns raised about
confidentiality pursuant to Sec. 800.11(c)
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HOW WILL YOU ASSEMBLE EXISTING INFORMATION ON
KNOWN HISTORIC PROPERTIES WITHIN THE BOUNDARY OF
THE AREA OF POTENTIAL EFFECTS AND SEEK MORE
INFORMATION FROM CONSULTING PARTIES?
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Scope of Efforts
You or your cultural resources staff or
consultant reviews the current architectural and
archaeological site files of the Tennessee State
Historic Preservation Office and any other state
repository of such files such as the Tennessee
State Division of Archaeology or academic
institution that maintains archaeological files.
Then, you consult with all other consulting
parties to learn what they may know about
historic properties located within the area of
potential effects. Tribes and other consulting
parties may have developed their own definitions
of project areas of potential effects based upon
the presence of properties of religious and
cultural significance to them.
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Scope of Efforts
When all consulting parties have responded or had
a reasonable opportunity to respond, you collate
all the accumulated data and use it to inform
your decisions about the existence of historic
properties in the area of potential effects.
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Why do you
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Scope of Efforts

• 1. Determine Scope of Efforts
•  
• A. Define the Area Of Potential Effects.
• B. Define the degree of Federal involvement in
  the undertaking.
• C. Define the nature and likely location of
  Historic Properties within the footprint of and
  adjacent to the undertaking.

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Scope of Efforts

• A. Define the Area Of Potential Effects. Why?
• You do all this to ensure you will locate all
  potential Historic Properties that might be
  affected by your undertaking
• RISK MANAGEMENT

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Scope of Efforts

• B. Define the degree of Federal involvement in
  the undertaking. Why?
• To ensure you apply the correct amount of
  research and consultation to identify and
  evaluate potential Historic Properties within the
  APE
• RISK MANAGEMENT

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Scope of Efforts

• C. Define the nature and likely location of
  Historic Properties within the footprint of and
  adjacent to the undertaking. Why?
• To ensure you have evaluated the National
  Register eligibility of all those properties you
  have located within the APE.
• RISK MANAGEMENT

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SECTION 106 CHECKLIST
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How Do You
Define an Area of Potential Effects?
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Area of Potential Effects

•   A. Define the Area Of Potential Effects
•  
• You should define the undertakings formal Area
  of Potential Effects in consultation with the
  Tennessee State Historic Preservation Office
  (800.16(d), 800.4(a) and 800.2(c)(3)(iv)) and in
  consultation with all other appropriate
  Consulting Parties

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Area of Potential Effects

• When determining an Area of Potential Effects,
  you should take into account the following
  aspects of the undertaking (800.4(b)(1) and
  800.11(c))

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Questions

• the size and nature of the undertaking
•  
• How LARGE an area (acres, miles, etc,) are you
  proposing for your undertaking?  _________

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Questions

• What is the NATURE of your undertaking? What are
  you planning to do there?_________________________
  __________________________

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Area of Potential Effects

• Remember! Your undertaking will have the
  potential for both direct and indirect effects to
  Historic Properties.

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Area of Potential Effects

• Typical Types of Effects
• (BOTH direct and indirect)

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Questions

• Destruction/damage/demolition_____
• Alteration through new construction_____
• Removal/ground disturbance______
• Change in setting______

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Questions

• Isolation from surroundings_______
• Introduction of new environmental elements_______
• Neglect_______
• Transfer, lease, or sale_______

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Questions

• What are the possible direct effects of your
  undertaking? _____________________________________
  __________________________________________________
  __________________________________________________
  ______________________

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Questions

• What are the possible indirect effects of your
  undertaking (cumulative, foreseeable, later in
  time, farther removed in distance)? ______________
  __________________________________________________
  __________________________________________________
  _____________

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Questions

• B. Define the degree of Federal involvement in
  the undertaking
•  
• What is the degree of Federal involvement?
•  
• Funding __________(high)
• Licensing ____________(medium)
• Permitting _____________(medium)
• Approving _____________(low)

.
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Questions

• What is the degree of Federal involvement?
• On Federal property _____(high)
• Off Tribal Lands _____ (medium)
• Off Federal property _____(medium)

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Area of Potential Effects

• C. Define the nature and likely location of
  Historic Properties within the footprint of and
  adjacent to the undertaking

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Questions

• the likely nature of Historic Properties (36 CFR
  Part 60) Are there known National Register of
  Historic Places listed or eligible
• Districts_____
• Sites_____
• Buildings_____
• Structures_____
• Objects_____

