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Applicants

​​​​​The following information is intended for use by applicants in complying with Section 106 guidelines in Kentucky. For questions, please email Nicole.Konkol@ky.gov.


​​​​​section 106 cover sheet [PDF, 171KB]​​​​


Notice of Policy - Water and Sewer Project - May 23, 2024

 

Re:       Kentucky Heritage Council - State Historic Preservation Office

Programmatic approach to Section 106 submissions for projects submitted for small-scale linear projects such as water or sewer lines and associated elements


The purpose of this Policy is to streamline the submission and review processes for compliance with Section 106 of the National Historic Preservation Act for small-scale linear projects. The goal of this policy is to accommodate the increased workload for projects with federal funding. This document sets forth what information KHC requires based on project type. The audience for this guidance are our state partners, their applicants, and consultants meeting the Secretary of Interior's professional qualifications for a preservation field who have their curriculum vitae on file with the Kentucky Heritage Council and who have received a response letter from our office acknowledging that we have had the opportunity to compare the consultants' qualifications with federal guidance.

 

Any projects falling outside the parameters presented in the categories described in this document shall follow all submission and review processes laid out in the Kentucky Heritage Council's (KHC) review and compliance guidance (https://heritage.ky.gov/compliance/Pages/general-application.aspx).

All reference to ground disturbance shall include and consider access and staging areas for the proposed activity.

 

Should there be more than one criterion presented for any category, all criteria listed must be met to qualify for that category. All documentation submitted to KHC/SHPO for Section 106 review intended for inclusion in this policy shall state explicitly “linear" in the subject line for the submission.

 

This document sets forth what information we require based on project type. Consultants should compile this information in the form of a detailed overview or literature and records review. The content of this document should include:

 

  • a project description for each location;
  • a listing of known cultural resources within the project footprints (archaeological and above ground resources) and/or viewsheds (for above ground resources or mound/village centers, caves, and rockshelters);
  • National Register status of each resource; proposed treatments of these resources (or modification of project parameters, if feasible and appropriate);
  • the probability for the presence of unidentified cultural resources within the project footprint and/or viewshed, as applicable; and
  • the level of cultural resource management effort (proposed Scope of Work) based on these data

 

Please note: Recommendations provided to KHC by consultants do not constitute or fulfill the Section 106 consultation process. This background research provides our applicants throughout the Commonwealth a streamlined alternative to expedite the review process with the KHC to the extent possible. KHC will use this information to determine what level of additional documentation, investigation, or survey is warranted, if any, and will inform the partner state agency or their applicants.

Category 1 consists of all projects that continue to require submission of all documentation requested on the Section 106 Coversheet (Attachment 1) in order for KHC to provide comment. These projects include, but are not limited to, the following project types. Please note that all modifications to properties 50 years of age or older, require submission of all requested Section 106 documentation.

 

Table 1. Category 1. ALL SECTION 106 DOCUMENTATION REQUIRED AS LISTED ON THE COVER SHEET.

Project TypeCriteria
  
New ConstructionAll new construction
  
Bank StabilizationUnless limited to replacement of an existing stabilization system
  
New PlacementAny and all placement of above and/or below ground system elements
  
New Installation
Any and all placement of above and/or below ground system elements
RelocationAny and all placement of above and/or below ground system elements

 

 

For Category 2 projects, consultants or applicants should compile this information in the form of a detailed overview or literature and records review. The content of this document should include:

  • a project description for each location;
  • a listing of known cultural resources within the project footprint(s) (archaeological and above ground resources) and/or viewsheds (for above ground resources or mound/village centers, caves, and rockshelters);
  • National Register status of each resource; proposed treatments of these resources (or modification of project parameters, if feasible and appropriate);
  • the probability for the presence of unidentified cultural resources within the project footprint and/or viewshed, as applicable; and
  • the level of cultural resource management effort (proposed Scope of Work) based on these data

 

Table 2. Category 2. REQUIRES FULL LITERATURE AND RECORDS REVIEW.

Project TypeCriteria
  
Line ReplacementWith vertical or horizontal ground disturbance beyond prior project footprint
  
Line ExtensionWith vertical or horizontal ground disturbance beyond prior project footprint
  
Relocation of below ground elementsAll
  
Fence InstallationAll
  
DredgingAll
  
Debris RemovalUnless it is completed without heavy equipment

 

 

Category 3 projects consists of projects where no new ground disturbance is proposed.

Table 3. Category 3. REQUIRES ALL DOCUMENTATION EXCEPT OSA PRELIMINARY RECORDS RESULTS.

Project TypeCriteria
  
Bank stabilizationWithout ground disturbance beyond severe erosion or slope failure
  
Elevated Water TankAll modifications
  
  
Modifications to existing WWTPInterior modifications to non-historic structure that do not involve ground disturbance
  

 

No individual review is necessary for placement of lines or antennas on existing poles or for the placement of small containers as listed above (see image below). Consultants or Applicants can list these separately within their Literature and Records Review. A corresponding quarterly table shall be provided to our office by the Division of Water team or the Area Development District team for ALL CATEGORY 4 PROJECTS on the first days of January, April, July, and October.

 

For Category 4 proposed projects, we would concur with a finding of No Adverse Effect (Table 4).

Table 4. Category 4. SHPO WOULD CONCUR WITH FINDING OF NO ADVERSE EFFECT.

Project TypeCriterion that must be met for finding of No Adverse Effect.
  
