1. THE FOUR STEP SECTION 106 PROCESS: AN INTRODUCTION TENNESSEE STATE HISTORIC PRESERVATION OFFICE REVIEW 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 Office’s Review and Compliance Section believes you will be able to absorb more of the message of the presentation in this format than if it were presented as a printed text. As such, this presentation lacks much of the “punch” of a normal PowerPoint presentation. But since we are not there to narrate all the needed information for you, this is the best way to transmit the information you need to complete Section 106 review swiftly and successfully.

3. WHAT ARE THE THE FOUR STEPS IN THE SECTION 106 REVIEW PROCESS

4. Tennessee State Historic Preservation Office (SHPO) review of Federal undertakings under Section 106 of the National Historic Preservation Act can be as much as a four step process. The Federal Agency must: A.Initiate Section 106 Review, B.Identify historic properties, C.Assess project effects, and D.Resolve adverse effects.

5. Step One: Initiate Section 106 review

6. a) Establish whether the project, program, or activity is an undertaking subject to Section 106 review b) Identify the appropriate SHPO c) Plan to involve the public d) Identify other consulting parties as defined at 36 CFR 800.2

7. Step Two: Identify historic properties

8. a) Determine scope of efforts b) Identify historic properties c) Evaluate historic significance

9. Step Three: Assess effects

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

11. Step Four: Resolve adverse effects

12. a) Continue Consultation to Resolve Adverse Effects

13. WHO BEGINS THE SECTION 106 REVIEW PROCESS?

14. THE FEDERAL AGENCY OFFICIAL

15. 36 CFR 800.2(A) AGENCY OFFICIAL. It is the statutory obligation of the Federal agency to fulfill the requirements of Section 106 and to ensure that an Agency Official with jurisdiction over an undertaking takes legal and financial responsibility for Section 106 compliance in accordance with 36 CFR 800.3 through.7. The Agency Official has approval authority for the undertaking and can commit the Federal agency to take appropriate action for a specific undertaking as a result of Section 106 compliance. The Agency Official has the authority to commit the Federal agency to any obligation it may assume in the implementation of a program alternative. The Agency Official may be a State, local, or tribal government official who has been delegated legal responsibility for compliance with Section 106 in accordance with Federal law.

16. WHAT ARE THE FEDERAL AGENCY OFFICIAL’S SECTION 106 RESPONSIBILITIES?

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

18. To do so, Federal Agency Officials and applicants for Federal assistance must make informed decisions about: 1)Lists of Consulting Parties (36 CFR 800.2). 2)The Undertaking’s Areas of Potential Effects (36 CFR 800.4). 3)National Register of Historic Places eligibility (36 CFR 800.4). 4)Project effects upon Historic Properties (36 CFR 800.5). 5)Resolution of adverse effects (36 CFR 800.5).

19. HOW?

20. Agency Official consultation with the SHPO : 1)Helps define the Consulting Party list. 2)Helps define Areas of Potential Effects. 3)Helps make consensus determinations of National Register eligibility/non-eligibility. 4)Helps make consensus findings of project effects. 5)Helps make consensus resolutions of adverse effects.

21. Agency Official Consultation With All Consulting Parties is Successful Risk Management Consultation transfers part of the risk associated with Section 106 review to CONSULTING PARTIES

22. SECTION 106 CONSULTATION RUNS THROUGH THE ENTIRE PLANNING AND DEVELOPMENT PROCESS FOR EACH FEDERAL UNDERTAKING

23. WHAT ARE THE STANDARD STAGES OF FEDERAL PROJECT PLANNING AND DEVELOPMENT?

24. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT: STEP ONE Feasibility Analysis – When considering a Federal undertaking, the agency official should consult with the appropriate SHPO to determine whether there are possible effects to historic properties and consider the appropriateness of early consultation with other consulting parties in accordance with Section 106 of the National Historic Preservation Act. ACHP, Sustainability and Historic Federal Buildings, 2011

25. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT: STEP ONE – STEP TWO Project Planning – Agency officials should structure their project timelines and scopes of work to allow for ongoing Section 106 consultation covering existing conditions within the undertaking’s Area of Potential Effects, the overall plan for the proposed undertaking, and the existence of historic properties within the APE. If there is consensus that no historic properties will be affected, the SHPO will formally notify THE Agency Official or applicant that the Section 106 review process has been completed successfully. ACHP, Sustainability and Historic Federal Buildings, 2011

26. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT: STEP TWO – STEP THREE Conceptual Design – If the Area of Potential Effects contains historic properties, and as an agency official consults concerning the potential undertaking’s concept designs, the SHPO and other consulting parties should consult to identify the effects that those design options may have on the character- defining features and significant spaces within any identified historic properties. Agency officials should also continue consultation to keep the development of the undertaking on schedule, especially for those projects that involve new construction or substantial alteration. ACHP, Sustainability and Historic Federal Buildings, 2011

27. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT : STEP THREE- STEP FOUR Conceptual Design – If a historic property may be adversely affected by the undertaking, an agreement documenting the agency’s commitments to avoid, minimize, or mitigate such effects should be executed by the end of this phase, in accordance with Section 106 of the National Historic Preservation Act. If there is consensus that the undertaking will not adversely affect any historic property, the SHPO will formally notify the agency official that Section 106 review has been completed successfully. ACHP, Sustainability and Historic Federal Buildings, 2011

28. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT: STEP FOUR Design Development – As the agency official works through design development, the SHPO and other affected consulting parties should attend milestone project meetings to ensure that the design will comply with the agreement previously reached. Continuing consultation with the SHPO and other consulting parties will keep the undertaking on schedule, especially for those undertakings that include new construction or substantial alteration. ACHP, Sustainability and Historic Federal Buildings, 2011

29. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT: STEP FOUR Construction – As remediation, excavation, and selective demolition plans are drafted, along with other design documents, the SHPO and other affected consulting parties should attend regular milestone walking tours of the in-progress work at the historic property with the agency official, architects, engineers, and contractors. Special inspection tours may be necessary to ensure protection of significant character defining features of an historic property. Design specifications should be provided to the SHPO and consulting parties before any such tours. The SHPO and consulting parties should be given the opportunity to review and comment on any change orders promptly, as appropriate, and should be consulted with regard to unanticipated conditions that may require revising a design already reviewed and approved. ACHP, Sustainability and Historic Federal Buildings, 2011

30. PLANNING AND DEVELOPMENT: INTEGRATED DESIGN MANAGEMENT: STEP FOUR Completion – Before final project close-out and agency official signoff, the SHPO and other consulting parties should attend a special tour to identify any concerns and confirm compliance with the agreement document. ACHP, Sustainability and Historic Federal Buildings, 2011

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

32. END OF INTRODUCTION