.
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Questions
likely location of Historic Properties within the
footprint of and adjacent to (within sight or
sound of) the undertaking Likely_________
Unlikely_________
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HOW DO YOU KNOW?
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Questions

• Do you know of any previously-identified Historic
  Properties located within the boundary of your
  undertaking or close to it?
•  
• Yes_______ No______
• Dont Know_____

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Questions

• Did you check with the Keeper of the National
  Register?
• http//www.nps.gov/history/nr/index.htm
•  
• Yes_________ No_________

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Questions

• Did you check with the Tennessee SHPO National
  Register staff?
• Yes_________ No_________

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Questions

• Did you check with the other Consulting Parties?
• Yes_________ No_________

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Questions

• Do you know of past Historic Preservation
  related studies of the vicinity of the
  undertaking
•   
• Yes_________ No_________
• Dont Know_____

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Questions

• Do you know the applicable survey standards and
  guidelines published by the State Historic
  Preservation Office and other appropriate
  agencies
•  
• Have you located any such standards?
•  
• Yes_________ No_________

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Questions

• Do you know the initial views of Consulting
  Parties concerning National Register eligible
  properties and the boundaries of the Area of
  Potential Effects?
• Yes_________ No________
•  

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Reality Check

• If No,, then do not proceed until you have
  formally asked for the initial views of all other
  Consulting Parties.

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Questions

• Do you know of any confidentiality concerns
  having to do with sensitive locational
  information of burial sites, archaeological
  sites, and traditional cultural properties 
•  
• Yes_________ No_________

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Confidentiality Concerns
What limits do the NHPA, and 36 CFR Part 800, and
the U. S. Supreme Court impose upon the
information gathered during Section 106 review
that is openly available to the public?
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Confidentiality Concerns
Section 304 of the NHPA says that, the head of a
federal agency or other public official receiving
grant assistance pursuant to this Act, after
consultation with the Secretary of the Interior,
shall withhold from disclosure to the public,
information about the location, character, or
ownership of a historic resource if the Secretary
and the agency decide that disclosure may
  (a) cause a significant invasion of
privacy   (b) risk harm to the historic
resource or   (c) impede the use of a
traditional religious site by practitioners.
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HOWEVER
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Confidentiality Concerns
The 36 CFR Part 800.2(d)(2) regulation states
The agency official must, except where
appropriate to protect confidentiality concerns
of affected parties, provide the public with
information about an undertaking and its effects
on historic properties and seek public comment
and input.
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Confidentiality Concerns
Please note the clearly stated regulatory
exception relating to confidentiality concerns
defined at Section 304 of the NHPA involving
public access.
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Confidentiality Concerns

• Legitimate concerns in Congress disclosure of
  sensitive historic property locational
  information to the public would
• contend with private property rights
• draw unwanted attention from looters of
  significant archaeological sites
• hamper legitimate protection of traditional
  religious sites

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Confidentiality Concerns
In Pell v. Procunier (1974) the United States
Supreme Court found that the press did not have a
constitutional right of access greater than that
allowed to the public. The Court stated that the
press and the public are regularly excluded from
grand jury proceedings, judicial conferences,
crime scenes, disaster scenes, meetings of some
official bodies, and meetings of private
organizations. According to the finding, the
Constitution does not impose upon government the
affirmative duty to make available to journalists
sources of information not available to members
of the public generally.
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Confidentiality Concerns
Therefore, any consultation meeting held as the
result of a Section 106 case where there is a
reasonable expectation that sensitive prehistoric
or historic archaeological properties or
sensitive traditional cultural properties will be
discussed and/or located on a map will be closed
both to the public and the press, and to all
others who do not have clear standing as
consulting parties as defined at 36 CFR Part
800.2.
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Confidentiality Concerns
To preserve press and public freedom of
information about the undertaking, members of the
press and the public must be offered ample
occasion during scheduled public meetings to hear
in general terms from the agency official about
the project under discussion and to enter their
concerns into the public record.
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Reality Check

• Do not move further until you have made a good
  faith effort to answer all the preceding
  questions.

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APE CONSULTATION WITH THE SHPO
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APE consultation with the SHPO

• Now that you have gathered all the necessary
  documentation on the undertakings APE, you
  should submit it to the Tennessee SHPO.

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APE consultation with the SHPO

• The APE consultation documentation you should
  send to the Tennessee SHPO is similar to that
  which you submitted with your initial review
  request.

