BACKGROUND

When a transportation project has an adverse effect on historic properties, under Section 106 of the National Historic Preservation Act mitigation is required. Typical mitigation measures include Historic American Buildings Survey / Historic American Engineering Record / Historic American Landscapes Survey (HABS/HAER/HALS) completion, archaeological data recovery and associated research, and educational publications. 

Mitigation is proposed and selected in consultation with Section 106 stakeholders. Increasingly, cultural resource specialists are considering implementing creative mitigation alternatives, such as establishing mitigation banks or the development of online or video interpretive content about the significance of a given resource that meet the expectations of the public, the State Historic Preservation Officer (SHPO), and other consultation parties. However, practitioners are uncertain how to advance innovative mitigation measures for a given resource that would achieve broad public benefit and meet the expectations of the SHPO.  

Research is needed to identify cultural resource mitigation measures that successfully achieve broad public benefit for cultural resource protection. This research would facilitate successful mitigation for environmental benefit and compliance with the National Environmental Protection Act and the National Historic Preservation Act.

OBJECTIVE

The objective of the research is to develop a guide for transportation cultural resource specialists and practitioners to mitigate the adverse effects of a project on cultural resources. The research should identify factors and conditions that create public benefit or otherwise create “success” with respect to mitigation measures proposed for a given category of resource and provide direction on how to evaluate and select measures for adoption.

TASK 1 – PROJECT KICK-OFF AND DATA COLLECTION

Task 1.1: Amplified Work Plan, Kick-off Meeting with Panel

The Team will provide NCHRP with an Amplified Work Plan within 15 days of contract execution. The Amplified Work Plan will address comments that NCHRP staff or the panel have on this proposal. Key team members will par­ticipate in a web-enabled kick-off meeting with the panel. The purpose of this meeting will be to review the Amplified Work Plan, including the approach for data collection, and obtain input from panel members regarding the groups to canvas, any alternative ideas on data collection, as well as discuss and obtain potential exam­ples of Memoranda of Agreement (MOAs) and mitigation case studies. This meeting will also be used to discuss the approach for Compendium development, discuss the format of the Compendium, ideas on high priority features, and thoughts on the desired outcome of its use.

Task 1.2: Outreach Plan 

The Team will develop an outreach plan that discusses the role of stakeholder engagement in research efforts and outlines the survey of cultural resource prac­titioners and other key stakeholders involved in identifica­tion and implementation of mitigation. The team will use the data collected through this engagement to identify new, innovative, or creative mitigation being applied in the field. A limited literature search will also be conducted to supplement the information collected through the engagement, specifically seeking documentation or promotion of specific mitigation on the web or through journal articles, as well as published technical guidance from states, agencies, or industry organizations on the topic of mitigation.

The research team has identified four distinct groups of stakeholders and have identi­fied groups that have similar perspectives and/or roles in the Section 106 process. The research team shall contact individuals from each group of professionals. The method for collecting survey infor­mation and sample questions for each group are provided below. 

Group 1 will consist of US DOT representatives from FHWA, FTA, FRA, and state DOTs. These groups are often the project sponsor tasked with completing consultation and development of mitigation measures in compliance with Section 106.

Group 2 will consist of ACHP staff, SHPOs, and THPOs. These agencies often serve as con­sulting parties in the Section 106 process and participate in the development of mitigation measures.

The Team will initiate the survey of Groups 1 and 2 with an email message explaining the project and its goals, and the purpose and methods available for contributing data for this project.  Recipients will be able to request a telephone interview with team members rather than complete the survey. Each group will have a set of questions tailored to their role in the consultation process and an opportunity to upload documents. The Team will also proactively reach out to key individuals in Groups 1 and 2 to conduct up to 60 telephone interviews.

Group 3 will consist of industry associations, including American Cultural Resources Association (ACRA), Society for American Archaeology (SAA), Transportation Research Board (TRB) committees, National Trust for Historic Preservation, Society of Black Archaeologists, and Society for Industrial Archeology. Representatives from this group, including CRM consultants that often work on Section 106 compliance projects and serve as a bridge between federal agencies, SHPOs, and consulting parties in the identification and development of mitigation measures.

