Message #376:
From: AzTeC SW Archaeology SIG
To:   "'Matthias Giessler'" 
Subject: Sec. 110 Guidelines Part 1
Date: Wed, 20 Nov 96 14:43:00 MST
Encoding: 448 TEXT


From: Anne Vawser


As per request - here are the draft Sec. 110 Guidelines unvailed at the 
FPF meeting.  Sorry, due to text limitations it has to come in five parts.

Anne


THE SECRETARY OF THE INTERIOR'S GUIDANCE FOR
FEDERAL AGENCY HISTORIC PRESERVATION PROGRAMS
(under Section 110 of the National Historic Preservation Act, as
amended, in 1992) October 24, 1996 Draft 


INTRODUCTION

This is the second edition of guidance to implement Section 110
of the National Historic Preservation Act (NHPA).  The National
Park Service on behalf of the Secretary of the Interior published
the first, Section 110 Guidelines: Annotated Guidelines for
Federal Agency Responsibilities under Section 110 of the National
Historic Preservation Act, in the Federal Register on February
17, 1988 (53 FR 4727-46).  In 1989 the Advisory Council on
Historic Preservation (Advisory Council) and the National Park
Service reissued them in an easier to use format.  This second
edition revises the Section 110 Guidelines to incorporate
amendments made to the NHPA in 1992.  [The first edition issued
in 1989 continues in effect until the second edition is approved
following periods of comment and formal notification in the
Federal Register.]

Among the most important changes in the 1992 amendments is the
requirement in Section 110 directing each federal agency to
establish a "preservation program" to ensure the identification,
evaluation, nomination to the National Register of Historic
Places, and the protection of historic properties.  Section 101.g
of the amended NHPA directs the Secretary of the Interior,
through the National Park Service, to promulgate the Section 110
guidance for the federal agencies in consultation with the
Advisory Council on Historic Preservation.

More specifically, Section 110 of the NHPA stipulates that each
federal agency shall, within the context of its mission and
mandates:

FACarry out its programs and activities in ways that support
the goals of the National Historic Preservation Act (110.d).

FAHave a designated Preservation Officer (110.c). 


FAIdentify, evaluate, and document its historic properties and
nominate them for listing in the National Register of Historic
Places (110.a.2).

FAManage and maintain its historic properties in ways that
preserve the properties' historic, archaeological, architectural,
or cultural values (110.a.2.B).

FAConsider historic properties in addition to its own when
planning activities that may affect them (110.a.2.C). 


FAConsult with appropriate government agencies (local, state,
and federal), Indian tribes, Native Hawaiian organizations and
the private sector regarding its preservation activities
(110.a.2.D).

FAEnsure that its procedures for complying with Section 106 of
the NHPA are consistent with those of the Advisory Council on
Historic Preservation (110.a.2.E.i). 


FADocument historic properties before they are substantially
altered or demolished and place the documentation in an
appropriate repository for future use and research (110.b).

FAMinimize harm to National Historic Landmarks (110.f).

FAUse available historic properties to the maximum extent
feasible and undertake any preservation of its properties
provided that it is consistent with the agency's mission and
professionally-recognized preservation of similar properties
(110.a.1).
 

FANot grant loans, loan guarantees, permits, licenses or other
assistance to an applicant who intentionally damages or destroys
a historic property to avoid having to comply with Section 106 of
the NHPA (110.k).

FAConsult with the Secretary of the Interior regarding
establishment of its preservation program (110.a.2).

The above requirements are reflected in the standards presented
below.

This second edition of Section 110 guidance is based on the work
of many people.  Thomas McCulloch and Ronald Anzalone of the
Advisory Council on Historic Preservation and Patricia L. Parker
of the National Park Service prepared the first draft version,
which followed the structure of  Section 110 and the original
guidance.  H. Bryan Mitchell, a consultant to the National Park
Service, revised the first draft and prepared a second draft
version, which consolidated requirements of the act into seven
principles.  Jan Townsend of the National Park Service, with
input from  federal agency and state representatives, compiled
the version presented below.  It relies heavily on the 1989
edition and the two draft versions of the second edition.  At the
request of other agencies, this version attempts to (1) make
clear the distinction between what is required statutorily of a
federal agency under the act and what is guidance and (2) present
that information in a logical and easy-to-follow format, which
means that the text does not always follow the strict sequence of
Section 110 of the law.  


In addition, the following guidance stresses the historic
preservation responsibilities of the federal agencies in an
overall programmatic sense.  In keeping with the intent of the
NHPA and Section 110 of the act, compliance with Section 106 of
the NHPA is presented as a part of the agency's program and
historic preservation responsibilities, not as the engine that
drives the program or as the entire program.



HISTORIC PRESERVATION PROGRAM STANDARDS AND GUIDELINES

The preservation of historic properties and their careful
consideration in agency planning and decision making are in the
public interest and a fundamental responsibility of any federal
agency.  However, the National Historic Preservation Act (NHPA)
and the following guidance acknowledge that an agency's ability
to achieve this goal is affected by its own mission and by the
extent to which it controls historic properties or controls the
activities of others affecting historic properties.