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Reality Check

• If you have previously consulted on an APE with
  the Tennessee SHPO informally, you may combine
  initial review and APE review in one step.

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APE Consultation with the SHPO
But, if not, prepare the following documents for
submittal to the Tennessee SHPO
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APE Consultation with the SHPO

• A letter requesting Section 106 review of your
  undertakings proposed Area of Potential Effects
• Yes_________ No_________

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APE Consultation with the SHPO

• (a) The name of the federal agency funding,
  licensing, or permitting your undertaking. _____
• (b) The name, address, and telephone number of
  the applicant for federal funding, licensing, or
  permitting. _____
• (c) The street address, city, and county of the
  undertaking. _____
• (d) A list of Consulting Parties invited to
  participate in consultation relative to the APE.
  _____

.
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APE Consultation with the SHPO

• (e) A USGS 7 1/2 minute topographic map (be sure
  to include the name of the map) clearly
  indicating the boundary of the undertaking, the
  location of all undertaking elements, and the
  undertakings proposed Area of Potential Effects.
  _____
• (f) 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. _____

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APE Consultation with the SHPO

• (g) A narrative which describes the undertaking
  in sufficient detail to enable a reader
  unfamiliar with 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. _____

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APE Consultation with the SHPO

• (h) Original chemical or digital photographs of
  the undertakings proposed Area of Potential
  Effects that are 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
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APE Consultation with the SHPO
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. 
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APE Consultation with the SHPO
 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.
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APE Consultation with the SHPO
 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.
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APE Consultation with the SHPO
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
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APE Consultation with the SHPO
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
100
APE Consultation with the SHPO
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
101
APE Consultation with the SHPO

• (i) Any available information including dates of
  construction of buildings either inside the
  undertaking footprint or within view or sound of
  the undertaking. Be sure to include photographs
  of buildings within the undertakings proposed
  Area of Potential Effects. _____

102
HOW DO YOU ENSURE YOU HAVE IDENTIFIED ALL
POTENTIAL HISTORIC PROPERTIES?
103
Historic Properties

• 2. Identify Historic Properties
•  
• Once you have reached consensus on the defined
  project Area of Potential Effects in consultation
  with the Tennessee State Historic Preservation
  Officer and others

104
Historic Properties

•  
• you should take steps to identify any above or
  below-ground human-made things inside the
  boundary of that APE that might be Historic
  Properties.

105
Once a Federal agency has defined the project
Area of Potential Effects, it should take steps
to identify any potentially affected Historic
Properties within its boundary. This often --
but not always -- involves an on the ground
reconnaissance level survey of the Area of
Potential Effects for archaeological and
architectural resources. Cultural resources
surveys should be conducted by qualified agency
staff, qualified applicant staff, or qualified
Historic Properties contractors. The Tennessee
State Historic Preservation Office has prepared a
reporting standard that Federal agencies and
applicants should use as a guidance document for
the preparation of Historic Properties surveys.
106
The scope of such Historic Property surveys
should be defined following direct consultation
between the Federal agency or its duly certified
applicant, the Tennessee State Historic
Preservation Office, and other Consulting
Parties. All survey reports and those who
prepare them should conform to the Secretary Of
The Interiors Standards And Guidelines For
Archaeology And Historic Preservation. The
Tennessee State Historic Preservation Office will
likely return to the Federal agency for
appropriate revision any survey reports that do
not meet documentation standards contained in the
Regulation and reporting standards established by
the Tennessee State Historic Preservation Office.
107
Historic Properties
Simply put, the Section 106 review process
identifies, evaluates, and treats Historic
Properties. Historic Properties are all those
buildings, districts, structures, sites, and
objects, identified as yet or not, that are
eligible for listing in the National Register of
Historic Places.
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How Do You
Identify Historic Properties?
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    (1) LEVEL OF EFFORT. The agency official
shall make a reasonable and good faith effort to
carry out appropriate identification efforts,
which may include background research,
consultation, oral history interviews, sample
field investigation, and field survey. The agency
official shall take into account past planning,
research and studies, the magnitude and nature of
the undertaking and the degree of Federal
involvement, the nature and extent of potential
effects on historic properties, and the likely
nature and location of historic properties within
the area of potential effects. The Secretary's
standards and guidelines for identification
provide guidance on this subject. The agency
official should also consider other applicable
professional, State, tribal, and local laws,
standards, and guidelines. The agency official
shall take into account any confidentiality
concerns raised by Indian tribes or Native
Hawaiian organizations during the identification
process.
110
Historic Properties are National Register
eligible if they retain integrity of          
design         feeling        
association         workmanship        
setting         location         materials
  at the time they are evaluated, and
111
if they meet one or more of the four National
Register of Historic Places Criteria for
Evaluation. These criteria are          
association with historic figures          
association with historic events          
association with significant architecture        
   association with the answers to significant
research questions, and  
112
Unless they are exceptionally significant, they
must be fifty years old or older at the time of
the Section 106 review request.
113