For these organizations the team will introduce the project to orga­nizational leadership, explain the benefits to their member­ship that will result from participation, and solicit assistance in reaching their members through existing communication tools such as monthly e-newsletters, a member news web­page, or listservs to participate in an online survey. Group 3 outreach will be conducted through the online survey with an opportunity to share documents and request a follow-up interview by the research team.

Group 4 will consist of non-profit and historic preservation groups, consulting parties, and local or state agencies with regulations that require mitigation similar to Section 106, such as the California Environmental Quality Act (CEQA). We expect to identify candidates for outreach through communication with Groups 1, 2, and 3, and the identi­fication of projects that have had successful outcomes or challenges with mitigation that will serve as Case Studies.

Group 4 outreach will be conducted through the online survey with an opportunity to share documents and request a follow-up interview with the Team. Some Group 4 contacts may include: Coalition for American Heritage, contact Marion Werkheiser, Policy, Director; American Anthropological Association, contact Ed Liebow, Executive Director; the Historic Bridge Foundation; and the Cultural Landscape Foundation. 

Microsoft Forms will be used to implement the outreach for the survey distributed by email and as a method for the project team to record interview results. To assist in combating a low response rate, we pro­pose promotion of the outreach effort through social media, including LinkedIn and Facebook, and par­ticipation in industry meetings and conferences. 

A Draft Outreach Plan will present the proposed informa­tion collection strategy, including the contacts for each group, questions, and methodology for carrying out the plan. The Team will submit the draft plan to NCHRP staff for distribution to the panel for review and comment. The Team will participate in a web-enabled Panel Meeting #1 to discuss the plan and receive panel input prior to implementation in Task 1.3.

Task 1.3: Execute Outreach Plan 

The research team will implement the approved outreach plan. The information obtained from the outreach will be analyzed to inform the development of the Guide and Compendium in Task 2.

Following completion of the outreach and research, the Team will prepare a summary of the results to be shared with the panel. The summary is expected to include the number, organizational, and geographic representation of survey responses for each group, the number of project examples shared through outreach, key take­aways, and a discussion of the research gathered. The summary may be incorporated into a quarterly progress report, which will be distributed to the panel for review. 

TASK 1 DELIVERABLES

·       Amplified Work Plan

·       Kick off Meeting (virtual)

·       Draft Outreach Plan

·       Web-enabled panel meeting #1 on outreach plan

·       Summary of Outreach Results  

 TASK 2 – GUIDE AND COMPENDIUM PREPARATION

The Team will launch preparation of the Guide and Compendium using input provided by the panel during the kick-off meeting (Task 1.1) and in consideration of the data generated from the execution of the Outreach Plan.

Task 2.1: Guide Preparation 

The Team will begin Guide preparation with development of an outline, which will provide the panel an opportunity to comment on the intended content and organizational structure.

During the Task 2 web-enabled meeting #1 to review the outline, the panel will have the opportunity to suggest addi­tional content topics and propose alternate report organiza­tion. The Team will incorporate feedback from the panel to prepare the Draft Guide submittal. In developing the Guide, the Team will prioritize creating a document that is user-friendly, practical, and relevant for practitioners.  

Following submittal of the Draft Guide, Principal Investigators and key team members will participate in Task 2 web-en­abled Panel Meeting #2 with the panel to receive comments on the Draft Guide. The Team will incorporate feedback from the panel to prepare a revised Guide (Task 2.3).  

Task 2.2 Compendium Preparation

The research team will launch compendium tool development con­current with Task 1 at the Kick-off meeting, as described in Task 1. To facilitate analysis and decision-making on the selection of mitigation measures the team will produce a framework for the interactive Compendium that will provide an easy to navigate search function for users to find mitigation measures based on text search or by selection of multiple categories, see the process shown in Figure 3 above. After selections have been set, the user is presented with a list of mitigation measures that can be clicked for more informa­tion and then selected if desired. In addition, users will also be provided with questions or items to consider, such as common obstacles and how they can be addressed, as well as strengths or weaknesses of a particular mitigation measure that can enhance the success of the mitigation. Examples and case studies will demonstrate to the user how the mitigation can be implemented. Once the user has identified their list of potential measures, the results are generated and can be downloaded either as an Excel workbook or as a formatted PDF.

