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COVER
DOE G 450.1-3
9-22-04
Environmental Guidelines for Development of Cultural Resource
Management Plans—Update
[This Guide describes suggested nonmandatory approaches for meeting requirements.
Guides are not requirements documents and are not to be construed as requirements in
any audit or appraisal for compliance with the parent Policy, Order, Notice, or Manual.]
U.S. Department of Energy
Washington, D.C. 20585
AVAILABLE ONLINE AT: http://www.directives.doe.gov
INITIATED BY: Office of Environment, Safety and Health
CONTENTS
FOREWORD xi
PREFACE xiii
ACRONYMS xv
OVERVIEW OF DOE CRM PROGRAM AND GUIDELINES 1
DOE CRM PROGRAM OBJECTIVES 1
CRM STATUTORY AUTHORITIES 3
DOE CRM PLAN GUIDELINES 4
Planning Responsibilities 5
Plan Objectives 5
Administrative Responsibilities 6
DOE CRMP Review 9
CRMP Format and Content 9
DESCRIPTION OF PART 1 OF THE CRMP
EXECUTIVE SUMMARY 13
1. INTRODUCTION 13
DESCRIPTION OF PART 2 OF THE CRMP
2. CRM GOALS 15
2.1 Short-Term Goals 15
2.2 Long-Term Goals 16
DESCRIPTION OF PART 3 OF THE CRMP
3. EXISTING CONDITIONS 17
3.1 Facility or Program Descriptions 17
3.1.1 Current Physical Setting 17
3.1.2 Current Operational Context 17
3.1.3 Potential Impacts to Cultural Resources 17
3.1.3.1 Past Practices 18
3.1.3.2 Planned Activities 18
CONTENTS (continued)
3.1.4 Summary of Current Planning Procedure 18
3.1.5 Funding 18
3.2 Cultural and Historical Setting 19
3.2.1 Historic and Prehistoric Environments 19
3.2.2 Prehistory and History 19
3.2.3 Traditional Lands and Resource Uses 19
3.2.4 Treaties, Executive Orders, and Land Grants 19
3.2.5 Recent Scientific Significance 19
3.3 Known Cultural Resources 20
3.3.1 Prehistoric Properties 20
3.3.1.1 Districts, Sites, and Structures 21
3.3.1.2 Objects 21
3.3.1.3 Other Important Properties 21
3.3.2 Historic Properties 21
3.3.2.1 Districts, Sites, Buildings, and Structures 21
3.3.2.2 Objects 21
3.3.2.3 Other Important Properties 21
3.3.2.4 Other Resources of Ethnic Importance 22
3.3.3 Resources of Native American Cultural Significance 22
3.3.3.1 Sacred Sites 22
3.3.3.2 Traditional-Use Resources 22
3.3.3.3 Native American Cultural Items 22
3.3.3.4 Other Resources of Native American Cultural Significance 23
3.3.4 Properties of Recent Scientific Significance 23
3.3.4.1 Districts, Sites, Buildings, Structures, and Other Facilities 23
3.3.4.2 Objects 23
3.3.4.3 Other Properties 23
3.4 CRM Accomplishments 23
3.4.1 Cultural Resource Records and Reports 24
3.4.1.1 Cultural Resource Site Records 24
3.4.1.2 Cultural Resource Project Records 24
3.4.1.3 Other Cultural Resource Records 24
3.4.1.4 Cultural Resource Reports 24
3.4.2 Inventory 25
3.4.2.1 Archival Searches 25
CONTENTS (continued)
3.4.2.2 Ethnographic Fieldwork 25
3.4.2.3 Structure and Facility Surveys 25
3.4.2.4 Structure and Facility Survey Status 26
3.4.2.5 Archeological Surveys 26
3.4.2.6 Archeological Survey Status 26
3.4.2.7 Other Inventory Activities 26
3.4.3 Excavation 26
3.4.3.1 Test Excavations 27
3.4.3.2 Large-Scale Excavations 27
3.4.3.3 Excavation Status 27
3.4.4 Structure and Facility Management 27
3.4.4.1 Documentation 27
3.4.4.2 Maintenance 27
3.4.4.3 Mitigation 28
3.4.4.4 Management Status 28
3.4.5 Laboratory Treatment 28
3.4.5.1 Processing 28
3.4.5.2 Analysis 28
3.4.5.3 Laboratory Treatment Status 28
3.4.6 Curation 28
3.4.6.1 Curation Facilities and Procedures 29
3.4.6.2 Curation Status 29
3.4.7 Preservation 29
3.4.7.1 Protection from Natural Forces 29
3.4.7.2 Protection from Human Forces 29
3.4.7.3 Preservation Status 30
3.4.8 Research 30
3.4.9 Outreach 30
3.4.9.1 Activities on the DOE Site 30
3.4.9.2 Activities not on the DOE Site 30
3.4.9.3 Outreach Status 30
3.4.10 Other CRM Accomplishments 31
3.5 Legal Compliance Accomplishments 31
3.5.1 NHPA and 36 CFR Part 800 31
3.5.1.1 NHPA Sections 106 and 110(f) 31
3.5.1.2 NHPA Sections 110(a)–(e) and (g)–(j) 31
CONTENTS (continued)
3.5.2 AIRFA 31
3.5.3 ARPA 32
3.5.3.1 ARPA Section 10(c) 32
3.5.3.2 ARPA Section 14 32
3.5.4 NAGPRA 32
3.5.4.1 NAGPRA Section 5 32
3.5.4.2 NAGPRA Section 6 32
3.5.4.3 NAGPRA Section 7 32
3.5.5 36 CFR Part 79 32
3.5.6 E.O. 13007 33
3.5.7 E.O. 13287 33
DESCRIPTION OF PART 4 OF THE CRMP
4. CRM METHODS 35
4.1 Records and Reports 35
4.1.1 Cultural Resource Site Records 35
4.1.2 Cultural Resource Project Records 35
4.1.3 Other Cultural Resource Records 35
4.1.4 Cultural Resource Reports 36
4.1.4.1 Standardized Report Outlines 36
4.1.4.2 Report Library 36
4.2 Inventory 36
4.2.1 Archival Searches 36
4.2.2 Ethnographic Fieldwork 36
4.2.3 Structure and Facility Surveys 37
4.2.4 Archeological Surveys 37
4.3 Excavation 37
4.3.1 Test Excavations 38
4.3.2 Large-Scale Excavations 38
4.4 Structure and Facility Management 38
4.4.1 Documentation 38
4.4.2 Maintenance 38
4.4.3 Mitigation 38
CONTENTS (continued)
4.5 Laboratory Treatment 38
4.5.1 Processing 39
4.5.2 Analysis 39
4.6 Curation 39
4.6.1 Preservation 39
4.6.2 Inventorying, Accessioning, Labeling, and Cataloging 39
4.6.3 Identification, Evaluation, and Documentation 40
4.6.4 Storage and Maintenance 40
4.6.5 Periodic Inspection and Remedial Preservation 40
4.6.6 Study 40
4.7 In-Situ Preservation 40
4.7.1 Natural Forces 40
4.7.2 Human Forces 40
4.7.2.1 Authorized Actions 40
4.7.2.2 Illegal Acts 41
4.8 Outreach 41
4.8.1 Activities on the DOE Site 41
4.8.2 Activities not on the DOE Site 41
4.9 Interagency Information Exchange 41
DESCRIPTION OF PART 5 OF THE CRMP
5. CRM PROCEDURES AND ADMINISTRATION 43
5.1 Procedures for NHPA Sections 106 And 110(f) Compliance 43
5.1.1 Initiate the Section 106 Process 43
5.1.1.1 Preconstruction Project Planning and Evaluation 44
5.1.1.2 Establishing That an Undertaking May Affect
Cultural Resources 44
5.1.1.3 Notifying CRM Staff 44
5.1.1.4 Consulting to Assess Information Needs 44
5.1.1.5 Authorizing, Funding, Planning, and Scheduling
Archeological Surveys and Other Field Studies 44
5.1.1.6 Determining No Undertaking or No Potential to
Cause Effects 45
5.1.2 Identify Cultural Resources That May Be Affected 45
CONTENTS (continued)
5.1.2.1 Area of Potential Effects and Known Cultural Resources 45
5.1.2.2 Surveys and Other Field Studies 45
5.1.2.3 Report Preparation and Review 45
5.1.3 Evaluate Identified Cultural Resources 46
5.1.3.1 Evaluation 46
5.1.3.2 Consultation 46
5.1.4 Consultation When No Cultural Resources Are Affected 46
5.1.5 Assess and Resolve Adverse Effects on Cultural Resources 46
5.1.5.1 Assess Adverse Effects 47
5.1.5.2 Resolve Adverse Effects 47
5.1.5.3 Consultation and Documentation 47
5.1.6 Post-Review Discoveries of Cultural Resources 47
5.1.7 Coordination with NEPA 47
5.1.8 Emergency Situations 48
5.2 Procedures for Listing Properties on the National Register or
as National Historic Landmarks 48
5.2.1 Location, Inventory, Evaluation, and Nomination of Cultural
Resources to the National Register 48
5.2.2 Designation and Recognition of National Historic Landmarks 48
5.3 ARPA Compliance Procedures 48
5.3.1 Increasing Public Awareness 49
5.3.2 Planning and Scheduling Archeological Surveys 49
5.3.3 Reporting Suspected Violations 49
5.4 AIRFA Compliance Procedures 49
5.5 NAGPRA Compliance Procedures 50
5.5.1 Intentional Excavation and Removal of Native American
Cultural Items 50
5.5.1.1 Consultation or Consent 50
5.5.1.2 Ownership and Right of Control 51
5.5.2 Inadvertent Discovery of Native American Cultural Items 51
5.5.2.1 Inadvertent Discovery 51
5.5.2.2 Disposition and Control 51
5.5.3 Inventory of Native American Human Remains and
Associated Funerary Objects 51
CONTENTS (continued)
5.5.3.1 Inventory Compilation 52
5.5.3.2 Consultation 52
5.5.3.3 Supplemental Documentation 52
5.5.3.4 Notification 52
5.5.4 Summary of Native American Unassociated Funerary Objects,
Sacred Objects, and Objects of Cultural Patrimony 52
5.5.4.1 Preparation of Summary 52
5.5.4.2 Consultation 53
5.5.4.3 Access 53
5.5.5 Repatriation of Native American Cultural Items 53
5.5.5.1 Repatriation of Culturally Affiliated Native American
Human Remains and Associated Funerary Objects 53
5.5.5.2 Repatriation of Culturally Affiliated Native American
Unassociated Funerary Objects, Sacred Objects, or
Objects of Cultural Patrimony 53
5.5.5.3 Repatriation of Culturally Unaffiliated or
Uninventoried Native American Human
Remains and Funerary Objects 54
5.5.5.4 Sharing Information 54
5.6 36 CFR Part 79 Compliance Procedures 54
5.6.1 Management and Preservation of Collections 54
5.6.1.1 Preexisting Collections 54
5.6.1.2 New Collections 55
5.6.1.3 Administrative Records 55
5.6.2 Methods to Secure Curatorial Services 55
5.6.3 Methods to Fund Curatorial Services 55
5.6.4 Terms and Conditions of Contracts, Memoranda, and
Agreements for Curatorial Services 55
5.6.5 Repository Standards 55
5.6.6 Use of Collections 56
5.6.6.1 Scientific and Educational Uses 56
5.6.6.2 Religious Uses 56
5.6.6.3 Terms and Conditions of Uses 56
5.6.6.4 Written Agreements for Use 56
5.6.7 Conduct of Inspections and Inventories 56
5.7 Protection Procedures 56
CONTENTS (continued)
5.7.1 Natural Forces 57
5.7.1.1 Monitoring 57
5.7.1.2 Consultation 57
5.7.1.3 Restoration and Repair 57
5.7.2 Authorized Actions 57
5.7.2.1 Screening and Tracking 57
5.7.2.2 Monitoring 58
5.7.2.3 Consultation 58
5.7.2.4 Restoration and Repair 58
5.7.3 Illegal Acts 58
5.7.3.1 Detection 58
5.7.3.2 Investigation 58
5.7.3.3 Prosecution 59
5.7.3.4 Consultation 59
5.7.3.5 Restoration and Repair 59
5.7.3.6 Prevention 59
5.8 Relations with Native American Governments, Including
Treaty Compliance 59
5.8.1 Technical Actions 59
5.8.2 Regulatory Compliance 60
5.8.3 Administrative Procedures 60
5.9 CRM Administration 61
5.9.1 Staffing and Contracting 61
5.9.2 Training 61
5.9.3 Permitting 62
5.9.4 CRM Facilities 62
5.9.5 Curation 62
5.9.6 Consultation on Administration 62
5.9.7 Other Administrative Activities 62
5.9.8 Quality Assurance 63
DESCRIPTION OF PART 6 OF THE CRMP
6. SUPPORTING DOCUMENTS 65
APPENDIX A. GLOSSARY A-1
CONTENTS (continued)
APPENDIX B. LEGISLATION, EXECUTIVE ORDERS, AND
REGULATIONS GOVERNING THE MANAGEMENT
OF CULTURAL RESOURCES B-1
APPENDIX C. CRM DOCUMENTS OF DOE AND OTHER
FEDERAL AGENCIES C-1
TABLES
1. Statutory and Executive Order Basis for a CRM Program: Statutes
and Executive Orders without Implementing Regulations 7
2. Statutory and Regulatory Basis for a CRM Program: Statutes with
Implementing Regulations 8
FOREWORD
This Department of Energy (DOE) Guide is approved by the Office of Environment, Safety and
Health and is available for use by all DOE elements, including National Nuclear Security
Administration elements, and their contractors.