• The agency official shall make a reasonable and
  good faith effort to carry out appropriate
  identification efforts.
• background research
• consultation
• oral history interviews
• sample field investigation
• field survey

114

• The agency official shall take into account
• past planning
• research and studies
• the magnitude and nature of the undertaking
• the degree of Federal involvement
• the nature and extent of potential effects on
  historic properties
• the likely nature and location of historic
  properties within the area of potential effects

115

• The agency official shall take into account
• the Secretary's standards and guidelines for
  identification that provide guidance on this
  subject.
• other applicable professional, State, tribal, and
  local laws, standards, and guidelines.
• any confidentiality concerns raised by Indian
  tribes or Native Hawaiian organizations during
  the identification process

116
PHASED IDENTIFICATION AND EVALUATION OF HISTORIC
PROPERTIES
117
    (2) Phased identification and evaluation.
Where alternatives under consideration consist of
corridors or large land areas, or where access to
properties is restricted, the agency official may
use a phased process to conduct identification
and evaluation efforts. The agency official may
also defer final identification and evaluation of
historic properties if it is specifically
provided for in a memorandum of agreement
executed pursuant to Sec. 800.6, a programmatic
agreement executed pursuant to Sec. 800.14(b), or
the documents used by an agency official to
comply with the National Environmental Policy Act
pursuant to Sec. 800.8.
118
The process should establish the likely presence
of historic properties within the area of
potential effects for each alternative or
inaccessible area through background research,
consultation and an appropriate level of field
investigation, taking into account the number of
alternatives under consideration, the magnitude
of the undertaking and its likely effects, and
the views of the SHPO/THPO and any other
consulting parties. As specific aspects or
locations of an alternative are refined or access
is gained, the agency official shall proceed with
the identification and evaluation of historic
properties in accordance with paragraphs (b)(1)
and (c) of this section
119
USEFUL GUIDANCE DOCUMENTS
120
USEFUL GUIDANCE DOCUMENTS
The National Park Service has issued a federal
regulation (36 CFR Part 60) (http//www.cr.nps.gov
/nr/regulations.htm) that echoes the requirements
of the NHPA and offers guidance on resolving
questions of National Register eligibility. The
Office of the Keeper of the National Register
that has direct authority over the Criteria of
Eligibility also publishes various guides called
Bulletins (http//www.cr.nps.gov/nr/publications
/bulletins.htm) that offer more specific guidance
for deciding on the National Register eligibility
of properties. Federal agencies and State
Historic Preservation Offices use this regulation
and these Bulletins (particularly Bulletin 15)
to decide whether properties that might be
affected by federal programs and projects meet
National Register eligibility Criteria for
Evaluation.
121
HOW DO YOU EVALUATE HISTORIC PROPERTIES
CORRECTLY?
122
Historic Properties

• 3. Evaluate Historic Properties
•  
• Once you have identified cultural resources that
  might be historic properties in consultation with
  the Tennessee State Historic Preservation Officer
  and others

123
Historic Properties

•  
• you should take steps to evaluate them as
  Historic Properties eligible for listing in the
  National Register of Historic Places.

