BACKGROUND
Transportation projects in which the study area contains cultural resources in need of identification and analysis often struggle to meet project delivery schedules, particularly with respect to federally funded projects that fall under the National Environmental Policy Act (NEPA). The now-rescinded Executive Order (EO) 13807 of 2017 first established goals of 2-year completion of environmental impact statements and 1-year completion of environmental assessments under NEPA. While EO 13807 and One Federal Decision (OFD) requirements have been rescinded, the Bipartisan Infrastructure Law and Council of Environmental Quality regulations codified these required timelines. Additionally, state laws and other factors may also put pressure on agencies to conduct more efficient cultural resources identification and analyses in project delivery.
State departments of transportation (DOTs) and other transportation agencies employ various approaches to meet the project delivery timelines established in NEPA, including Planning and Environmental Linkages (PEL) studies; early project scoping; simplified review and application of historical context for common resource types; and programmatic agreements. NEPA and Section 106 of the National Historic Preservation Act (NHPA) regulations are not triggered until there is a programmed, funded project for which environmental compliance studies are conducted. However, cultural resource analysis is critical for safeguarding cultural resources protected in federal, state, and tribal law. Research is needed to identify and analyze methods and strategies to achieve efficiencies and avoid delays in project delivery when cultural resources are affected.
OBJECTIVE
The objective of this research is to prepare tools with guidelines for completing effective cultural resource analyses in a time-constrained project delivery context. At a minimum the research should:
- Provide the regulatory and practical benefits of implementing efficient and timely cultural resources analyses in project delivery;
- Identify and address specific agency challenges to completing efficient cultural resources analyses, particularly in time-constrained project delivery processes such as those mandated by NEPA; and
- Advise agencies on the selection and implementation of proven methods and tools for conducting timely and effective cultural resources analyses of a range of specific resources.
Task 1. Literature Review
The Team will initiate the project with a web-enabled kickoff meeting with the panel to discuss the work plan and the approach for data collection and analysis. The Team will conduct a literature review and additional research to build upon efforts undertaken to date to identify additional studies, technical guidance, best practices, and available case studies from states, agencies, and industry organizations. The team will broaden the literature review to include guidance or case studies from non-transportation disciplines and other industry sectors, as well as from phased delivery or alternative delivery methods, such as design-build.
The Team will prepare a technical memorandum consisting of an annotated bibliography with examples of relevant studies and analyses; and a summary analysis of the tools, activities, and processes discovered during the literature review and additional research. The technical memo will be submitted to NCHRP staff for distribution to the panel for review and comment.
Deliverable:
Technical Memorandum: Literature Review
Task 2. State of Practice Analysis
Task 2.1 Draft Engagement Strategy
The research team will develop a draft engagement strategy for obtaining data on the state of practice. The engagement strategy will include the survey and interview of transportation planners, environmental planners, cultural resource practitioners, and other key stakeholders involved in the planning and environmental analysis of projects in anticipation of and during NEPA and Section 106 compliance.
The engagement plan will seek to involve representatives of organizations and groups involved in various stages and capacities in projects with cultural resource analysis. These may include:
· Transportation and environmental planners and cultural resource experts from federal agencies such as FHWA, Federal Transit Administration (FTA), Federal Railroad Administration (FRA), and state DOTs.
· Staff from regulatory partners and stakeholders, including the ACHP, SHPOs, and Tribes (including THPOs).
· Representatives of industry organizations that address environmental planning, transportation planning, and NEPA and Section 106 compliance.
The surveys and interview questions will be included in the engagement strategy, tailored for different groups of stakeholders, as appropriate. The engagement strategy will specify proposed contacts for each group, questions, and methodology for carrying out the strategy. Additionally, it will include the draft survey and interview questions for each group. The draft engagement strategy will be submitted as a technical memo for NCHRP and panel review and comment. It will be revised in response to panel comments. A response to each panel comment will be documented.
Task 2.2 Data Collection and Analysis
The Team will implement the approved engagement plan and analyze the information obtained from the survey and interviews to collect the data for the state of practice analysis. The team will prepare a technical memorandum that summarizes the engagement results with a focus on the current state of practice. The memorandum will summarize survey results by stakeholder group, share and assess the various specific project and program examples shared through engagement, and present the lessons learned from the data that will inform the development of the guidelines and tools for use by practitioners.
The technical memorandum will be submitted to NCHRP staff for distribution to the panel for review and comment. The Team will participate in a web-enabled virtual meeting with NCHRP staff and the panel to gather input on the state of practice analysis and technical memorandum.
