Wapsi Valley Archaeology Inc. - The Section 106 Process

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The National Historic Preservation Act
Section 106 of the National Historic Preservation Act requires federal agencies to review the effect that federally funded or permitted projects have on non-renewable cultural resources in the United States. The law is presented in Sections 106 and 110 of the National Historic Preservation Act. This law was originally enacted in 1966 and has been updated over the years to protect our Nation's archaeological and historic sites from destruction.

While the National Historic Preservation Act sometimes places a burden on organizations due to time and funding requirements, the intent of the law is to help preserve our national heritage. The vast majority of archaeological research in the United States today is, in fact, Section 106 related, and the law has led to the growth of a relatively new industry known to professionals as Cultural Resources Management (often referred to as CRM). Much important and innovative archaeological research has been completed in recent years due to the compliance requirements of the law. Many significant archaeological sites have been saved or investigated because of this legislation.

How the Process Works

The Section 106 compliance process generally works in this way: After an organization applies for a federal permit or enters into a contract with a federal agency, the agency contacts the State Historic Preservation Office (SHPO) to determine if the project requires a cultural resources investigation. Usually, if federal funds or a federal permit are issued for the project, then some level of investigation will be necessary unless the organization is able to demonstrate and document to the federal agency and the SHPO that the area has been extensively disturbed to the degree that all archaeological resources would have been destroyed.

A Phase I archaeological survey in Dubuque County, Iowa.

If compliance action is required, the organization (with the help of project engineers) must define the Area of Potential Effects (APE) for the project, which includes all directly and indirectly affected locations. Defining the APE prior to archaeological investigations is an important first step. The APE is considered the total project area, and includes not only the construction location, but also any staging locations, borrow areas, wetland mitigation areas, routes for construction access, and all portions that may be graded or filled or otherwise altered during the construction process. If at all possible, the APE should be finalized prior to the compliance work; if plans change, then additional archaeological work may become necessary.

In examining the APE, government agencies consider the full range of effects the project will have on the cultural integrity of the area. Will the project remove or disturb significant archaeological deposits? Will the project impact any cultural resources visually or even audibly? Will the project create vibrations or pressure that may threaten structural or subsurface remains, for example, through traffic of heavy equipment and other vehicles? Will increased public use of an area become an issue where sensitive sites may be endangered? Are burial mounds or cemeteries located in the area or nearby?

The federal agency or SHPO may recommend a Phase IA Cultural Resources Assessment at the outset to determine the potential for documenting archaeological sites in an area. These assessments generally do not involve extensive field investigations, but they do involve detailed archival research and synthesis of results in a formal report.

In some cases, it might be found during the Phase IA Assessment that all or part of a project area may not require an archaeological survey because of prior disturbances or perhaps the area had already been surveyed in the past. The archaeologist will in this case recommend that no additional archaeological work is necessary and the project may proceed. In many cases, however, a field survey will be recommended.

Ruins of an historic structure in Des Moines County, Iowa.

More commonly, organizations find that it is most economical to complete a Phase I archaeological survey at the outset of a project (and forego the Phase IA assessment). The purpose of this type of intensive survey is to complete both background research and fieldwork to identify if any archaeological sites are located in the area, in particular, archaeological sites that may be eligible for the National Register of Historic Places (and therefore considered by law to be “historic properties”).

An early historic limestone quarry discovered by Wapsi Valley Archaeology in Des Moines County, Iowa.

National Register of Historic Places eligibility has become a litmus test for the industry to help define sites that are worth preserving and worth saving. Note that a site does not have to be listed on the National Register to be protected by the law: it must, however, be potentially eligible for the National Register. Eligibility is based upon a set of criteria developed by the National Park Service. A professional archaeologist will consider these criteria when concluding that an archaeological site is potentially National Register eligible.

On some occasions, Phase I surveys identify sites that may be important but additional evaluation is necessary before a clear determination can be made. In these cases, a Phase II archaeological evaluation is recommended to further test the site to determine its eligibility for listing on the National Register.

If a Phase II evaluation finds that a site is historically significant, the project is examined to determine its effect on the eligible property. The federal agency and the SHPO will consider the recommendations of the consulting archaeologist and then discuss how to minimize (in cultural resources jargon, “mitigate”) or prevent the project's negative effect on the historically significant property. A Programmatic Agreement or Memorandum of Agreement between all involved organizations and government agencies that outlines a plan for mitigation of adverse effects may then become necessary before a project can proceed. This agreement is usually prepared by the consulting archaeologist with input from the federal agency and the State Historic Preservation Office.

Sometimes an archaeological site cannot be avoided or protected during construction. For a project to proceed, it may become necessary to recover as much data from the site as possible before it is destroyed. At this point, an archaeological excavation (or “dig”) may be undertaken. These are large-scale projects that require a great deal of labor both in the field and in the laboratory. The outcome is a research volume that fully discusses the results of the investigation and represents a scientific contribution to the fields of prehistory or history.

Wapsi Valley Archaeology has the expertise and capabilities to handle this entire process for your organization. Our professional staff has conducted numerous archaeological surveys, evaluations, and excavations over the course of many years. We have designed and executed many projects at all levels of research. At Wapsi Valley Archaeology, we will work closely with the SHPO and other state and federal agencies to ensure compliance is achieved. We will provide you with friendly and efficient service to help move your project through the compliance process.

We strongly advise you to complete Section 106 compliance work early in the construction process so that you are aware up front of your project’s requirements. No one wants surprises while the bulldozers are waiting!