124
How Do You
Evaluate Historic Properties?
125
    (c) EVALUATE HISTORIC SIGNIFICANCE.     (1)
Apply National Register criteria. In consultation
with the SHPO and any Indian tribe that attaches
religious and cultural significance to identified
properties and guided by the Secretary's
standards and guidelines for evaluation, the
agency official shall apply the National Register
criteria (36 CFR part 60 and part 63) to
properties identified within the area of
potential effects that have not been previously
evaluated for National Register eligibility.
126
WHY MUST YOU APPLY NATIONAL REGISTER CRITERIA TO
CULTURAL RESOURCES FOR EACH CURRENTLY PROPOSED
UNDERTAKING RATHER THAN USE THE DETERMINATIONS OF
ELIGIBILITY DERIVED FROM PREVIOUS SURVEYS?
127
Historic Properties
Because, the passage of time, changing
perceptions of significance, or incomplete prior
evaluations may require the agency official to
reevaluate properties previously determined
eligible or ineligible.
128
Historic Properties
In reevaluating cultural resources, the agency
official shall also acknowledge that Indian
tribes and Native Hawaiian organizations possess
special expertise in assessing the eligibility of
historic properties that may possess religious
and cultural significance to them.
129
NATIONAL REGISTER CRITERIA
130
The National Historic Preservation Act of 1966,
80 Stat. 915, 16 U.S.C. 470 et seq., as amended,
authorizes the Secretary of the Interior to
expand and maintain a NATIONAL REGISTER of
DISTRICTS, SITES, BUILDINGS, STRUCTURES, AND
OBJECTS significant in American history,
architecture, archeology, engineering and
culture.
131
WHAT ARE THE DEFINITIONS OF DISTRICTS, SITES,
BUILDINGS, STRUCTURES, AND OBJECTS?
132
Historic Properties
A BUILDING is a structure created to shelter any
form of human activity, such as a house, barn,
church, hotel, or similar structure. Building
may refer to a historically related complex such
as a courthouse and jail or a house and barn.
133
Historic Properties
A DISTRICT is a geographically definable area,
urban or rural, possessing a significant
concentration, linkage, or continuity of sites,
buildings, structures, or objects united by past
events or aesthetically by plan or physical
development. A district may also comprise
individual elements separated geographically but
linked by association or history.
134
Historic Properties
An OBJECT is a material thing of functional,
aesthetic, cultural, historical or scientific
value that may be, by nature or design, movable
yet related to a specific setting or environment.
135
Historic Properties
A SITE is the location of a significant event, a
prehistoric or historic occupation or activity,
or a building or structure, whether standing,
ruined, or vanished, where the location itself
maintains historical or archeological value
regardless of the value of any existing
structure.
136
Historic Properties
A STRUCTURE is a work made up of interdependent
and interrelated parts in a definite pattern of
organization. Constructed by man, it is often an
engineering project large in scale.
137

• Historic Properties also include
• artifacts, records, and remains that are related
  to and located within such properties
• (b) properties of traditional religious and
  cultural importance to an Indian tribe or Native
  Hawaiian organization that meet the National
  Register Criteria for Evaluation and pass the
  integrity test and
• (c) cultural landscapes and view sheds, either
  natural or human-influenced.