The agency historic preservation program must be an effective and
efficient vehicle through which the agency and the head of the
agency meet their statutory responsibilities for the
consideration and preservation of significant historic
properties.  The program should be fully integrated into both the
general and specific operating procedures of the agency.  The
program should interact with the agency's budgetary and financial
management systems to (1) ensure that historic preservation
issues are considered before making budget decisions that
eliminate historic preservation options, and (2) ensure that the
historic preservation program itself is funded so it can
function.

Among other things, historic preservation programs will differ
based on the extent to which:
(1)  the agency manages, owns, or exercises control over historic
properties;
(2)  historic properties play a significant role in agency
activities through active use (e.g., for recreation,
interpretation, public access/use, transportation, office space);
(3)  the agency is engaged in public education/interpretation or
multiple-use resource management; and 

(4)  the agency can influence non-federal actions affecting
historic properties.

The agency's preservation program should ensure that its agency
officials, employees, contractors, and other responsible parties
have the qualifications needed to identify, evaluate, document,
nominate, treat, or manage the historic properties under
consideration.  Since approaches to and methods of historic
preservation are evolving rapidly, agencies should encourage
their staff to participate in training and workshops.

The following guidance neither replaces nor incorporates other
statutory authorities, regulations, or The Secretary of the
Interior's Standards and Guidelines for Archeology and Historic
Preservation.  The Secretary recommends that federal agencies use
this guidance when establishing, monitoring, reviewing, or
evaluating their preservation programs for compliance with the
NHPA.  State Historic Preservation Officers are advised to refer
to this guidance, especially when providing assistance to federal
agencies, tribes, and local governments under Section 101.b of
the NHPA.  The Advisory Council on Historic Preservation will use
this guidance when developing agreements under 36 CFR Part 800
that implement Section 106 of the NHPA and when reviewing federal
agency policies and programs under Section 202.a.6 of the NHPA. 

The Secretary of the Interior will use the following standards
and accompanying guidance when carrying out statutory
responsibilities under the NHPA, especially under Section
110.a.2.

An efficient preservation program should allow the agency to do
more than simply meet its Section 110 responsibilities.  To
eliminate duplicate efforts and assist in agency planning, the
historic preservation program should be coordinated with actions
the agency takes to meet the requirements of other relevant and
related federal statutes (e.g., other sections of the National
Historic Preservation Act (NHPA), the Native American Graves
Protection and Repatriation Act (NAGPRA), the Archaeological
Resources Protection Act (ARPA), the American Indian Religious
Freedom Act (AIRFA), and the National Environmental Policy Act
(NEPA), among many others).

Section 110 also declares that the costs of preservation
activities are eligible project costs in all undertakings
conducted or assisted by a federal agency, and therefore
authorizes agency expenditures for these purposes (Section
110(g)).


STANDARD 1:The agency carries out its programs and activities
in ways that support the goals of the National Historic
Preservation Act.  (110.D)

The primary goal of the National Historic Preservation Act (NHPA)
is to preserve prehistoric and historic resources throughout the
nation for the inspiration and benefit of present and future
generations.  More specifically, federal agencies, within the
framework of their missions and in partnership with states, local
governments, Indian tribes, and private organizations and
individuals, are charged with: 

 

FAFostering conditions that promote harmony between preserving
prehistoric and historic resources and fulfilling the social,
economic, and other needs of present and future generations. 

FAProviding leadership in historic preservation nationally and
internationally.
FAAdministering federally owned, administered, or controlled
prehistoric and historic resources in a spirit of stewardship. 

FAContributing to the preservation of significant
non-federally owned prehistoric and historic resources and
promoting preservation by private means. 

FAEncouraging the public and private preservation and use of
the nation's historic buildings and structures.
FAAssisting their partners to expand and accelerate their
historic preservation programs and activities. 


Federal agencies can accomplish these goals in many ways. 

Possible measures include: 


FARoutinely incorporating the appropriate level of information
on prehistoric and historic resources into  program and project
decision making. 

FAEncouraging and rewarding employees and contractors who
effectively promote the goals and standards associated the NHPA,
and establishing awards programs and other incentives.
FACaring for significant prehistoric and historic properties
in ways that ensure the long-term protection and integrity of
those properties in federal and non federal ownership.
FAAssisting others, especially those in the private sector, to
preserve significant, non-federal historic and prehistoric
properties.
FAEducating the public and others about the benefits of
preserving significant prehistoric and historic resources and
about the knowledge that has been gained through such
preservation.
FAUsing historic buildings, structures, and other properties
to carry out or house activities and functions, and for other
preservation purposes such as interpretation.
FAFacilitating preservation of significant historic buildings
and structures by transferring or selling them to public or
private entities that will preserve their historical integrity.
FAProviding leadership and helping other agencies and
organizations to carry out their historic preservation
activities.   