Questions or suggestions for improving this Guide are welcome and should be sent to—
Name: Lois Thompson
Office: Office of Environmental Policy and Guidance (EH-41)
Address: 1000 Independence Avenue, SW; Washington, DC 20585
Phone: (202) 586-9581
Fax: (202) 586-3915
E-mail: lois.thompson@hq.doe.gov
DOE Guides are part of the DOE Directives System and are issued to provide supplemental
information regarding the Department’s expectations of its requirements as contained in rules,
Orders, Manuals, Notices, and regulatory standards. Guides are used to identify Government and
non-Government standards and methods that DOE finds acceptable for implementing its
requirements. Guides are not substitutes for requirements, nor do they replace technical
standards that are used to describe established practices and procedures for implementing
requirements.
PREFACE
Preservation and protection of America’s cultural heritage are important functions and
responsibilities of the Federal government for properties under its control or jurisdiction. The
U.S. Department of Energy (DOE) recognizes its stewardship responsibilities for managing the
cultural resources on DOE-owned and other lands that are impacted by DOE programs. Concern
for this public trust has prompted the development of a DOE-wide cultural resource management
(CRM) program for all DOE facilities and programs. The goal of the program is to identify and
consolidate compliance actions associated with a number of statutory and regulatory
requirements and to reflect DOE’s commitment to meet not only the letter but also the spirit of
these laws, Executive orders, and regulations. One component of this program is the
development of guidance documents that assist the field in meeting the policy goals for the
agency.
DOE P 141.1, Management of Cultural Resources, dated 5-2-01, establishes a DOE commitment
for DOE programs, including the National Nuclear Security Administration (NNSA), and field
elements to integrate cultural resources management into their missions and activities and raises the level
of awareness and accountability among DOE (including NNSA) contractors concerning the importance of the
Department’s cultural resource-related legal and trust responsibilities. This policy helps ensure
that DOE maintains a program that reflects the spirit and intent of the legislative and other mandates.
DOE O 450.1, Environmental Protection Program, dated 1-15-03, requires implementation of
sound stewardship practices that are protective of the air, water, land, cultural, and ecological
resources impacted by DOE operations and allow DOE to meet or exceed compliance with
applicable environmental, public health, and resource protection laws, regulations, and DOE
requirements in a cost-effective way. This objective is to be accomplished by implementing
Environmental Management Systems (EMSs) as part of existing Integrated Safety Management
Systems (ISMSs) that are established by DOE facilities to comply with DOE P 450.4, Safety
Management System Policy, dated 10-15-96. EMSs must include policies, procedures, and
training to—
* identify activities with significant environmental impacts;
* manage, control, and mitigate the impacts of these activities; and
* assess performance and implement corrective actions where needed.
The Order specifically notes that the protection of cultural resources should be considered in
EMSs [DOE O 450.1, paragraph 4b(1)(f)] and is the Department’s directive under which the
policies established in DOE P 141.1 should be implemented.
DOE P 454.1, Use of Institutional Controls, dated 4-9-03, delineates how DOE will use
institutional controls to manage its resources, facilities, and properties. Institutional controls
may include administrative or legal controls, physical barriers or markers, and methods to
preserve information and data. The policy specifically notes that DOE uses a wide range of such
controls to manage and protect the cultural resources under its jurisdiction.
DOE O 430.1B, Real Property Asset Management, dated 9-24-03, describes DOE’s system for
establishing a corporate, holistic, and performance-based approach to real property life-cycle
asset management that links planning, programming, budgeting, and evaluation to program
mission projection and performance outcomes. It requires cultural asset management and historic
preservation to be considered in land use and disposition plans [e.g., see DOE O 430.1B,
paragraph 4b(3); paragraph 4e(2)(b); and Attachment 2, paragraph 6c(2)].
On March 3, 2003, Executive Order (E.O.) 13287, Preserve America, was issued. Its purpose is
to encourage public-private historic preservation partnerships, improve Federal agency planning
and accountability, enhance Federal stewardship of historic properties, promote the benefits of
historic preservation, foster recognition of historic properties as assets with economic as well as
intrinsic value, and support preservation through heritage tourism. Under this Executive order,
Federal agencies such as DOE shall maximize their efforts to integrate the policies, procedures,
and practices of the National Historic Preservation Act (NHPA) and this order into their program
activities to advance historic preservation objectives while pursuing their missions efficiently
and effectively.
This Guide—Environmental Guidelines for Development of Cultural Resource Management
Plans—Update—has been developed and updated by the Office of Air,
Water and Radiation
Protection Policy and Guidance under the Assistant Secretary for Environment, Safety and
Health. This guide imposes no requirements. Its purpose is to provide guidelines to the DOE
field managers who are responsible for development of an individual Cultural Resource
Management Plan (CRMP) for each DOE facility and program. Implementation of this Guide is
intended to ensure that each DOE facility and program complies with the requirements set forth
in the various Executive orders, statutes, implementing regulations, and DOE directives
governing the management of cultural resources. Thus, it provides recommendations,
alternatives, and approaches for implementing those requirements. As with all guidance, each
site should consider its individual needs and tailor its CRMP to the unique conditions and
requirements present at its site.
ACRONYMS
ACHP Advisory Council on Historic Preservation
AIRFA American Indian Religious Freedom Act
ARPA Archeological Resources Protection Act
CERCLA Comprehensive Environmental Response, Compensation, and Liability Act
CFR Code of Federal Regulations
CRM Cultural Resource Management
CRMP Cultural Resource Management Plan
DOE Department of Energy
EH Office of Environment, Safety and Health
EMS Environmental Management System
E.O. Executive Order
FPO Federal Preservation Officer
GIS Geographic Information System
ISMS Integrated Safety Management System
LPSO Lead Program Secretarial Officer
NAGPRA Native American Graves Protection and Repatriation Act
NEPA National Environmental Policy Act
NHPA National Historic Preservation Act
NNSA National Nuclear Security Administration
NPS National Park Service
PA Programmatic Agreement
RCRA Resource Conservation and Recovery Act
SHPO State Historic Preservation Officer
THPO Tribal Historic Preservation Officer
OVERVIEW OF DOE CRM PROGRAM AND GUIDELINES
DOE CRM PROGRAM OBJECTIVES
DOE recognizes its stewardship responsibilities for managing cultural resources on DOE-owned
and other lands that are impacted by DOE programs. Concern for this public trust has prompted
the development of a comprehensive cultural resources policy, DOE P 141.1, Department of
Energy Management of Cultural Resources, that requires implementation and maintenance of a
Cultural Resource Management (CRM) program for all DOE facilities
and programs. There are
statutory and regulatory bases for this program and an Agency commitment to meet not only the
letter but also the spirit of these laws and regulations. In addition, other DOE directives (e.g.,
DOE O 450.1, Environmental Protection Program; DOE P 454.1, Use of Institutional Controls)
guide DOE’s management and protection of cultural resources. Thus, this Guide provides
recommendations, alternatives, and approaches for implementing all those requirements.
Recognizing this concern for the public trust and to implement DOE’s cultural resources policy,
the
Office of Air, Water and
Radiation Protection Policy and Guidance, under the Assistant
Secretary for Environment, Safety and Health, has developed a comprehensive CRM program
for all DOE facilities or programs. The program is designed to raise the level of awareness of
DOE personnel with respect to the statutory and regulatory bases for, and the Department’s
commitment to, cultural resource management.
The cultural resource planning process must be integrated into compliance actions driven by
other environmental statutes such as the National Environmental Policy Act (NEPA); the
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA); and the
Resource Conservation and Recovery Act (RCRA). The DOE CRM program structure
encompasses—
* policy and guidance,
* planning,
* implementation,
* training and outreach,
* quality assurance, and
* technical mission/environmental coordination.
This program encourages a proactive approach by DOE managers and their recognition of the
cultural and scientific value of the resources that are under their jurisdiction.
The DOE historian is the Department’s Federal Preservation Officer (FPO). The Deputy
Assistant Secretary for Environment has responsibility for developing DOE-wide guidance for
compliance with the various cultural resource statutes. In addition, the Office of Air, Water
and Radiation Protection Policy and Guidance and the DOE FPO coordinate CRM activities and
standards for implementing DOE’s CRM program, including activities that affect Native
American and other cultural resource sites and items.
Comprehensive planning is especially important for DOE because it owns and potentially affects
large land areas and because its lands and projects are distributed across a diverse geographic
area. Plans will improve the understanding of prehistoric, historic, and ethnic life and
environments on DOE lands and ensure that DOE’s cultural resource policy is implemented
appropriately. Plans should also include studies of the technological histories of DOE facilities and
programs and those of their predecessor agencies and include strategies for the preservation of
representative properties, archives, and objects.
The Office of Environment, Safety and Health guidance memorandum of February 23, 1990,
addresses the need for developing cultural resource management plans (CRMPs) to ensure
compliance with a number of CRM statutes and Executive orders. As discussed in that
memorandum, the development of a CRMP is required under Section 110(a)(2) of the National
Historic Preservation Act (NHPA) . DOE P 430.1, Land and Facility Use Planning, dated
7-9-96, defines the Department’s intent to manage all of its land and facilities as valuable
national resources. Thus, DOE sites are to implement a comprehensive land use planning process
that complements, utilizes, links, supports, and fully integrates the processes required by NHPA
and related historic and cultural preservation laws, regulations, and Executive orders.
These guidelines will assist managers in—
* taking a proactive role in managing the cultural resources under DOE’s responsibility;
* ensuring and documenting compliance with applicable cultural resource laws,
regulations, Executive orders (e.g., E.O. 13287, Preserve America), and DOE directives;
* identifying and selecting qualified technical staff with regional expertise to prepare and
implement the plan (e.g., archaeologists, ethnohistorians, historians, cultural
anthropologists, architectural historians that meet appropriate Federal and professional
academic standards);
* establishing historic preservation as an integral part of DOE’s environmental mission;
* ensuring consistency in the cultural resource planning process among the facilities or
programs;
* enhancing contractor, facility, and program recognition of the cultural and scientific
value of the resources that may exist on properties under DOE management;
* establishing government-to-government relationships and consultations with Native
Americans who may be impacted by DOE activities, in accordance with DOE O 1230.2,
American Indian Tribal Government Policy, dated 4-8-92, and E.O. 13175, Consultation
and Coordination with Indian Tribal Governments, dated 11-6-00;
* identifying and selecting appropriate technical experts following consultation with the
affected tribal government, who may include tribal elders; and
* improving consultations, interactions, outreach, and partnerships with municipal, county,
state, and tribal governments; other Federal agencies; and interested persons.