138
Cultural landscapes and view sheds include
geographic areas, including both cultural and
natural resources and the wildlife or domestic
animals therein, associated with an historic
event, activity, or person, or exhibiting other
cultural or aesthetic values.
139
Historic Properties
Historic Properties also possess
character-defining features that include the
visual aspects and physical features that
comprise the appearance of every historic
property, including the overall shape or boundary
of the property, its materials, craftsmanship,
decorative details, interior, and features, as
well as the various aspects of its setting.
140
Historic Properties
Criteria for Evaluation (36 CFR 60.4).   The
criteria applied to evaluate properties (other
than areas of the National Park System and
National Historic Landmarks) for the National
Register are listed below. These criteria are
worded in a manner to provide for a wide
diversity of resources. The following criteria
shall be used in evaluating properties for
nomination to the National Register, by NPS in
reviewing nominations, and for EVALUATING
NATIONAL REGISTER ELIGIBILITY OF PROPERTIES.
141
Historic Properties
36 CFR 60.4
The quality of SIGNIFICANCE in American history,
architecture, archeology, engineering, and
culture is present in districts, sites,
buildings, structures, and objects that possess
INTEGRITY of location, design, setting,
materials, workmanship, feeling, and ASSOCIATION
and
142
Historic Properties
  (a) that are associated with EVENTS that have
made a significant contribution to the broad
patterns of our history or  
36 CFR 60.4
143
Historic Properties
36 CFR 60.4
  (b) that are associated with the lives of
PERSONS significant in our past or
144
Historic Properties
36 CFR 60.4
 (c) that embody the distinctive CHARACTERISTICS
of a type, period, or method of construction, or
that represent the work of a master, or that
possess high artistic values, or that represent a
significant and distinguishable entity whose
components may lack individual distinction or
145
Historic Properties
36 CFR 60.4
(d) that have yielded, or may be likely to yield,
INFORMATION important in prehistory or history.
146
36 CFR 63.2(a) The agency official shall
consult the State Historic Preservation Officer
as the first step in identifying historic
properties for information concerning (1)
Properties listed in the National Register. (2)
Properties in the process of nomination to the
National Register. (3) Properties determined
eligible by the Secretary of the Interior for
listing in the National Register. (4) Any other
available information that would assist in
identifying properties in the area affected by
the proposed action.
147
Historic Properties
36 CFR 63.2(B) IF THE STATE HISTORIC PRESERVATION
OFFICER DOES NOT HAVE ADEQUATE INFORMATION TO
DOCUMENT THE PRESENCE OR ABSENCE OF HISTORIC
PROPERTIES IN THE PROJECT AREA (AREA OF POTENTIAL
EFFECTS), THE FEDERAL AGENCY SHOULD REFER TO THE
DEPARTMENT OF THE INTERIOR'S CRITERIA FOR THE
IDENTIFICATION OF HISTORIC PROPERTIES AND THE
GUIDELINES FOR LEVEL OF DOCUMENTATION TO
ACCOMPANY REQUESTS FOR DETERMINATIONS OF
ELIGIBILITY FOR INCLUSION IN THE NATIONAL
REGISTER CODIFIED AT 36 CFR 800.4.
148
Historic Properties
36 CFR 63.6(B) IF THE KEEPER OF THE NATIONAL
REGISTER DETERMINES THAT A PROPERTY HAS LOST THE
CHARACTERISTICS THAT MADE IT ELIGIBLE FOR THE
NATIONAL REGISTER, HE WILL INFORM THE STATE
HISTORIC PRESERVATION OFFICER AND THE FEDERAL
AGENCY AND REMOVE THE PROPERTY FROM THE LIST OF
ELIGIBLE PROPERTIES.
149
WHAT DOES ALL THAT MEAN?
150
It means that Agency Officials must use National
Register criteria to evaluate properties within
APEs even if SHPOs have provided them with
inadequate evidence to document the presence or
absence of historic properties, and Agency
Officials cannot claim that, since the SHPO has
not formally designated a property either listed
or eligible, the property is not eligible.
NATIONAL REGISTER ELIGIBILITY IS DYNAMIC, NOT
STATIC.
151
It also means that properties listed on the
National Register are not necessarily still
eligible at the time of a specific Section 106
case review. Remember that the passage of time,
changing perceptions of significance, or
incomplete prior evaluations may require Agency
Officials to reevaluate properties previously
determined eligible or ineligible. NATIONAL
REGISTER ELIGIBILITY IS DYNAMIC, NOT STATIC.
152
NATIONAL REGISTER ELIGIBILITY IS DYNAMIC, NOT
STATIC.
153
THEREFORE, NOBODY, INCLUDING THE TENNESSEE SHPO,
HAS A COMPLETE DATABASE OF ALL HISTORIC
PROPERTIES LOCATED WITHIN THE STATE
154
THE PASSAGE OF TIME, CHANGING PERCEPTIONS OF
SIGNIFICANCE, OR INCOMPLETE PRIOR EVALUATIONS
ALL CAN AFFECT A SPECIFIC EVALUATION.
155
PLANNERS AND POLITICIANS WHO EXPECT NICE, NEAT,
PERMANENT LISTS OFTEN DO NOT UNDERSTAND THIS
BASIC FACT. THAT DOES NOT MAKE IT ANY LESS TRUE.
156
In evaluating the significance of discovered
archaeological or architectural resources within
the Area of Potential Effects, the Federal agency
should (800.4(c)(1)) take into account such
authorities as
157
          The National Park Service National
Register of Historic Places Criteria For
Evaluation           The results of consultation
with the State Historic Preservation Office and
other Consulting Parties           The findings
of qualified Historic Properties
surveyors           The findings of qualified
agency and applicant Historic Properties
staff           The written notifications of
tribes and others who attach religious or
cultural significance to the resources          
The views of the public
158
WHAT IS YOUR PRIMARY CHECKLIST FOR IDENTIFYING
AND EVALUATING HISTORIC PROPERTIES? DO THESE IN
ORDER
159
Historic Properties

1. Carry out appropriate identification efforts,
   which may include background research,
   consultation, oral history interviews, sample
   field investigation, and field survey.
2. Consult the National Register Criteria for
   Evaluation.
3. Evaluate the age of the property.
4. Evaluate the integrity of the property.
5. Evaluate the association of the property.
6. Seek the views of Consulting Parties
7. Seek the views of the public
8. Seek concurrence of the SHPO.