STANDARD 2:The agency has a designated Preservation Officer
who coordinates its historic preservation program.  (110c)

The National Historic Preservation Act (NHPA) directs heads of
federal agencies to designate a qualified Preservation Officer to
be responsible for coordinating an agency's historic preservation
activities under the act.  This requirement applies to all
agencies unless otherwise exempted under Section 214 of the act. 

Ultimately, the Preservation Officer is responsible for (1)
promoting the preservation of significant historic properties
through the agency's mission and (2) promoting the agency's
mission through preserving historic properties.  


To carry out Section 110 responsibilities effectively, a
Preservation Officer needs sufficient agency-wide authority and
resources.  In most agencies sufficient authority exists when the
Preservation Officer can(1) influence agency-wide,
program, project, and budget decisions that may affect historic
properties, (2) investigate fully problems or public concerns,
and (3) ensure that decisions made about the treatment of such
resources are, in fact, carried out.  Sufficient resources exist
when the Preservation Officer controls (directly or indirectly)
the number and kinds of staff and the amount and allocation of
funds needed to ensure that the agency carries out its Section
110 responsibilities effectively and efficiently.

Where significant historic preservation responsibilities rest
with regional or field offices, or federal facilities or
installations, the agency head should consider appointing
qualified preservation officials at those levels also.  Such
officials should ensure that their actions and conduct of
historic preservation activities are coordinated with, and
consistent with, those of the agency Preservation Officer and
agency-wide policies.

A qualified Preservation Officer has a demonstrable knowledge of
the issues involved in identifying, evaluating, and protecting
historic properties.  Individuals who meet the Secretary of the
Interior's Professional Qualifications Standards (36 CFR Part 61,
Appendix A) usually have such knowledge.   In addition, an
effective Preservation Officer thoroughly understands the
agency's mission and mandates and organizational and
administrative structure and has substantial experience in
applying and complying with federal historic preservation laws
and in administering historic preservation programs.

Note that Section 112 of the NHPA, as amended in 1992, requires
that agency personnel responsible for historic preservation, and
their contractors, meet applicable professional and qualification
standards as developed by the Office of Personnel Management in
consultation with the National Park Service and appropriate
professional societies.  (This effort is currently under way. 

For more information, contact Mr. de Teel Patterson Tiller,
Heritage Preservation Services, National Park Service.)   In
accordance with Section 110(c), Preservation Officers also may be
considered qualified if they satisfactorily complete a training
program established by the Secretary of the Interior.  (This
training program is planned for development following approval of
the final Section 110 guidelines.) 



STANDARD 3:The agency identifies, evaluates, and documents
its historic properties and nominates them for listing in the
National Register of Historic Places. (110.a.2)

Identification, evaluation, and documentation of historic
properties are critical in the long-term management of historic
properties, as well as in program- and project-specific planning
by a federal agency.  Effective management of historic properties
requires that they first be identified, evaluated, and
documented.  Listing properties on the National Register of
Historic Places ensures that the  historic properties have been
evaluated through a formal public process, using established
criteria and a standard documentation format.  Additionally,
listing historic properties in the National Register of Historic
Places ensures that they are included in the only automated,
nationwide historic properties data base used to formulate and
support national level decision- and policy-making affecting
historic properties.

Identification, Evaluation, and Documentation

Ideally, a federal agency has a comprehensive inventory and
evaluation of its historic properties, and these properties are
documented to an appropriate level.  With adequate inventory and
evaluation documentation instantly available, federal agencies
can move more quickly to decision-making.  Some smaller federal
agencies that control only a few historic properties and do not
manage land or issue federal permits or funding to others can
achieve the goal of a comprehensive inventory and evaluation of
their historic properties in the near future.  Without
substantial increases in cultural resources staff and funds,
however, most federal agencies cannot--especially large
land-managing agencies and agencies who issue permits or provide
federal assistance on a large scale.  


Each federal agency should assess the completeness of its
historic properties inventory, documentation, and evaluation. 

Using the results of this assessment and taking into account the
amount of available resources, the agency can then design an
approach that leads to a complete inventory and evaluation of its
historic properties and to the timely information that the agency
needs on historic properties to carry out its mission and meet
its legal obligations.  The results of this assessment may show
that a federal agency cannot do this comprehensive its inventory
and evaluation responsibilities in a way that gives the agency
the timely information that it needs.  If so, the federal agency
should look carefully at the placement of its historic
preservation programs, activities, and staff within the
organization and  its allocation of resources including staff and
funding. 


The agency's inventory and evaluation plan should identify:
FAThe officially designated historic properties, including
National Historic Landmarks, those listed in the National
Register of Historic Places, and those that have been determined
eligible for listing in the National Register of Historic Places
that are still extant.
FAThe known historic properties managed or controlled by the
agency, or a subset thereof, that have not been officially
designated.
FAThe quality of the historic properties documentation,
including maps, photos, drawings, and  other materials, and the
accessibility of that documentation.
FAWhat the agency (or a subset, thereof) needs to know given
its mission and historic preservation responsibilities
(especially look at major programs or activities that are likely
to affect known or expected historic properties). 




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