This Guide provides a format for the preparation of CRMPs. Use of this format is voluntary; but
it gives a means for structuring the CRMP review process. As with all guidance, each site should
consider its individual needs and tailor its CRMP to its unique conditions and requirements.
While some facilities already have cultural resource programs in place and others have unique
land or project requirements, every effort should be made to prepare as complete a CRMP as
possible or to demonstrate that responsibilities for the management of cultural resources are
being carried out under another agreement.
This Guide is a planning vehicle for ensuring that all compliance activities are being met and that
interests of local, state, and tribal governments and other Federal agencies are part of
this planning process. Implementation of this Guide for specific land units supports the broader
Department policy (see DOE P 141.1, Department of Energy Management of Cultural
Resources) that forms the basis for developing a comprehensive CRM program for all DOE
facilities and programs.
CRM STATUTORY AUTHORITIES
The principal Federal CRM statutes that apply to DOE actions on Federal, Indian, and tribal
lands are—
* the Antiquities Act of 1906;
* the Historic Sites Act of 1935;
* the NHPA of 1966, as amended;
* the Archeological and Historic Preservation Act of 1974 (AHPA);
* the American Indian Religious Freedom Act of 1978 (AIRFA);
* the Archeological Resources Protection Act of 1979, as amended (ARPA); and
* the Native American Graves Protection and Repatriation Act of 1990 (NAGPRA).
The principal Federal CRM statutes that apply to DOE-funded or -authorized actions on other
non-DOE lands are NHPA, AHPA, AIRFA, and NAGPRA. These four statutes would apply, for
example, to DOE-funded research or restoration activities.
Cultural resource statutes, regulations, and Executive orders that may directly affect DOE
facilities or projects are listed in Appendix B. From a compliance perspective the combined
effect of these Federal laws, Executive orders, and regulations and their implementing guidance
appear to be complex. However, with a sound CRMP in use objectives consistent with the
facility or program mission can be efficiently met. These laws establish a framework and
delineate responsibilities for managing historic properties on Federal lands. Taken together,
these laws require Federal agencies to manage and protect what are defined in the legislation as
historic properties, also commonly called “cultural resources.” For purposes of this Guide
cultural resources include, but are not limited to, the following broad range of items and
locations:
* archeological materials (artifacts), ethnographic resources, and prehistoric and historic
sites currently located on the ground surface or buried beneath it;
* standing structures that are more than 50 years old or, if younger, are important because
they represent a major historical theme or era;
* cultural and natural places, select natural resources, and sacred objects important to
Native Americans;
* American folk life traditions and arts; and
* places significant to the facility’s history.
Paleonotological specimens (i.e., fossils) are not considered to be cultural resources; however,
they are protected by the Antiquities Act and, if found in association with archeological
resources, by ARPA. Protection of paleontological specimens should be addressed, as
appropriate, in the ARPA-related preservation aspects of the planning process.
A matrix (see Tables 1 and 2) has been developed that illustrates the statutory and regulatory
basis for a DOE CRM program. In these tables specific components of the CRM program are
correlated with the specific laws and regulations to clearly define the regulatory basis for the
DOE CRMP guidelines.
DOE CRM PLAN GUIDELINES
DOE operations office managers, field office managers, service center managers, project office
managers, and lead program secretarial officers (LPSOs) (including those of NNSA) have
primary responsibility for implementing DOE’s cultural resources policy (DOE P 141.1,
Department of Energy Management of Cultural Resources; and DOE O 450.1, Environmental
Protection Program). Thus, they must ensure that the responsible DOE managers, including
those in NNSA, develop, fully implement, and periodically review the CRMP at all DOE
facilities and Government-owned, contractor-operated facilities, as needed.
Planning Responsibilities Federal CRM statutes contain jurisdictional elements that establish where and when they apply.
When the lands or operations of a DOE facility or program meet any of these jurisdictional
elements, a CRMP should be prepared for that facility or program. Facilities or programs that
manage very small amounts of land or have little potential for effecting cultural resources might have
correspondingly less detailed CRMPs, but they would be in the same format as those of
facilities or programs that manage large amounts of land with a greater potential to impact
known and unidentified cultural resources.
Alternative documentation may be prepared in lieu of a CRMP. This documentation must
address the elements and requirements of DOE’s CRM policy and DOE O 450.1, Environmental
Protection Program. The CRM program manager has the responsibility for determining the
adequacy of the alternative documentation and for ensuring that the alternative documentation is
appropriately integrated into EMS and EMS review.
If the lands or operations of a DOE facility or program are not under the jurisdiction of any of
the Federal CRM statutes, preparation of a CRMP is not required. Facilities or programs that are
not required to prepare a CRMP should document the absence of Federal jurisdiction and should
be prepared to provide such documentation when requested to do so.
In situations where all lands have been surveyed and no sites have been found to be eligible for
nomination to the National Register of Historic Places (the National Register), this finding
should be reflected in the sections of the plan that deal with survey methods and the related
aspects of compliance with the NHPA. A similar process should be developed for addressing the
absence of places of religious and traditional importance to Native Americans. Documentation of
the State or Tribal Historic Preservation Officer’s (SHPO’s or THPO’s) concurrence with these
findings should be provided as an attachment to the plan or be readily available as supporting
documents. (See Section 6 of this guidance.) A CRMP is still necessary in these situations
because unanticipated discoveries of cultural resources not located in the initial surveys may
require compliance with NHPA. (See Section 5.1.6 of this guidance.) In addition, ARPA,
AIRFA, NAGPRA, and 36 Code of Federal Regulations (CFR) Part 79, Curation of Federally-
Owned and Administered Archaeological Collections, place CRM requirements on facilities and
programs beyond compliance with NHPA.
Plan Objectives
The objective of the CRMP is to ensure that cultural resources are managed effectively. To do
that, the CRM program manager must be aware of all ongoing or planned activities at the facility
that may affect cultural resources. In accordance with DOE P 141.1, Department of Energy
Management of Cultural Resources, the CRM program manager must ensure that cultural
resources are addressed early in the planning process and that the proper coordination exists
among all appropriate line and staff functions. CRMPs are intended to serve as management
tools for DOE managers with environmental compliance, contract management, and budgetary
responsibilities. This plan documents that the DOE manager is aware of all activities that may
affect cultural resources and effectively ensures proper coordination by all appropriate line and
staff functions, beginning with program or project inception. Several other DOE orders and
policies, as described below, also relate to the objective of the CRMP.
DOE O 430.1B, Real Property Asset Management, describes the DOE system for establishing a
corporate, holistic, and performance-based approach to real property life-cycle asset
management that links planning, programming, budgeting, and evaluation to program mission
projection and performance outcomes. It requires cultural asset management and historic
preservation to be considered in land use and disposition plans [e.g., see DOE O 430.1B,
paragraph 4b(3); paragraph 4e(2)(b); and Attachment 2, paragraph 6c(2)]. It is essential to
identify the points where the CRM program can be integrated into the overall DOE real property
asset management process.
DOE O 450.1, Environmental Protection Program, requires implementation of sound
stewardship practices that are protective of the cultural and historical resources impacted by
DOE operations and allow DOE to meet or exceed compliance with applicable cultural resource
protection laws, regulations, and DOE requirements in a cost-effective way. This objective is
accomplished by implementing Environmental Management Systems (EMSs) as part of existing
Integrated Safety Management Systems (ISMSs). DOE G 450.1-2, Implementation Guide for
Integrating Environmental Management Systems into Integrated Safety Management Systems,
dated 08-20-04, provides discretionary guidance for fulfilling the requirements of that order.
Chapter I, Phase I—Planning and Aspects Identification, of that document provides guidance on
how to identify “environmental aspects” associated with site activities, products, and services
and how to determine the significance of impacts associated with those aspects. The
“environmental aspect” of an activity, product, or service, as defined in that guidance, is that part
of it that creates a possibility for an environmental impact or change, whether adverse or
beneficial. For example, constructing or modifying facilities, processes, or equipment;
conducting open burning; or constructing or modifying aboveground and underground storage
tanks could be determined to be environmental aspects as they could cause impacts by disturbing
cultural and historic resources. DOE sites that have implemented ISMS/EMSs have already
identified their various activities, products, and services and the environmental aspects
associated with them.
Administrative Responsibilities
Administrative responsibilities for managing facility or program cultural resource program
activities and implementing procedures should be specified in the CRMP. The responsible
managers in the contractor organization and DOE area and field offices must be identified. These
managers should develop a specific administrative structure and procedures for ensuring that
coordination takes place among all project and program activities on lands to which the CRMP
applies. The systems approach of the ISMS/EMS can help integrate administrative structures and
procedures.
Table 1. Statutory and Executive Order Basis for a CRM Program: Statutes and Executive Orders
without Implementing Regulations
REFER TO PDF PAGE 7 FOR TABLE 1.
CRM
REQUIREMENTS
STATUTES
EXECUTIVE ORDERS
Antiquities
Act
1906
Historic
Sites Act
1935
Archeological
Recovery
Act
1960
American
Indian
Religious
Freedom Act
1978
E.O. 13007:
Indian
Sacred Sites
1996
E.O. 13175:
Consultation and
Coordination with
Indian Tribal
Governments
2000
E.O. 13287:
Preserve America
2003
Planning
X
Consultation
X
X
X
X
Inventory
X
X
X
Excavation
X
X
X
Laboratory Treatment
Under directive of
examining, excavating,
and gathering site
information
X
Under directive of
securing, collating, and
preserving site
information
X
X
Curation (of materials)
Xa
X
X
Preservation/Protection
of Sites
X
X
X
X
X
X
Research
X
X
Outreach
X
X
aMuseum collection.
Table 2. Statutory and Regulatory Basis for a CRM Program: Statutes with Implementing Regulations
REFER TO PDF PAGE 8 FOR TABLE 2.
CRM
REQUIREMENTS
STATUTES WITH REGULATIONS
NHPA
1966 (as
amended)
36 CFR
Part 60
(National
Register)
36 CFR
Part 63
(Eligibility)
36 CFR
Part 65
(Landmarks)
36 CFR
Part 79
(Curation)
36 CFR
Part 800
(Protection)
ARPA
1979
43 CFR
Part 7
(Protection)
NAGPRA
1990
43 CFR Part
10
(Protection
and
repatriation)
Planning
X
X
Consultation
X
X
Xa
X
X
X
X
X
X
X
Inventory
X
X
X
X
X
X
X
Xb
X
Excavation
X
Xa
Xc
X
X
X
X
Laboratory
Treatment
Under directive of
examining,
excavating, and
gathering site
information
X
Under directive of
securing,
collating, and
preserving site
information
X
X
X
X
Curation (of
materials)
X
X
X
X
X
X
Preservation/
Protection of Sites
Xd
X
X
provide advice
on standards
Xd
X
X
X
X
Research
X
X
X
X
X
X
Outreach
X
Display
commemorative
plaque
X
X
X
aIn accord with 36 CFR Part 800.
bMuseum collection.
cIf necessary.
dIf site is listed in or eligible for listing in the National Register of Historic Places.
The designated managers should also develop a mechanism for integrating CRMP goals and
administrative procedures into broader plans and procedures that control the implementation of
site development planning; restoration actions; and compliance with health, safety, and
environmental statutes, Executive orders, and DOE directives (e.g., DOE P 454.1, Use of
Institutional Controls). Referencing the CRMP in other documents to be used for conducting
internal audits and establishing quality control systems is an appropriate way to comply with the
DOE cultural resources policy (DOE P 141.1). DOE O 450.1, Environmental Protection
Program, states that part of integrating EMS into site ISMS is considering protection of cultural
resources.