 TASK 2 DELIVERABLES

• Outline of Guide
• Compendium Design Mocks and Architecture Diagram
• Draft Guide
• Draft Compendium
• Panel Meeting #2
• Revised Guide and Compendium

 TASK 3: INTERIM REPORT AND INTERIM PANEL MEETING

 The research team shall prepare an Interim Report for a minimum 30-day review and comment period.  The Interim Report shall be prepared as a memorandum to be included with a Quarterly Progress Report, if timed appropriately, or as a separate deliverable if needed. 

The Interim report shall summarize the research process, data collected, lessons learned, and proposed path forward towards developing the final Guide and Compendium.  The draft Guide outline and Compendium details shall be within this document.

NCHRP shall convene in-person Panel Meeting #3 (Interim Panel meeting) to take place after their review of the Interim Report. The research team shall be prepared to present and discuss the contents of the Interim Report, including research process and outcomes to date, the revised Guide Outline, and the revised Draft Compendium.  Design mock-ups, desired features of these products, and a proposed architecture diagram of the Compendium application specifying technol­ogies utilized will be presented and discussed with the panel at this meeting.

Note: Approval by NCHRP will be required prior to advancing into the subsequent tasks.

TASK 4: IMPLEMENTATION TECHNICAL MEMORANDUM PREPARATION 

The Team will prepare a technical memorandum that details implementation pathways and key users for the Guide and interactive Compendium. Methods to disseminate results will identify:

·       Pathways to implement the resulting guide

·       Define the audience and market for the final Guide and interactive Compendium

·       Key implementers of the research results, addressing the institutions and individuals who might take leadership in deploying the research product.

·       Multi-methods for dissemination of the Guide and Compendium.

·       Any potential issues in implementing the research and how to mitigate.

To provide for application of the project results by prac­titioners and transportation project managers, research results should be shared widely. The research team will prepare a document of proposed activities to disseminate the research results and facilitate implementation by practitioners to target audiences after this project is complete, to include: 

·       Online webinar sponsored by TRB

·       PowerPoint presentation that summarizes the project and the use of the final deliverables by agencies.

·       A draft article suitable for publication in TR News.

·       Presentation to relevant audiences, such as the AASHTO CES or TRB’s AME60 Committee

TASK 4 DELIVERABLES 

·       Draft Implementation Technical Memorandum

·       Draft PowerPoint slide deck

·       Draft TR News Article

 TASK 5: CONDUCT OF RESEARCH REPORT PREPARATION

The research team will develop a Conduct of Research Report that outlines the project research efforts. This will document steps completed for outreach and development of the draft and final Guide and Compendium. The report will compile information provided in monthly and quarterly progress reports and interim deliverables into a compre­hensive document.

The draft Conduct of Research Report will be submitted concurrently with the revised Guide and Compendium. 

TASK 5 DELIVERABLES

Draft Conduct of Research Report articulating the process and methods used in conducting the research, including summaries of all data collected.

TASK 6: PREPARE DRAFT AND FINAL DELIVERABLES

Draft final deliverables of all final products will be prepared for a minimum 30-day panel review and comment period.  A final web-enabled panel meeting will be held once all comments have been submitted to the research team and they have had the chance to review and discuss them.

Following the receipt of written and oral panel comments, the research team will finalize project deliverables and submit them in compliance with NCHRP policy and guidance on preparing final deliverables (Chapter 5 of the CRP Procedural Manual).    

TASK 6: DELIVERABLES 

·       Guide – this document will provide a set of considerations for selecting suitable mitigation, include example case studies, and provide direction on how to select mitigation measures for adoption and use the Compendium

·       Compendium – this interactive tool will help facilitate analysis and decision-making on the selection of mitigation measures based on specific project parameters

·       Implementation Technical Memorandum – this document will detail implementation options in further detail

·       Conduct of Research Report – this document will discuss the approach and activities of data collection, research and describe the development of the Guide and Compendium

·       PowerPoint Presentation – this presentation will be available to promote the use of the Guide and Compendium

·       TR News article – this promotional article will highlight the benefits of the Guide and Compendium to promote use by agencies and practitioners

STATUS: Contract started on July 15, 2024. Project is in Phase I.