160
USE THE SECRETARY OF THE INTERIOR'S STANDARDS FOR
EVALUATION
161

•  
• Standard I. Evaluation of the Significance of
  Historic Properties Uses Established Criteria

162
Here are the Criteria for Evaluation
A. Events B. Persons C. Design/Construction D.
Information Potential
163

•  
• Standard II. Evaluation of Significance Applies
  the Criteria Within Historic Contexts

164
Historic Context
Eligibility determinations are made with
reference to regional and statewide contexts
addressing significant and relevant research
questions. Generally, cultural or historic
contexts included in each State Historic
Preservation Plan are used as a framework for
evaluating the significance of a cultural
property. A "context," in this sense, is a body
of knowledge in the form of one or more written
documents which is defined by (a) a specific
theme or topic, (b) a specific geographical area,
and (c) a specific time period. All contexts and
context studies are resource based, that is, they
must relate to identifiable prehistoric or
historic sites. This, in turn, establishes a
specific property's eligibility to the National
Register of Historic Places.   Guidelines
For Evaluating Cultural Properties, Idaho State
Historic Preservation Office And Archaeological
Survey Of Idaho
165
Historic Context

• A Historic Context
• Identifies significant historical patterns
• Defines expected property types against which
  individual properties may be compared

166
Historic Context
The Tennessee SHPO has prepared various context
documents you may use to evaluate resources.
167
Historic Context

•  
• Standard III. Evaluation Results in A List or
  Inventory of Significant Properties That Is
  Consulted In Assigning Registration and Treatment
  Priorities

168
Treatment Priorities

• Section 106 Consultation
• Identifies possible project-related effects
• Defines ways in which project-related effects may
  be resolved

169

•  
• Standard IV. Evaluation Results Are Made
  Available to the Public

170
USE THESE EVALUATION BENCHMARKS
171
INTEGRITY
172
Integrity is the authenticity of a buildings
historic identity, evidenced by the survival of
physical characteristics that existed during its
historic period. It is also the extent to which a
building retains its historic appearance.
173
Integrity is determined by the quantity and
quality of a propertys historic fabric, which is
the significant architectural or archaeological
materials that comprise an historic property that
make it historic.
174
Evaluate the integrity of each identified
property.
integrity of location, design, setting,
materials, workmanship, feeling, and association
175
ASSOCIATION
176
Evaluate the association of each identified
property.
Association with significant events or people, or
architecture, or information
177
AGE
178
Evaluate the age of each identified property.
Age 50 years old or older (sometimes as much as
4,000 years older)
179
USE THESE OTHER SOURCES OF NATIONAL REGISTER
ELIGIBILITY INFORMATION
180
Agency officials must also consult SHPO lists of
properties determined National Register eligible,
lists of surveyed properties, archaeological site
files, and the rosters of significant properties
kept by various consulting parties. The task
of the agency official is to winnow a final list
of National Register eligible properties located
within the undertakings area of potential
effects.
181
TWO POSSIBILITIES
182
Reality Check
The Agency Official will submit a determination
of either no historic properties affected or
historic properties affected plus supporting
documentation to the SHPO/THPO for a 30-day
review.
183
HERE IS HOW YOU KNOW WHEN A PROPERTY IS NATIONAL
REGISTER ELIGIBLE
184
If the agency official determines any of the
National Register criteria are met and the
Tennessee SHPO agrees, the property shall be
considered eligible for the National Register for
Section 106 purposes.
185
HERE IS HOW YOU KNOW WHEN A PROPERTY IS NOT
NATIONAL REGISTER ELIGIBLE
186
If the agency official determines the criteria
are not met and the Tennessee SHPO agrees, the
property shall be considered not eligible.
187
SUPPOSE THERE IS DISAGREEMENT CONCERNING
NATIONAL REGISTER ELIGIBLITY?
188
If the agency official and the Tennessee SHPO do
not agree, or if the ACHP or the Secretary of the
Interior so request, the agency official shall
obtain a determination of eligibility from the
Secretary pursuant to 36 CFR 63.
189
THIS MEANS A FORMAL DETERMINATION OF ELIGIBILITY
FROM THE KEEPER OF THE NATIONAL REGISTER
190
If an Indian tribe that attaches religious and
cultural significance to a property off tribal
lands does not agree, it may ask the ACHP to
request the agency official to obtain a
determination of eligibility
191
AGAIN, THIS MEANS A FORMAL DETERMINATION OF
ELIGIBILITY FROM THE KEEPER OF THE NATIONAL
REGISTER
192
Questions