As part of the CRMP, an internal quality assurance mechanism can form the basis for
cooperative agreements with states, tribes, and other Federal agencies. This quality assurance
system is to be used for the internal management of contractors and technical individuals
implementing the CRM programs at a DOE facility. DOE G 450.1-2, Implementation Guide for
Integrating Environmental Management Systems into Integrated Safety Management System,
dated 08-20-04, provides guidance on developing and maintaining procedures to monitor and
measure progress of the ISMS/EMS. This process, commonly referred to as “checking and
corrective action,” provides a systems approach to continuous improvement.
Facility- or program-specific CRMPs should be developed and implemented to meet the
objective of DOE’s CRM program as described in this Guide. Plan requirements at the facility or
program level are intended to facilitate flexibility in the planning and development of detailed
implementation procedures that suit the size and function of specific land holdings. These plans
should ensure that DOE managers consider, to the extent possible, both known and potential
future cultural resource sites and items that may be impacted by daily operations, new
construction, and remedial actions at DOE facilities or programs.
DOE CRMP Review
The plan review process is intended to meet, in part, the quality assurance objectives of the DOE
comprehensive CRM program. CRMPs are subject to DOE’s guidelines implementing the
information dissemination quality guidelines of the Office of Management and Budget
(http://cio.doe.gov/informationquality/). To ensure that the CRMPs remain useful to DOE
managers and continue to be integrated into the long-term planning for facility or program
operations, CRMPs should be reviewed and updated periodically, as appropriate, but at least
every 5 years. The cultural resource manager has the responsibility for developing measures for
evaluating the success of the CRMP. The Office of Environment, Safety and Health should be
notified of updated plans, and an electronic version should be provided for posting on the
cultural resource section of the office Web site.
CRMP Format and Content
Existing CRMPs and related documents prepared or executed by the facility or program may
fulfill some or all of the CRMP guidelines. In this case the pertinent section of the existing plan
or document should be cross-referenced at the corresponding numerical designation and heading
in the CRMP prepared by the facility or program in accordance with these guidelines. In cases
where large site and survey files have been compiled in separate documents, these large files
may also be cross-referenced, and only summary tables provided in the appropriate sections.
Parts 1 through 6 of this Guide provide the headings to be used for the development of
DOE-site-specific facility or program CRMPs. They also explain the kinds of information and
administrative procedures that should be in place for the effective and efficient management of
individual cultural resources. The prescribed outline format is annotated to encourage
consistency in the scope and content of the individual CRMPs.
To the extent possible, CRMPs should follow the format and use the headings and subheadings
presented in Parts 1 through 6. The content of each of the six parts of the CRMP should be as
follows.
* Part 1 consists of the executive summary and introduction.
* Part 2 includes a discussion of short- and long-term goals.
* Part 3 provides an overview of existing conditions and past CRM accomplishments.
* Part 4 discusses the technical requirements for complying with current cultural resource
laws, regulations, and Executive orders and addresses current CRM goals, methods, and
procedures for the ongoing management of facility- and program-impacted cultural
resources.
* Part 5 identifies administrative requirements for managing facility and program CRM
activities to comply with specific executive, statutory, and regulatory authorities.
* Part 6 contains or references supporting documents such as—
? cultural resource site, project, or other forms;
? report outlines and bibliographies;
? permits;
? contracts, memoranda, and agreements for curatorial services;
? agreement forms for using collections;
? documentation for NAGPRA summaries;
? treaties and cultural resource management cooperative agreements with tribal
governments; and
? Programmatic Agreements (PAs) with the Advisory Council on Historic
Preservation (ACHP) and the SHPO or THPO.
Appendix A of this Guide contains a glossary of terms relevant to cultural resource management
and protection. Appendix B lists laws, regulations, and Executive orders governing the
management of cultural resources. Appendix C references documents that will assist DOE
facility managers and contractors in meeting their CRM compliance responsibilities.
CRMP FORMAT AND CONTENT
DESCRIPTION OF PART 1 OF THE CRMP
The CRMP should begin with an executive summary and an introduction. The
prescribed format and content of this preliminary information are as follows.
EXECUTIVE SUMMARY
The CRMP should include an executive summary that identifies the authorities under which the
plan was prepared and provides a synopsis of the plan’s six major parts.
1. INTRODUCTION
The introduction should include, at a minimum, a statement of purpose and reference to the
organization of Parts 2 through 6 of the plan. The introduction should provide a brief overview
of the short- and long-term CRM goals (Part 2); the history, status, and direction of the CRM
program (Part 3); how the program is technically structured to achieve CRM goals (Part 4); and
how program managers will administratively meet future CRM goals (Part 5). The introduction
should mention any supporting documents that are part of the plan and that are essential to its
development or implementation (Part 6).
DESCRIPTION OF PART 2 OF THE CRMP
Each CRMP should have a statement of CRM goals. The prescribed format and
content of the headings follow and should reflect the outline shown below.
2. CRM GOALS
This section should describe and discuss the goals of the DOE facility or program that is
establishing a proactive CRM program. General goals should reflect a clear intent to—
* achieve compliance with laws, regulations, Executive orders, and DOE directives related
to cultural resources;
* ensure that DOE stewardship responsibilities are being met;
* enhance DOE managers’ awareness of and appreciation for cultural resource preservation
and improve the effectiveness of their decision making;
* promote outreach with traditional people who are the stakeholders in the local, natural
and cultural resources and ensure their access to these resources; and
* adopt an approach to protection of archeological resources that is consistent with the
Department of the Interior’s National Strategy for Federal Archeology
(http://www.cr.nps.gov/aad/TOOLS/NATlstrg.htm).
DOE O 450.1, Environmental Protection Program, requires that ISMS/EMS include measurable
environmental goals, objectives, and targets that are reviewed annually and updated when
appropriate. Goals established as part of a proactive CRM program may be used to satisfy this
requirement.
Other facility or program goals should focus on maximizing the cultural and scientific value of
the resources that remain on DOE-owned lands or on non-DOE-owned lands that may be
affected either directly or indirectly by DOE actions. Resources, however small and apparently
insignificant, should be viewed as having the potential to contribute information to old and new
questions being asked by the academic community, Native Americans, local historical
organizations, and interested persons.
This section should reflect the cultural and environmental baseline information provided in
Part 3 of the plan. Specific short- and long-term goals should be defined, and the rationale for
their selection discussed. Goals should be technical and administrative in nature.
2.1 SHORT-TERM GOALS
Identify short-term management goals for both known and unidentified cultural resources located
on the individual facility or program lands. These goals should reflect current issues, problems,
and deficiencies identified through an environmental aspects/impacts analysis (see DOE
G 450.1-2, Implementation Guide for Integrating Environmental Management Systems into
Integrated Safety Management System, dated 08-20-04) that are in need of immediate attention.
Short-term goals should be prioritized to reflect such issues as immediate stabilization and
protection needs; determination of the locations of existing collections and records; consultation
with Native American tribal governments, local historical organizations, local governments, the
SHPO or THPO, and interested persons; and the development of administrative procedures to
ensure that the site-specific goals are implemented. Protocols for consultation may be developed
between DOE and Native American governments on issues of mutual concern.
Assessments should be performed by technical experts with demonstrated regional expertise. If
not already completed, development of a cultural resource research design that identifies key
questions concerning the occupation and use of the facility or program area during the
prehistoric and historic periods should be an important short-term goal. Other suggested topics
include, but are not limited to, improvements in compliance procedures for a new construction
project, automation of site and survey data/record management, identification of sensitive areas
for Native American groups, stabilization of a particular site or structure, implementation of a
new analytical procedure, location for the designated repository, and completion of cultural
resource surveys for facility or program land holdings.
2.2 LONG-TERM GOALS
Identify long-term goals that reflect how facility or program managers will meet their
stewardship responsibilities and recognize the cultural and scientific values of the resources
under their individual jurisdictions. One important long-term goal should be evaluation and
refinement of the existing facility or program cultural resource research design to ensure that it
continues to be a coherent and defensible set of research questions.
Particular attention should be given to the cultural items/sites, themes, and research topics
identified by the SHPO or THPO, local historical organizations, experts in local academic
institutions, and interested persons. Interests and concerns of Native American tribal
governments and traditional leaders should be considered throughout the cultural resource
planning process. In addition, ethnic groups with interests in and concerns about the area of the
DOE facility should be considered during the cultural resource planning process. DOE’s policy
on Use of Institutional Controls (DOE P 454.1) delineates how DOE will use such controls to
manage resources, facilities, and properties under its control. The policy addresses DOE’s
responsibilities related to its role as a steward of Federal lands and properties including
protecting cultural resources.
DESCRIPTION OF PART 3 OF THE CRMP
The CRMP should provide an overview of accomplishments and existing
conditions. The prescribed format and content of the headings and subheadings
under this part follow and should reflect the numerical outline shown below. In
cases where large site and survey files and maps have been compiled in separate
documents, these documents may be cross-referenced, and only summary
information provided in this section.
3. EXISTING CONDITIONS
3.1 FACILITY OR PROGRAM DESCRIPTIONS
3.1.1 Current Physical Setting
Provide a description of the physical setting of the facility or program, including its size. Briefly
describe the current natural environment at the facility or program area, addressing topics such
as topography, geology, soils, vegetation, fauna, and climate. Include environmental base maps,
as appropriate, including information obtained using Geographic Information Systems (GIS).
Identify areas where the predevelopment natural environment remains intact. Include maps of
past and current land use, buildings, utilities, and roads.
This description should be as comprehensive as possible and should indicate whether adequate
information exists. In cases where large site and survey files have been compiled in separate
documents, these documents may be cross-referenced, and only summary information provided
in this section.
3.1.2 Current Operational Context
Briefly characterize the operational context of the facility or program and describe current
activities. Identify areas, buildings, and structures associated with specialized functions. As part
of the ISMS/EMS, this would be the environmental aspects identification.
3.1.3 Potential Impacts to Cultural Resources
This section should be divided into two subsections: past practices and planned activities. It
should explain the kinds of operational and remedial activities that potentially could disturb or
destroy cultural resources that remain on the ground surface or buried beneath it. An
environmental aspect/impacts analysis as part of an ISMS/EMS process identifies significant
aspects at a site (i.e., interactions with the environment). DOE G 450.1-2, Implementation Guide
for Integrating Environmental Management Systems into Integrated Safety Management System
dated 08-20-04, provides guidance on determining the significance of an environmental aspect.
There is no scientific test for determining significance; however, activities with regulatory
implications are usually deemed significant.
3.1.3.1 Past Practices
This section should focus on geographic areas of the facility, program, or lands that have been
used by a program and that have experienced previous ground-disturbing activities (e.g., grading, filling,
tree planting, building demolition). Describe in detail—
* locations by disturbance type,
* current use of the disturbed lands, and
* information management tools for overall facility or program management (e.g., data
compilations, computer databases, GIS).
Describe, in general terms, the impact that past practices have had upon cultural resources.
3.1.3.2 Planned Activities
This section should provide an overview of planned activities, including the following activities:
operational repairs and improvements, new construction, emergency repairs, remedial actions,
and land transfers.
Briefly identify and describe scheduled short- and long-term projects and their proposed
locations. Project schedules should include sufficient lead times to accommodate CRM planning
and implementation activities in concert with overall project schedule requirements. This section
of the plan should be updated annually.
3.1.4 Summary of Current Planning Procedure
This section should provide a brief summary of the facility’s or the program’s CRM program.
An explanation should be provided if a CRM program does not exist.
The CRMP should reflect coordinated management of cultural resources if multiple
administrative organizations use a specified land unit. However, DOE projects and programs that
have responsibilities involving complex land units in a wide variety of geographic areas may
elect to prepare a programmatic CRMP to track the preparation of their input into
facility-specific CRMPs and ensure that their administrative responsibilities are being adequately
carried out.