Line ReplacementNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
  
Line RehabilitationNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
  
Meter ReplacementNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
 In place and in kind
  
Line EvaluationNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
  
Planning/DesignNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
  
Upgrades to Existing SystemsNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project.
 In place and In kind
  
Maintenance of Existing SystemsNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
 In place and in kind
  
Installation of interior componentsWhen no modifications are required to existing structure or framework
 No vertical or horizontal ground disturbance beyond prior project footprint
  
Manhole rehabIn place and in kind
  
Meter/Valve PlacementNo modification to historic structure
 When no ground disturbance is required
  
Pump Station ReplacementWhen no modifications are made to historic structure
 When no ground disturbance is required
  
Software acquisitionAll
  
Septic tank ReplacementNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
  
Replacement of FencingNo vertical or horizontal ground disturbance beyond prior project footprint
 Ground surface/landscape is returned to conditions prior to project
  
Planting of VegetationAs long as no ground disturbance occurs beyond 2 inches below ground surface
  
Debris RemovalCompleted by hand without the use of heavy machinery
  

 

Criteria to be presented quarterly includes, but is not limited to: Applicant, County, Grantee, Project Title, Project Type, Brief Description, and Project Locations (latitude/longitude or street address). For Category 4 projects, we would concur with a finding of No Adverse Effect. This Policy shall be in place for two calendar years or until a fully executed Programmatic Agreement is in place, whichever occurs first.

 

Submit all documents to khc.section106@ky.gov. Sending directly to a staff reviewer or failure to submit the documentation requested will result in the delay of document distribution.

 

The State Historic Preservation Office is happy to work with our federal, state, and local partners. We look forward to continued conversations and the development of future agreements and processes that serve to protect significant cultural resources throughout the Commonwealth. Should you have questions or concerns please contact our Site Protection Program by emailing nicole.konkol@ky.gov.

 

 

Notice of Policy - Broadband - May 23, 2024

 

Re:       Kentucky Heritage Council – State Historic Preservation Office

            Programmatic approach to Section 106 submissions for projects submitted for broadband development throughout the Commonwealth

 

The purpose of this Policy is to streamline the submission and review process for OBD undertakings requiring compliance with Section 106 of the National Historic Preservation Act. The goal of this policy is to accommodate the increased workload for projects with federal funding. The audience for this guidance are our state partners at OBD, their applicants, and consultants meeting the Secretary of Interior's professional qualifications for a preservation field who have their curriculum vitae on file with the Kentucky Heritage Council and who have received a response letter from our office acknowledging that we have had the opportunity to compare the consultants' qualifications with federal guidance.

 

This document sets forth what information we require based on project type. Consultants should compile this information in the form of a detailed overview or literature and records review. The content of this document should include:

 

  • a project description for each location;
  • a listing of known cultural resources within the project footprints (archaeological and above ground resources) and/or viewsheds (for above ground resources or mound/village centers, caves, and rockshelters);
  • National Register status of each resource; proposed treatments of these resources (or modification of project parameters, if feasible and appropriate);
  • the probability for the presence of unidentified cultural resources within the project footprint and/or viewshed, as applicable; and
  • the level of cultural resource management effort (proposed Scope of Work) based on these data

 

 

Please note: Recommendations provided to KHC by consultants do not constitute or fulfill the Section 106 consultation process. This background research provides our applicants throughout the Commonwealth a streamlined alternative to expedite the review process with the KHC to the extent possible. KHC will use this information to determine what level of additional documentation, investigation, or survey is warranted, if any, and will inform the Office of Broadband Deployment (OBD) or their applicants.


Known Project Types under the Broadband Program include:

  • construction of large structures such as central offices or huts, new poles, or other structures with concrete pads (Category 1);
  • placement  of new buried lines and small structures (Category 2); and
  • placement of antennas and/or lines on existing structures (Category 3)

 

Any project elements not covered here shall proceed through the standard complete Section 106 review process. Should there be more than one criterion presented for any category, all criteria listed must be met to qualify for that category.

 

Submit all documents to khc.section106@ky.govSending directly to a staff reviewer or failure to submit the documentation requested will result in the delay of document distribution.

 

Category 1 (Figure 1) -  Construction or placement of new huts, central offices, new poles, headends, and cabinets, etc.

A full literature and records review as described above is required for all such projects. Please include a Section 106 Coversheet as the cover page to your Literature and Records Review and email your documentation to our dedicated Section 106 email address: khc.section106@ky.gov.

 

 

Photo Coming Soon

Figure 1. Large structures including staging and access

Example - Fiber hut and access

 

 

Category 2 (Figure 2) -  Placement of new buried lines and buried small structures, etc –

An archaeological literature and records review is required for the project footprint and surrounding 100 m. No above ground data are necessary provided the ground surface and landscape are returned to the condition they were in prior to placement.



Photo Coming Soon

Figure 2 . New buried small containers and lines

Example – Buried Vault

 

 

Category 3 (Figure 3) – Above ground placement of pedestals, placements of antennas and/or lines on existing structures –

No individual review is necessary for placement of lines or antennas on existing poles or for the placement of small containers as listed above (see image below). Consultants can list these separately within their Literature and Records Review and these projects will likely result in a concurrence with a finding of No Survey Warranted and No Adverse EffectA corresponding quarterly table shall be provided to our office by OBD for ALL CATEGORY 3 PROJECTS on the first days of January, April, July, and October.

 


Photo Coming Soon

Figure 3. Small placements or attachments

Example – above ground pedestal

 

Criteria to be presented quarterly by the OBD team includes, but is not limited to: Applicant, County, Grantee, Project Title, Project Type, Brief Description, and Project Locations (latitude/longitude or street address). For these Category 3 proposed projects, we would concur with a finding of No Adverse Effect.

The State Historic Preservation Office is happy to work with our federal, state, and local partners. We look forward to continued conversations and the development of future agreements and processes that serve to protect significant cultural resources throughout the Commonwealth. Should you have questions or concerns please contact our Site Protection Program by emailing nicole.konkol@ky.gov.