Deliverables
· Draft and Revised Technical Memorandum: Engagement Plan
· Draft and Revised Technical Memorandum: State of Practice Analysis
Task 3 Interim Report and Interim Meeting
The Team will compile an interim report that includes the detailed results of the analysis from Tasks 1 and 2 and a proposed draft work plan for completing the work in Phase II. The Team will review and analyze the results of data analysis conducted in Phase I to provide a work plan with specific recommendations regarding the content and design of approaches, tools, and guidelines for the panel to consider for development into final products of this research. The Team will submit the interim report to NCHRP staff for distribution to the panel for review and comment.
The Team will participate in an in-person panel meeting convened by NCHRP to discuss the interim report and receive panel input prior to development of the final deliverables. The Team will revise the work plan for development of guidelines and tools based on the panel’s input and submit the revised interim report with work plan to NCHRP staff for final approval in advance of initiating Phase II.
Deliverables
· Draft Interim Report
· Revised Interim Report
PHASE II: Develop Deliverables
The Team will launch preparation of the tools and guidelines using the data collected thus far, following approval of the Interim Report and work plan at the conclusion of Task 3. Specifically, the Team will analyze information from Phase I as agreed to in the approved workplan to synthesize content for presentation in the final deliverables.
Task 4. Develop Draft Tools and Guidelines
The Team will identify best practices and describe methods and approaches, based on the findings of the Phase I work, that support efficient implementation of cultural resources identification and analysis within early planning and project delivery timeframes, including ways to streamline Section 106 review to align with NEPA. The Team will develop draft guidelines, tools, and/or other deliverables, where applicable, to support implementation of the methods and approaches.
These draft products will be developed as agreed to in the Interim Report and interim meeting. They will be provided to NCHRP staff and the panel for a 30-day review and comment. The Team will participate in a web-enabled virtual meeting with NCHRP staff and the panel to discuss comments on the draft tools and guidelines. The Team will revise the draft products in response to the panel’s input and will submit the revised tools and guidelines for final approval as part of Task 5.
Deliverables
• Draft tools and guidelines
Task 5. Develop Draft Final Project Deliverables
Task 5.1: Develop Conduct of Research Report
The Team will develop a draft Conduct of Research Report that outlines the entire project research efforts. This will document steps completed for outreach and development of the draft and final approaches and tools. The report will compile information provided in progress reports and interim deliverables into a comprehensive document. The draft Conduct of Research Report will be provided for review and comment from NCHRP staff and the panel.
Task 5.2: Develop Implementation Strategy
The Team will prepare the required draft implementation report, “Implementation of Research Findings and Products” that details implementation pathways and key users for the cultural resource management tools and guidelines.
Outreach and communication recommendations will be incorporated into the memorandum and structured to provide for application of the project results by transportation environmental planning practitioners and project managers to conduct effective cultural resource analysis during the project delivery process.
Methods to disseminate results will identify:
· Pathways to implement the resulting guidance and define the audience the audience and market for the final approaches and tools.
· Key implementers of the research results, addressing the institutions and individuals who might take leadership in deploying the research product.
· Multiple methods for dissemination of the approaches and tools.
· Any potential issues in implementing the research and how to mitigate these issues.
These deliverables will be submitted to NCHRP for panel review and approval for publication. The Team will also provide input to an implementation team consisting of panel members, AASHTO committee members, the NCHRP Implementation Coordinator, and others in order to meet the goals of NCHRP Active Implementation: Moving Research into Practice. A web-enabled meeting will provide the panel an opportunity to comment on draft deliverables. The memorandum will be revised as needed to address panel comments. A response to each panel comment will be documented. Comments will be incorporated into final deliverables.
Task 5 Deliverables
· Draft Conduct of Research Report (NCHRP Report)
· Draft technical memorandum, “Implementation of Research Findings and Products”
· Revised draft tools and guidelines, responding to input received at the conclusion of Task 4.
Task 6. Final Deliverables
The Team will revise all Task 5 deliverables and will supply the final deliverables to NCHRP in anticipation of publication. The deliverables will include documented responses to each panel comment received on the draft deliverables provided in Task 5 and will be prepared in accordance with NCHRP requirements.
Final Deliverables to include:
- Tools and guidelines to support efficient implementation of cultural resources analysis
- A report that documents the entire research effort;
- One or more communications tools such as PowerPoint presentations, fact sheets, videos, or infographics targeting state DOT executives, managers, and practitioners; and
- Implementation report specifying opportunities for promoting implementation of the research by the state DOT community.
STATUS: The contract is active and work underway as of 8.26.24.