3.1.5 Funding
Funding for cultural resource management planning and program implementation should be
integrated into the normal operational budgeting process. In some cases the availability of
funding may make it necessary to produce the CRMP in stages. Individual compliance projects
may be funded in various ways. [For example, see Section 7(a) of the Archaeological Recovery
Act of 1960 for budgetary guidance for construction projects.]
3.2 CULTURAL AND HISTORICAL SETTING
Each facility or program has a cultural and historical context created by human use of its
physical location and natural resources. Various cultural resources produced by this use are still
extant today. These resources may meet legal significance criteria that affect their management,
and some resources may be important to Native Americans or ethnic groups. Include any
pertinent introductory comments concerning the facility’s or the program’s cultural and
historical setting. Where appropriate, describe historic properties, particularly standing structures
of architectural or scientific significance. Emphasize properties related to the historic
development of DOE. DOE’s History Division can provide information and assistance.
3.2.1 Historic and Prehistoric Environments
Summarize available information on historic and prehistoric environments of the facility or
program area (e.g., existing environmental reconstructions based on macrobotanical,
paleoecological, or faunal data).
3.2.2 Prehistory and History
Summarize available information on the prehistory and history of the location of the facility or
program. Currently accepted classification systems and chronologies for the geographic region
of the facility or program should be used in describing this information. Examples of relevant
topics are chronological periods, major events and dates, ethnic or cultural groups, group
behavioral patterns, subsistence-settlement systems, technologies, and historically significant
people.
3.2.3 Traditional Lands and Resource Uses
Summarize available information on traditional land and resource uses by Native Americans or
ethnic groups in the facility or program area. Examples of traditional land uses include religious
usage areas, such as mountains used for vision quests, and locations with indigenous plants and
animals that may be integral to religions, cemeteries, or burials.
3.2.4 Treaties, Executive Orders, and Land Grants
Provide an overview of current government-to-government relations with Native Americans who
retain legal rights to the geographical area where a facility or program is located. Identify known
treaties, Executive orders, and land grants that control these relations.
3.2.5 Recent Scientific Significance
Briefly describe the recent scientific significance of the facility or program. Identify facility
mission, major scientific achievements, important events, dates, and people associated with these
accomplishments. The DOE historian may be an important source of information on the recent
scientific significance. Information provided by the Departmental History Program may be used
in the preparation of this section and in the analysis of historical comments, official project and
departmental records, and oral histories. (See EH-232 Information Brief, Historic Preservation
and the DOE Historian.)
3.3 KNOWN CULTURAL RESOURCES
If cultural resources are known to exist at the facility or program area, this section should present
information on their kind, number, and distribution. Provide specific information on known
cultural resources in the four subsections that follow. (See Appendix A, Glossary, for definitions
of the terms used for the general and specific types of cultural resources in the following
subsections.) The information on known cultural resources presented here should summarize the
information contained in the facility or program cultural resource site records and in other
sources (e.g., the National Register of Historic Places; state historic places registers; state,
county, and local cultural resource site inventory files). If the site has large land holdings and/or
numerous resources and maintains an electronic database with GPS capabilities, indicate where
and how this information is stored.
The DOE Historic Preservation Officer (or designated review team) can perform an audit of the
facility databases to determine whether a database can produce information necessary to support
a request for a Section 106 review; maps showing surveyed and unsurveyed areas and
distribution and density of sites by types; and a predictive model of likely site locations. If
cultural resources have not been recorded for the area in question, provide a statement about the
probability of finding previously unidentified cultural resources that may remain on the ground
surface or buried beneath it. Describe evidence to support this conclusion.
When large numbers of cultural resource sites are documented, lists, tables, or databases should
be prepared to summarize this information. Site data should be keyed to the site designation
number and should specify, at a minimum, the site type, age or period (if known), and National
Register status (if applicable). If lists, tables, or databases are used, individual descriptions also
may be appropriate for special examples of a particular site type or for other important resource
types not identified as sites. Lists, tables, or databases should summarize the full cultural
resource site records that are on file at the DOE facility or program area.
The Archeological Resources Protection Act (ARPA) precludes public access to maps or other
information concerning the nature and location of cultural resources under the Freedom of
Information Act Title 5 United States Code (U.S.C.), Chapter 5, Subchapter II, or under any
other provision of law unless certain conditions specified in the Act are met. Sections of the
CRMP that contain maps or other information of this type should be considered sensitive, and
distribution should be restricted appropriately.
3.3.1 Prehistoric Properties
Topics to be addressed include districts, sites, structures, objects, and other important prehistoric
properties that are known to exist at the facility or program area.
3.3.1.1 Districts, Sites, and Structures
Describe or list known prehistoric districts, sites, and structures at the facility or program area.
Provide or indicate sources for a map or maps of the facility or program area that show the
location of those properties or reference databases where that information is available. (See
ARPA statement in Section 3.3, Known Cultural Resources.)
3.3.1.2 Objects
Describe or list any isolated or special prehistoric objects or object types recovered from or
known to be present at the facility or program area. Provide current locational information for
these properties. (See ARPA statement in Section 3.3.)
3.3.1.3 Other Important Properties
Describe or list any other special prehistoric properties recovered from or known to be present at
the facility or program area. Examples of properties in this category are isolated features and
important or unusual paleoenvironmental specimens. Provide current locational information for
these properties. (See ARPA statement in Section 3.3.)
3.3.2 Historic Properties
Topics to be addressed include historic districts, sites, buildings, structures, objects, other
important historic resources that are known to exist at the facility or program area, and other
resources of ethnic importance.
3.3.2.1 Districts, Sites, Buildings, and Structures
Describe or list known historic and protohistoric districts, sites, buildings, and structures at the
facility or program area. Provide or indicate sources for a map or maps of the facility or program
area that show the location of those properties or reference databases where that information is
available. (See ARPA statement in Section 3.3.)
3.3.2.2 Objects
Describe or list any isolated or special historic and protohistoric objects or object types
recovered from or known to be present at the facility or program area. Provide current locational
information for these properties. (See ARPA statement in Section 3.3.)
3.3.2.3 Other Important Properties
Describe or list any other special historic and protohistoric property types recovered from or
known to be present at the facility or program area. Examples of properties in this category are
isolated features or objects and important or unusual environmental specimens. Provide
locational information for these properties. (See ARPA statement in Section 3.3.)
3.3.2.4 Other Resources of Ethnic Importance
Describe or list any other traditional resources of ethnic importance recovered from or known to
be present at the facility or program area. Provide locational information for these resources.
(See ARPA statement in Section 3.3.)
3.3.3 Resources of Native American Cultural Significance
Topics to be addressed include sacred sites, traditional-use resources, Native American cultural
items, and other resources of Native American cultural significance that are known to exist at the
facility or program area. Restrictions on publicizing site descriptions and locations are also
discussed. Protocols for consultation may be developed between DOE and Native American
governments at the decision-maker, policy, or technical levels on issues of mutual concern. (See
EH-41 Information Brief, Native American Consultation.)
3.3.3.1 Sacred Sites
Following consultation with Native American tribes, it may be appropriate to describe or list
known sacred sites at the facility or program area. There may be Native American tribes that will
not release descriptions, lists, or maps of known sacred sites at any facility or program area.
Therefore, it is important for DOE to consult with individual tribal governments on a
case-by-case basis before each project commences. The consultation process will determine the
preferred strategy for managing sacred sites and the information that might be restricted,
recorded, and published on each sacred site.
When identifying and describing the locations and structures of sacred sites, exercise sensitivity
to Native Americans’ concerns. Descriptions of sacred sites and any maps showing the locations
of these sites should be considered sensitive information and should not be included with any
versions of the CRMP to which access is not appropriately restricted in accordance with legal
requirements and agreements with Native Americans.
3.3.3.2 Traditional-Use Resources
Describe or list known traditional-use resources at the facility or program area. Provide or
indicate sources for a map or maps of the facility or program area that show the location of
resource areas or reference databases where that information is available. Include references to
appropriate treaty rights regarding specific resources (e.g., plants, animals, minerals, natural
features). (See ARPA statement in Section 3.3.)
3.3.3.3 Native American Cultural Items
Describe or list any Native American cultural items recovered from or known to be present at the
facility or program area. Describe categories of items and provide locational information for
these items. Discuss current procedures for consulting with Native American tribes to manage
cultural items that remain in situ at the facility or program area.
3.3.3.4 Other Resources of Native American Cultural Significance
Describe or list any other traditional resources of Native American cultural significance
recovered from or known to be present at the facility or program area. Provide locational
information for these resources. (See ARPA statement in Section 3.3.)
3.3.4 Properties of Recent Scientific Significance
Topics to be addressed include districts, sites, buildings, structures, other facilities, objects, and
other properties at the facility or program area that are associated with scientific, engineering,
and other technological themes of historical significance.
3.3.4.1 Districts, Sites, Buildings, Structures, and Other Facilities
Describe or list the structures and other facilities of recent scientific significance at the facility or
program area. Provide or indicate sources for a map or maps of the facility or program area that
show the location of those properties or reference databases where that information is available.
(See ARPA statement in Section 3.3.)
3.3.4.2 Objects
Describe or list any objects of recent scientific significance at the facility or program area.
Examples of objects in this category include major pieces of equipment or apparatus. Provide
locational information for these objects. (See ARPA statement in Section 3.3.)
3.3.4.3 Other Properties
Describe or list any other properties that have recent scientific significance at the facility or
program area. Provide locational information for these other properties. (See ARPA statement in
Section 3.3.)
3.4 CRM ACCOMPLISHMENTS
This section of the CRMP should address past accomplishments in the management of the
cultural resources present at the facility or program area. Accomplishments (i.e., achievements,
deliverables) may exist in the areas of records and reports, inventory, excavation, laboratory
treatment, curation, preservation, research, outreach, and other CRM accomplishments. Present
any pertinent introductory information concerning the facility’s or the program’s CRM
accomplishments. Provide specific information concerning these accomplishments in the
subsections that follow. (See Appendix A, Glossary, for definitions of the terms used for general
and specific types of CRM activities.)
When large numbers of CRM accomplishments are documented, use lists, tables, or databases to
summarize projects by number (if assigned). At a minimum the following information should be
provided: the type of activity, the activity dates, the methods used, and relevant findings or other
results. One master list can be prepared for all accomplishments (except for recordkeeping and
reporting). If lists, tables, or databases are used, individual descriptions of accomplishments may
also be appropriate for special examples of the activity.
ARPA precludes public access to maps or other information concerning the nature and location
of cultural resources under the Freedom of Information Act (5 U.S.C., Chapter 5, Subchapter II)
or under any other provision of law unless certain conditions specified in the Act are met.
Sections of the CRMP that contain maps or other information of this type should be considered
sensitive, and distribution should be restricted appropriately.
3.4.1 Cultural Resource Records and Reports
Topics to be addressed include up-to-date facility or program accomplishments in compiling
cultural resource records and reports.
3.4.1.1 Cultural Resource Site Records
Describe the cultural resource site record system used by the facility or program. Include the
cultural resource site form; site numbering system; site record cataloging system; site location
mapping; and site record storage, access, and security. Indicate in Part 6 of the CRMP how to
obtain copies of completed cultural resource site forms. (See ARPA statement in Section 3.4,
CRM Accomplishments.)
3.4.1.2 Cultural Resource Project Records
Describe the cultural resource project record system used by the facility or program. Include the
cultural resource project form; project numbering system; project record cataloging system;
project location mapping; and project record storage, access, and security. Indicate in Part 6 of
the CRMP how to obtain copies of completed cultural resource project forms. (See ARPA
statement in Section 3.4.)