• Have you used the Secretary of the Interiors
  Standards For Evaluation to assess the National
  Register eligibility of resources located in the
  undertakings Area of Potential Effects?
•  
• Yes_________ No_________

193
Questions

• Have you evaluated the resources integrity?
•  
• Yes_________ No_________

194
Questions

• Have you evaluated the resources association?
•  
• Yes_________ No_________

195
Questions

• Have you evaluated the resources age?
•  
• Yes_________ No_________

196
Questions

• Have you consulted with the Tennessee State
  Historic Preservation Office and other Consulting
  Parties concerning previous cultural resources
  surveys within the projects Area of Potential
  Effects for archaeological and architectural
  resources?
•  
• Yes_________ No_________

197
Questions

• If Yes, what were their determinations relative
  to the existence of Historic Properties?
• __________________________________________________
  __________________________________________________
  __________________________________________________
  ________________________ 

198
Reality Check

• If No, do not proceed until you have consulted
  with the Tennessee State Historic Preservation
  Officer and other Consulting Parties concerning
  previous surveys for archaeological and
  architectural resources within the projects Area
  of Potential Effects.

199
Reality Check

• Have you consulted with the Tennessee State
  Historic Preservation Officer and other
  Consulting Parties concerning the need for a new
  cultural resources survey of the Area of
  Potential Effects for archaeological and
  architectural resources?
•  
• Yes_________ No_________

200
Questions

• If Yes, what were their recommendations?
• __________________________________________________
  __________________________________________________
  __________________________________________________
  
•  

201
Reality Check

• If No, do not proceed until you have consulted
  with the State Historic Preservation Officer and
  other Consulting Parties concerning the need for
  a new cultural resources survey.

202
Reality Check

• If consultation concludes that you are not
  obliged to have a new cultural resources survey
  prepared, then do not do so. Use the results of
  previous surveys and go to the next numbered
  question.

203
Firewall

• If consultation concludes that you are not
  obliged to have a cultural resources survey
  prepared because previous surveys have
  successfully documented that no Historic
  Properties exist within the projects Area of
  Potential Effect, then make a formal
  determination to all Consulting Parties of No
  Historic Properties Affected, and if none
  disagree within a reasonable amount of time,

204
Firewall

• you have successfully completed the Section 106
  review process for that project.

205
THE AGENCY OFFICIALS ELIGIBILITY DETERMINATION
206
Firewall
Determination

• No Historic Properties Affected

207
    (1) If the agency official finds that either
there are no historic properties present or there
are historic properties present but the
undertaking will have no effect upon them as
defined in Sec. 800.16(i), the agency official
shall provide documentation of this finding, as
set forth in Sec. 800.11(d), to the Tennessee
SHPO. The agency official shall notify all
consulting parties, including Indian tribes and
Native Hawaiian organizations, and make the
documentation available for public inspection
prior to approving the undertaking. If the
Tennessee SHPO, or the ACHP if it has entered the
Section 106 process, does not object within 30
days of receipt of an adequately documented
finding, the agency official's responsibilities
under section 106 are fulfilled
208
Why did you make this finding?

• The undertaking will not alter any
  characteristics of an identified eligible or
  listed Historic Property that qualify the
  property for listing in the National Register___
• The undertaking will not alter an eligible
  Historic Property's location, setting or use___
• The specific location, scope and/or nature of the
  undertaking precluded affect to Historic
  Properties___
• The size and nature of the undertakings area of
  potential effects precluded affect to Historic
  Properties___
• No National Register listed or eligible Historic
  Properties exist within the undertakings area of
  potential effects___

209
Firewall
No Historic Properties Affected
No historic properties affected (800.4(d)(1) If
no historic properties are found or no effects on
historic properties are found, the Agency
Official provides appropriate documentation to
the SHPO and notifies consulting parties.
Members of the public need not receive direct
notification, but the Federal agency must place
its documentation in a public file prior to
approving the undertaking, and provide access to
the information when requested by the public.
Once adequate documentation is received, the SHPO
has 30 days to object to the determination. The
Council may also object on its own initiative
within the time period. Lack of such objection
within the 30 day period means that the agency
has completed its Section 106 responsibilities.
Advisory Council on Historic Preservation,
Working With Section 106 Users Guide
210
Or
211
Questions

• If consultation with the Tennessee SHPO confirms
  that you need to have a cultural resources survey
  conducted, have you conducted a cultural
  resources survey by a qualified investigator?
•  
• Yes_________ No_________