3.4.1.3 Other Cultural Resource Records
Describe any additional record systems used by the facility or program for inventory, excavation,
laboratory treatment, curation, preservation, research, outreach, legal compliance, or other CRM
activities. Include record categories such as notes, inventories of environmental samples, forms,
photographs, drawings, and maps; the format of each record category; record cataloging systems;
and record storage, access, and security. Indicate in Part 6 of the CRMP how to obtain copies of
any completed records used by the facility or program. (See ARPA statement in Section 3.4.)
3.4.1.4 Cultural Resource Reports
3.4.1.4.1 Standardized Report Outlines. Briefly describe any standardized format and content
outlines that the facility or program uses to prepare internal reports on CRM activities such as
inventories or excavations. Indicate in Part 6 of the CRMP how to obtain copies of any report
outlines used by the facility or program.
3.4.1.4.2 Report Library. Describe the system used for acquiring, storing, and accessing copies
of reports and other written documents dealing with cultural resources at the facility program
area. In Part 6 of the CRMP, include a bibliography of the cultural reports and documents or
sources for that data. This bibliography should include archival records that have been compiled
(e.g., historic agricultural and population censuses, land ownership records, genealogies).
3.4.2 Inventory
Topics to be addressed include up-to-date accomplishments in archival searches, ethnographic
fieldwork, structure and facility surveys, archeological surveys, and other inventory activities
that have been carried out at the facility or program area. Include pre- and post-facility or
program inventory records (e.g., photographs, land transactions). This section should summarize
existing inventory information, including that obtained using GIS. In cases where large site and
survey files and maps have been compiled in separate documents, these documents may be
cross-referenced, and only summary information provided.
3.4.2.1 Archival Searches
Describe or list any archival searches carried out to locate and retrieve information from archival
records relating to the facility or program area. Provide or indicate sources for a map or maps of
the facility or program area that show the location of each cultural resource site for which
archival information has been obtained. (See ARPA statement in Section 3.4.)
3.4.2.2 Ethnographic Fieldwork
Describe or list any ethnographic fieldwork projects conducted to identify and document
resources of ethnic importance at the facility or program area. Provide or indicate sources for a
map or maps of the facility or program area that show the location of each cultural resource
documented through ethnographic fieldwork. (See ARPA statement in Section 3.4.)
Identify tribal governments that have been contacted as part of these projects, and briefly
describe the scope and content of the consultations that have taken place. Describe the strategy
for involving tribal elders, traditional leaders, and other technical experts in ethnographic
projects. Protocols for consultation may be developed between DOE and Native American
governments at the decision-maker, policy, or technical levels on issues of mutual concern.
3.4.2.3 Structure and Facility Surveys
Describe or list any structure or facility surveys carried out to document buildings or other
structures or facilities at the facility or program area. Provide or indicate sources for a map or
maps of the facility or program area that show the location and type of each structure or facility
survey that has been conducted at the facility or program area. (See ARPA statement in
Section 3.4.)
3.4.2.4 Structure and Facility Survey Status
Assess the current structure and facility survey status at the facility or program area. Discuss the
effectiveness of the survey techniques used to identify buildings and other structures and
facilities of historic or recent scientific significance. Provide or indicate sources for a map or
maps of the facility or program area that show unsurveyed areas. (See ARPA statement in
Section 3.4.) Also, summarize any currently existing plans for future large-scale survey projects.
3.4.2.5 Archeological Surveys
Describe or list any archeological surveys carried out to locate and record cultural resources at
the facility or program area. Specify the size of each archeological survey project. Provide or
indicate sources for a map or maps of the facility or program area that show the location and type
of each archeological survey that has been conducted at the facility or program area, whether or
not cultural resources have been located. (See ARPA statement in Section 3.4.)
3.4.2.6 Archeological Survey Status
Assess the current archeological survey status of the facility or program area, specifying the size
and percentage of surveyed and unsurveyed areas. Distinguish between levels of survey
coverage based on sampling intervals. Discuss the effectiveness of various survey intervals for
identifying cultural resource sites of different types, sizes, and artifact densities. Identify any
presently unsurveyed areas that may not need to be surveyed, and present the rationale for this
finding (e.g., landscaped and constructed areas where soils that could contain cultural resources
have been removed). Also, identify any unsurveyed areas that could contain cultural materials
and features. Provide or indicate sources for a map or maps of the facility or program area that
show unsurveyed areas, keyed to indicate those areas that will and will not require future
surveys. (See ARPA statement in Section 3.4.) Also, summarize any currently existing plans for
future large-scale survey projects.
3.4.2.7 Other Inventory Activities
Describe or list any other cultural resource inventory activities carried out to date at the facility
or program area. Provide locational information for these activities. (See ARPA statement in
Section 3.4.)
3.4.3 Excavation
This section should address the results of current and past archaeological excavations that have
been carried out at the facility or program area. Topics to be discussed include accomplishments
to date involving test excavations and large-scale excavations of cultural resources. Use charts
and tables to summarize large data sets. In cases where large site and survey files and maps have
been compiled in separate documents, these documents may be cross-referenced, and only
summary information provided.
3.4.3.1 Test Excavations
Describe or list any test excavations carried out at cultural resource sites at the facility or
program area. Describe the purpose or objectives of the excavation and the methods selected.
Provide or indicate sources for a map or maps of the facility or program area showing the
location of each site at which test excavations have been conducted. (See ARPA statement in
Section 3.4.)
3.4.3.2 Large-Scale Excavations
Describe or list any large-scale excavations carried out at cultural resource sites at the facility or
program area. Describe the purpose or objectives of the excavation and the methods selected.
Provide or indicate sources for a map or maps of the facility or program area showing the
location of each site at which large-scale excavations have been conducted. (See ARPA
statement in Section 3.4.)
3.4.3.3 Excavation Status
Assess the status of cultural resource excavations at the facility or program area. Specify the
number and percentage of known sites at which excavations have occurred versus the number
and percentage of unexcavated sites. Provide or indicate sources for a map or maps of the facility
or program area showing unexcavated sites. (See ARPA statement in Section 3.4.) Also,
summarize any currently existing plans for future large-scale excavation projects, and state the
purpose of these activities.
3.4.4 Structure and Facility Management
Topics to be addressed include accomplishments to date in documentation, maintenance, and
mitigation of buildings and other structures and facilities of historic or recent scientific
significance. In cases where large site and survey files and maps have been compiled in separate
documents, these documents may be cross-referenced, and only summary information provided.
3.4.4.1 Documentation
Describe or list any structure or facility documentation projects carried out at the facility or
program area. Discuss the methods used, and identify any Historic American Buildings Survey
or Historic American Engineering Record documentation produced. Provide or indicate sources
for a map or maps that show the location of each documented building or structure. (See ARPA
statement in Section 3.4.)
3.4.4.2 Maintenance
Describe or list any structure or facility maintenance projects carried out at the facility or
program area. Discuss the purpose or objectives of the maintenance and the methods used.
Provide or indicate sources for a map or maps showing the location of each building or structure
at which maintenance has been conducted. (See ARPA statement in Section 3.4.)
3.4.4.3 Mitigation
Describe or list any structure or facility mitigation projects carried out at the facility or program
area. Discuss the purpose or objectives of the mitigation actions and the methods selected.
Provide or indicate sources for a map or maps showing the location of each building or structure
at which mitigation actions have been conducted. (See ARPA statement in Section 3.4.)
3.4.4.4 Management Status
Assess the status of structure and facility management at the facility or program area. Specify the
number and percentage of known structures or facilities of historic or recent scientific
significance at which management actions have occurred versus the number and percentage of
those at which such actions have not occurred. Provide or indicate sources for a map or maps of
the facility or program area showing structures and facilities at which management actions have
not been carried out. (See ARPA statement in Section 3.4.) Also, summarize any currently
existing plans for future large-scale structure and facility management projects, and state the
purpose of these activities.
3.4.5 Laboratory Treatment
Topics to be addressed include accomplishments to date in processing and analyzing cultural
resources and environmental samples that have been recovered at the facility or program area.
3.4.5.1 Processing
Describe any existing laboratory processing facilities and procedures for cultural resources that
have been recovered at the facility or program area. Identify facilities and procedures for internal
processing and arrangements for external processing.
3.4.5.2 Analysis
Describe any existing laboratory analysis facilities and procedures for cultural resources that
have been recovered at the facility or program area. Identify facilities and procedures for internal
analysis and arrangements for external analysis by other institutions. Describe special types of
studies that are being used because they are particularly well suited to understanding the kinds of
sites and artifacts recovered at a specific facility or program area.
3.4.5.3 Laboratory Treatment Status
Assess the status of laboratory treatment of cultural resources that have been recovered at the
facility or program area. As part of the assessment, evaluate the internal or external processing
and analysis facilities and procedures utilized. Identify any large, unprocessed or unanalyzed
collections of cultural and/or environmental resources.
3.4.6 Curation
Topics to be addressed include accomplishments to date concerning the curation of cultural
resources that have been recovered at the facility or program area. Describe the strategy for
involving tribal elders, traditional leaders, and other technical experts in curation of cultural
resources. (See 36 CFR Part 79, Curation of Federally-Owned and Administered Archeological
Collections.)
3.4.6.1 Curation Facilities and Procedures
Describe any existing curation facilities and procedures for cultural resources that have been
recovered at the facility or program area. Identify facilities and procedures for internal curation
and arrangements for external curation. Ensure that information documenting collection policies,
scope of the collection, and collection assessment is available for review, if requested. Indicate
its location, if it is available electronically, or identify the individual who can provide copies.
3.4.6.2 Curation Status
Assess the current curation status of cultural resources recovered at the facility or program area.
Identify any resources or collections of resources recovered at the facility or program area that
are currently inadequately curated.
3.4.7 Preservation
Topics to be addressed include accomplishments to date involving the protection of cultural
resources from natural and human forces at the facility or program area.
3.4.7.1 Protection from Natural Forces
Describe or list efforts (e.g., stabilization, special treatment, repairs) to protect cultural resource
sites at the facility or program area from the effects of natural forces [e.g., fire (see DOE’s
Wildland Fire Management Policy )]. Provide or indicate sources for a map or maps of the
facility or program area showing the location of each site at which such protection measures
have been implemented. (See ARPA statement in Section 3.4.)
3.4.7.2 Protection from Human Forces
3.4.7.2.1 Authorized Actions. Describe or list efforts to protect cultural resource sites at the
facility or program area from the effects of human forces resulting from authorized actions (e.g.,
new construction, operational activities, repairs, remedial actions). Examples of these kinds of
protection activities are project screening and tracking systems, monitoring plans, site marking,
physical protection (e.g., fencing), and CRM training. Provide or indicate sources for a map or
maps of the facility or program area showing the location of each site at which such protection
measures have been implemented. (See ARPA statement in Section 3.4.)
3.4.7.2.2 Illegal Acts. Describe or list efforts to protect cultural resource sites at the facility or
program area from the effects of human forces resulting from illegal acts. Examples of these
kinds of protection activities are site signs, site patrols, electronic monitoring, on-site
surveillance, physical protection (e.g., fencing), and archeological resource protection training.
Provide or indicate sources for a map or maps of the facility or program area showing the
location of each site at which such protection measures have been implemented. (See ARPA
statement in Section 3.4.)
3.4.7.3 Preservation Status
Assess the status of cultural resource preservation at the facility or program area. Specify the
number and percentage of known sites where protection measures have been implemented and
the number and percentage of those that are unprotected. Provide or indicate sources for a map
or maps of the facility or program area showing unprotected sites. (See ARPA statement in
Section 3.4.)
3.4.8 Research
Describe or list any prehistoric, historic, or ethnographic research projects dealing with cultural
resources at the facility or program area. Discuss the status of facility or program
accomplishments in cultural resource research, and identify any major issues that should be the
subject of future research efforts. Also, discuss the status of the development of a facility or
program cultural resource research design. If this research design already exists, indicate in
Part 6 of the CRMP how to obtain a copy of it.
3.4.9 Outreach
Topics to be addressed include accomplishments to date involving outreach activities on and off
the DOE site that are related to cultural resources at the facility or program area. To comply with
E.O. 13287, Preserve America, outreach should include developing public-private partnerships
to promote local economic vitality through use of historic properties and cooperating with local
communities to increase public benefit from and access to Federal historic properties.
3.4.9.1 Activities on the DOE Site
Describe or list any cultural resource outreach activities that have been carried out on the DOE
site at the facility or program area (e.g., the development of museums on the DOE site,
publications of institutional histories).
3.4.9.2 Activities not on the DOE Site
Describe or list any cultural resource outreach activities that have been carried out by facility or
program staff at locations off the DOE site (e.g., publications by staff members on the prehistory
or history of the facility or program in journals or other sources).
3.4.9.3 Outreach Status
Assess the status of facility or program cultural resource outreach activities.
3.4.10 Other CRM Accomplishments
Topics to be addressed include any other CRM accomplishments to date at the facility or
program area that were not identified in previous sections of the CRMP.
3.5 LEGAL COMPLIANCE ACCOMPLISHMENTS
General CRM activities at the facility or program area may have been designed to meet legal
compliance requirements that apply to these resources under the following authorities: NHPA;
36 CFR Part 800, Protection of Historic Properties; 36 CFR Part 79, Curation of
Federally-Owned and Administered Archeological Collections; AIRFA; ARPA; NAGPRA;
43 CFR Part 10, Native American Graves Protection and Repatriation Regulations; and
E.O.s 13007 and 13287. In this section present general information on the facility’s or program’s
legal compliance accomplishments. In the following subsections present specific information
concerning these accomplishments. (See Appendix A, Glossary, for definitions of the terms
related to the legal compliance requirements that apply to cultural resources.)
3.5.1 NHPA and 36 CFR Part 800
Topics to be addressed include Sections 106 and 110(f) of NHPA and 36 CFR Part 800,
Protection of Historic Properties. Assess the status of facility or program compliance with these
legal authorities by providing the information indicated below.
3.5.1.1 NHPA Sections 106 and 110(f)
Discuss existing procedures for taking into account the effects of projects on National Historic
Landmarks, National Register properties, and National Register-eligible properties and for
affording the Advisory Council the opportunity to comment on these effects. These procedures
may be the subject of a PA negotiated by the facility or program with the Advisory Council and
the SHPO or THPO following 36 CFR 800.14(b). If so, the terms of the agreement should be
summarized here. Indicate in Part 6 of the CRMP how to obtain a copy of the PA.
3.5.1.2 NHPA Sections 110(a)–(e) and (g)–(j)
Address efforts to protect and nominate National Register-eligible resources. When large
numbers of cultural resource sites are known to exist at the facility or program area, use a table
to present information on their National Register-nomination status. Also, discuss other steps
taken to comply with these sections of the law.
3.5.2 AIRFA
Assess the status of facility or program efforts to implement AIRFA. Discuss steps carried out to
evaluate facility or program policies and procedures. Provide information documenting
consultation with Native American tribal and traditional leaders to determine appropriate
changes necessary to access, protect, and preserve Native American religious cultural rights and
practices. Describe the steps taken to identify treaty tribes that may no longer reside in the
facility or program area. Protocols for consultation may be developed between DOE and Native
American governments on issues of mutual concern.
3.5.3 ARPA
Topics to be emphasized here are Sections 10(c) and 14 of ARPA. Assess the status of facility or
program compliance with these sections of the law by providing the information indicated.
3.5.3.1 ARPA Section 10(c)
Discuss any outreach activities or other efforts designed to increase public awareness of the
significance of cultural resources at the facility or program area and the need to protect these
resources.
3.5.3.2 ARPA Section 14
Address any steps taken to develop plans and to prioritize schedules for archeological surveys of
the lands at the facility or program area. Also, discuss any efforts to create a documentation
system for violations of the act.
3.5.4 NAGPRA
Topics to be emphasized here are Sections 5, 6, and 7 of NAGPRA. Assess the status of facility
or program compliance with these sections of the law by providing the information indicated
below.
3.5.4.1 NAGPRA Section 5
Identify any steps taken to compile an inventory of facility or program holdings or collections of
Native American human remains and associated funerary objects.
3.5.4.2 NAGPRA Section 6
Discuss any efforts to develop a written summary of facility or program holdings or collections
of Native American unassociated funerary objects, sacred objects, or objects of cultural
patrimony.
3.5.4.3 NAGPRA Section 7
Identify any actions taken by the facility or program to repatriate Native American cultural items
in accordance with the provisions in Section 7 of NAGPRA.
3.5.5 36 CFR Part 79
Assess the status of facility or program compliance with 36 CFR Part 79, Curation of
Federally-Owned and Administered Archeological Collections. Discuss any steps carried out to
follow the standards, provisions, and guidelines of 36 CFR Part 79 for the preservation of
collections of prehistoric and historic material remains and associated records that have been
recovered under the authority of Federal cultural resource permits at the facility or program area.
3.5.6 E.O. 13007
Assess the status of facility or program compliance with E.O. 13007, Indian Sacred Sites,
dated 5-24-96. Discuss any steps carried out to accommodate access to and ceremonial use of
Indian sacred sites in the facility or program area by Indian religious practitioners to avoid
adversely affecting the physical integrity of such sites and, where appropriate, to maintain
confidentiality of sacred sites.
3.5.7 E.O. 13287
Assess the status of facility or program compliance with E.O. 13287, Preserve America,
dated 3-3-03. Discuss any steps carried out to advance the protection, enhancement, and
contemporary use of historic properties owned by DOE and to promote intergovernmental
cooperation and partnerships for the preservation and use of historic properties in the facility or
program area. Specifically, discuss any steps taken to improve stewardship of historic properties
and to cooperate with local communities to increase opportunities for public benefit from, and
access to, DOE-owned historic properties in the facility or program area.
DESCRIPTION OF PART 4 OF THE CRMP
The CRMP should address CRM methods. The prescribed format and content of
the headings and subheadings under this part follow and should reflect the
numerical outline shown below. In cases where information about CRM methods
has been compiled in separate documents, these documents may be
cross-referenced, and only summary tables provided in this section.
4. CRM METHODS
There are several accepted, effective methods for developing CRM procedures for the facility or
program. Such methods apply to preparing and maintaining records and reports and conducting
inventories, excavations, laboratory treatments, curation, preservation, and outreach. In the
following subsections, provide specific information concerning facility or program CRM
methods. (See Appendix A, Glossary, for definitions of the terms used in relation to CRM
methodology.)
4.1 RECORDS AND REPORTS
This section should address methods for preparing and maintaining facility or program cultural
resource records and reports. Clearly indicate in Section 4.1.1 whether the existing cultural
resource records and reports system described in Section 3.4.1, or some parts of that system, will
continue in effect. If not, indicate what parts will be changed and how (e.g., whether a GIS will
be implemented).
4.1.1 Cultural Resource Site Records
Describe the system to be used. Address the cultural resource site form; site numbering system;
site record cataloging system; site location mapping; and site record storage, access, and
security. Indicate in Part 6 of the CRMP how to obtain a copy of the cultural resource site form
to be used. Cultural resource site records must be maintained permanently at the DOE site.
Indicate how permanent, cumulative maintenance of records will be accomplished.
4.1.2 Cultural Resource Project Records
Describe the system to be used. Address the cultural resource project form; project numbering
system; project record cataloging system; project location mapping; and project record storage,
access, and security. Indicate in Part 6 of the CRMP how to obtain a copy of the cultural
resource project form or permit.
4.1.3 Other Cultural Resource Records
Describe any other recordkeeping systems, in addition to site and project records, to be used.
Include record categories (e.g., inventory, excavation, laboratory treatment, curation,
preservation, research, outreach, legal compliance, other CRM activities) and the formats of
record categories (e.g., notes, forms, photographs, drawings, and maps; record cataloging
systems such as databases; records storage, access, and security). Indicate in Part 6 of the CRMP
how to obtain copies of any such forms.
4.1.4 Cultural Resource Reports
4.1.4.1 Standardized Report Outlines
Describe any standardized format and content outlines for reports on facility or program CRM
activities such as inventory or excavation. Indicate in Part 6 of the CRMP how to obtain copies
of any report outlines to be used.
4.1.4.2 Report Library
Describe the system that will be used for acquiring, storing, protecting, and accessing copies of
reports and other written documents dealing with cultural resources at the facility or program
area.
4.2 INVENTORY
This section should address methods for cultural resource inventories to be used at the facility or
program area. The methods should be appropriate for the specific cultural resource inventory
conditions associated with the facility or program area and take into account the
recommendations made by consulting tribal governments.
4.2.1 Archival Searches
Describe the methods to be used for locating and retrieving information from archival records
relating to cultural resources at the facility or program area. The types of archival records known
to exist for the facility or program area will help determine the types of archival search methods
that are appropriate and how broad an area must be investigated (e.g., county, municipal, family
records).
4.2.2 Ethnographic Fieldwork
Describe the ethnographic fieldwork methods to be used for identifying and documenting
resources of ethnic importance at the facility or program area. The usefulness of different
ethnographic methods (e.g., observing or interviewing participants) will depend on various
characteristics of the groups that may have religious or other affiliations to cultural resources at
the facility or program area. For example, local families who have lived in the area for a long
time and, thus, have continuity with its history could be identified and contacted even if they
have moved out of the area. In addition, treaty tribes and individuals must be included in the
study, even tribes that are currently located in other states.
Native American religions are not organized in a bureaucratic structure or hierarchy, such as
non-Native American religions that generally have a national or international level of
organization. Interaction with Native Americans should take place through their individual tribal
governments and the elder, traditionalist, or native practitioner designated by the tribe to address
cultural/religious issues. When ethnographic fieldwork involving the traditional lands and
resources of several tribes will take place, it may be necessary to contact multiple tribal
governments and their cultural/religious representatives.
4.2.3 Structure and Facility Surveys
Describe the survey methods to be used for locating and recording buildings and other structures
and facilities of historic or recent scientific significance at the facility or program area. The
survey methods used will be determined by the type and integrity of the buildings, structures, or
facilities being recorded.
4.2.4 Archeological Surveys
Describe the archeological survey methods to be used for locating and recording cultural
resources at the facility or program area. Describe the strategy for involving tribal elders,
traditional leaders, and other technical experts recognized by the tribes in designing and
implementing archaeological surveys. Conservative approaches that avoid false negative
findings and results are recommended. Environmental conditions and cultural resource
characteristics are important factors in developing the sampling procedure or selecting an
appropriate method. For example, shovel tests or surface stripping may be required to locate
certain types of cultural resources at some locations, but not at others.
In addition to addressing the types of archeological surveys that are appropriate at the facility or
program area, identify all applicable coverage requirements, such as survey transect intervals and
other statistically valid sampling strategies. If shovel test surveys are to be conducted, identify
the shovel test intervals to be used and the rationale for selecting each interval in locating
previously unidentified sites. If surface walkover is used in an arid environment or if
plowing/disking is selected, identify the transect interval to be used and the rationale for
selecting each interval in locating previously unidentified sites.
The methods selected for site identification should be conservative and designed to locate the
total range of site types and sizes, particularly in areas scheduled for new construction projects.
(See Appendix A, Glossary, for terms used to describe archeological survey methods.)
4.3 EXCAVATION
This section should address methods to be used for cultural resource excavations at the facility or
program area and take into account the recommendations made by consulting tribal
governments. Methods should be appropriate for the specific cultural resource excavation
conditions associated with the facility or program area. Methods also should be selected to
maximize the kinds and amount of data recovered.
4.3.1 Test Excavations
Describe the methods for conducting test excavations of cultural resources at the facility or
program area. Identify any established correlations between site types and the effectiveness of
particular survey and test excavation methods. If surface stripping of overburden may be
required prior to conducting test excavations, discuss the circumstances under which this method
will be used.
4.3.2 Large-Scale Excavations
Describe the methods of conducting large-scale excavations of cultural resources at the facility
or program area. Describe the advantages and disadvantages of specific methods that are
selectively utilized. If surface stripping of overburden may be required prior to conducting
large-scale excavations, discuss the circumstances under which this method will be used.
4.4 STRUCTURE AND FACILITY MANAGEMENT
This section should address the methods to be used for managing buildings and other structures
and facilities of historic or recent scientific significance at the facility or program area. Methods
should be appropriate for the structure and facility management conditions associated with the
facility or program area.
4.4.1 Documentation
Describe the methods to be used for structure and facility documentation. Identify the criteria to
be used for selection of full Historic American Buildings Survey or Historic American
Engineering Board documentation versus less exhaustive documentation.
4.4.2 Maintenance
Describe the methods to be used for structure and facility maintenance. Maintenance methods
should be selected that will most effectively preserve the historic or scientific integrity of the
structure or facility.
4.4.3 Mitigation
Describe the methods to be used for structure and facility mitigation. In addition to full Historic
American Buildings Survey or Historic American Engineering Board documentation, methods
should be identified that may potentially be used to mitigate the unavoidable loss of buildings or
other structures or facilities of historic or recent scientific significance. Dismantling and
reconstructing a building, structure, or facility at a new location would be one potential
mitigation method.
4.5 LABORATORY TREATMENT
This section should address the laboratory treatment methods to be used for processing and
analyzing cultural resources recovered at the facility or program area. Methods should be
appropriate for the specific types of cultural resources known to be present at the facility or
program area and take into account the recommendations made by consulting tribal
governments.
4.5.1 Processing
Describe the methods to be used for laboratory processing of cultural resources recovered at the
facility or program area. Identify any known materials that will require special treatment during
processing (e.g., carbon and macrobotanical samples from flotation). Discuss any new internal
facilities or external arrangements with other institutions that will be necessary to effectively
process recovered materials.
4.5.2 Analysis
Describe the methods to be used for laboratory analysis of cultural resources recovered at the
facility or program area. Discuss new analytical methods that could help to answer questions
about the kind, number, and distribution of site types (e.g., petrographic analysis of ceramics,
lithic microwear, blood residues, spectrographic analysis of artifactual source materials). If a
particular facility or program has special analytical capabilities in an area that is well suited to
cultural resource investigations, specialized research is encouraged in this technical area. Discuss
any new internal facilities or external arrangements with other institutions that will be necessary
to analyze recovered materials effectively.
4.6 CURATION
This section should address curation methods to be used for cultural resources recovered at the
facility or program area. (Cultural resources mean all categories of materials identified in
36 CFR Part 79, Curation of Federally-Owned and Administered Archeological Collections,
including organic material and environmental and chronometric specimens.) The curation
methods must be appropriate for the specific types of cultural resources known to be present at
the facility or program area and take into account the recommendations made by consulting
tribal governments. It is particularly important to develop a strategy for involving tribal elders,
traditional leaders, and other technical experts recognized by the tribes in the curation of items
that a tribal government believes are culturally sensitive.
4.6.1 Preservation
Describe the preservation methods to be used for handling, cleaning, stabilizing, and conserving
collections of cultural resources recovered at the facility or program area.
4.6.2 Inventorying, Accessioning, Labeling, and Cataloging
Describe the methods to be used for inventorying, accessioning, labeling, and cataloging
collections of cultural resources recovered at the facility or program area.
4.6.3 Identification, Evaluation, and Documentation
Describe the methods to be used for identifying, evaluating, and documenting collections of
cultural resources recovered at the facility or program area.
4.6.4 Storage and Maintenance
Describe the methods to be used for storing and maintaining collections of cultural resources
recovered at the facility or program area, including appropriate containers, environmental
conditions, and physical security controls. If this function is provided under a contract with a
state or private organization, discuss the quality assurance procedures that will be used by the
DOE facility or program area managers.
4.6.5 Periodic Inspection and Remedial Preservation
Describe the schedule, quality assurance plan, and methods to be used for periodic inspection
and remedial preservation of collections of cultural resources recovered at the facility or program
area.
4.6.6 Study
Describe the methods to be used for providing controlled access and facilities for study of
collections of cultural resources recovered at the facility or program area.
4.7 IN-SITU PRESERVATION
This section should address the methods to be used for in-situ preservation of cultural resources
discovered in the facility or program area. (Preservation of collections of cultural resources is
addressed in Section 4.6.1 of this Guide.) Methods of preservation should be appropriate for the
specific conditions associated with the facility or program area and should take into account the
recommendations made by consulting tribal governments. Permits may be used in this context.
Indicate in Part 6 of the CRMP how to obtain a copy of the relevant permit forms.
4.7.1 Natural Forces
Describe the methods, procedures, and quality assurance systems to be used for protecting
cultural resources in-situ at the facility or program area from the effects of natural forces (e.g.,
fire). Known correlations between the natural forces occurring and the kinds and degrees of
cultural resource damage will help determine the most effective physical protection measures.
It is noted that some tribal governments believe that there are cultural items that must not be
handled but left undisturbed where they are found and allowed to disintegrate into the earth.
4.7.2 Human Forces
4.7.2.1 Authorized Actions
Describe the systems to be used to protect cultural resources at the facility or program area from
the effects of human forces resulting from authorized actions. Methods may include physical
measures at or in association with the resources (e.g., more effective site marking or project
monitoring) and administrative initiatives (e.g., project planning, tracking, quality assurance).
4.7.2.2 Illegal Acts
Describe the methods to be used for protecting cultural resources at the facility or program area
from the effects of human forces resulting from illegal acts. Address prevention, detection, and
investigation of the acts as well as prosecution of those responsible.
4.8 OUTREACH
This section should address methods to be used for outreach activities dealing with the cultural
resources at the facility or program area. To comply with DOE O 450.1, Environmental
Protection Program, public participation should include soliciting the views of interested parties
when setting goals and objectives for the ISMS/EMS environmental aspects. To comply with
E.O. 13287, Preserve America, outreach should include developing public-private partnerships
to promote local economic vitality through use of historic properties and cooperating with local
communities to increase public benefit from and access to Federal historic properties. Methods
should be appropriate for the specific types of cultural resources known to be present at the
facility or program area and take into account the recommendations made through consultation
with tribal governments and other interested parties.
4.8.1 Activities on the DOE Site
Describe the methods and procedures to be used for conducting outreach activities on the DOE
site relating to the cultural resources at the facility or program area. Factors that should be
discussed include the types, locations, and conditions of cultural resources; national security
concerns; and other operational requirements relative to methods used at the DOE site.
4.8.2 Activities not on the DOE Site
Describe the methods and procedures to be used for conducting outreach activities off the DOE
site relating to the cultural resources at the facility or program area. The range of outreach
methods used off the DOE site will depend on factors such as facility or program staff
availability and the nature of outside interest.
4.9 INTERAGENCY INFORMATION EXCHANGE
A consistent data management system would facilitate the interagency exchange of information
(e.g., the Department of Interior’s annual Federal Archeological Activities Questionnaire).
Examples of data management systems can be found on the National Park Service (NPS) Web
site at the following URLs: http://www.cr.nps.gov/aad/TOOLS/nadb.htm,
http://www.cr.nps.gov/nr/research/nris.htm, and
http://www.cr.nps.gov/nagpra/ONLINEDB/INDEX.HTM.
DESCRIPTION OF PART 5 OF THE CRMP
Part 5 should address CRM Procedures and Administration. The prescribed
format and content of the headings and subheadings under this part follow and
should reflect the numerical outline shown below. In cases where information
about CRM procedures and administration has been compiled in separate
documents, these documents may be cross-referenced, and only summary tables
provided in this section.
5. CRM PROCEDURES AND ADMINISTRATION
5.1 PROCEDURES FOR NHPA SECTIONS 106 AND 110(F) COMPLIANCE
Procedural requirements concerning cultural resources are placed on Federal agencies and
federally licensed or assisted activities by E.O. 11593, Protection and Enhancement of the
Cultural Environment, dated 5-13-71; NHPA Sections 106 and 110(f); and implementing
regulations in 36 CFR Part 800, Protection of Historic Properties. (See the ACHP Web site,
http://www.achp.gov/regsflow.html, for a diagram of the Section 106 review process established
by 36 CFR Part 800, Subpart B.) These authorities establish requirements pertaining to projects,
activities, and programs that may affect cultural resources. (See Section 5.2 of this Guide for
discussion of National Register nominations and National Historic Landmarks designation and
recognition and Section 5.3 for discussion of compliance with ARPA.)
This section should discuss compliance with the requirements of these legal authorities at the
facility or program area. Specific information on compliance procedures should be provided. If
the procedures for compliance with Section 106 of NHPA are the subject of a PA, this section of
the CRMP should refer to the summary of the agreement presented in Section 3.5.1.1, and Part 6
of the CRMP should indicate how to obtain a copy of the agreement. If the facility or program
intends to negotiate a PA for compliance with Section 106 of NHPA, the terms of the proposed
agreement should be summarized here.
5.1.1 Initiate the Section 106 Process
This section should address the procedures to be used for preconstruction project planning and
evaluation, including identifying undertakings that may affect cultural resources; notifying the
CRM staff; consulting to assess information needs; and authorizing, funding, planning, and
scheduling archeological surveys and other field studies. These procedures must comply with the
requirements of Sections 106 and 110(f) of NHPA and 36 CFR 800.3 and 800.4. [See the ACHP
Web site (http://www.achp.gov/regsflow.html) for a diagram of the Section 106 review process.]
5.1.1.1 Preconstruction Project Planning and Evaluation
Describe, in general terms, the procedures for preconstruction project planning and evaluation at
the facility or program area. Particularly address any aspects of these procedures that take into
account and seek to eliminate potential effects of the undertaking on cultural resources. Identify
the staff position that has responsibility for these procedures.
5.1.1.2 Establishing That an Undertaking May Affect Cultural Resources
Describe the procedures that will be used to establish that a proposed project, activity, or
program at the facility or program area constitutes an undertaking as defined in
36 CFR 800.16(y) and, if so, whether it is a type of activity that may affect cultural resources.
Proposed CERCLA- and RCRA-related actions should be carefully assessed to determine if
cultural resources could be affected. Any project that is undergoing any level of NEPA review
should also be assessed. Assessment will require input from technical specialists. Identify the
staff position assigned responsibility for this determination.
5.1.1.3 Notifying CRM Staff
If the CRM staff is not directly involved in the process discussed in Section 5.1.1.2 above,
describe the procedures by which the CRM staff will be notified of undertakings that may affect
cultural resources. Identify the staff position assigned responsibility for this notification.
5.1.1.4 Consulting to Assess Information Needs
Describe the procedures that will be used to identify and to consult with the appropriate SHPO or
THPO on further actions necessary to identify cultural resources that may be affected. Also,
describe procedures for consultation with local governments, other Native Americans, and public
and private organizations likely to have knowledge of or concerns about cultural resources in the
area of the undertaking. The policies, procedures, and technical actions of DOE O 1230.2,
American Indian Tribal Government Policy, should be followed regarding consultation with
Native Americans. Another source of information is A Guide for DOE Employees: Working with
Indian Tribal Nations from the Office of Environmental Management.
Examples of appropriate points of contact for consultation with Native Americans, in addition to
the THPO, include the official tribal governing body, tribal cultural resource office, tribal
council cultural issues committees, and district and community residents. Protocols for
consultation may be developed between DOE and Native American governments on issues of
mutual concern. Identify the staff position assigned responsibility for these consultations.
5.1.1.5 Authorizing, Funding, Planning, and Scheduling Archeological Surveys and Other
Field Studies
Describe the procedures to be used for authorizing, funding, planning, and scheduling
archeological surveys or other field studies necessary to identify cultural resources that may be
affected by the undertaking. Identify the staff position assigned responsibility for these
administrative procedures.
5.1.1.6 Determining No Undertaking or No Potential to Cause Effects
Describe the procedures to be followed when it is determined that there is no undertaking as
defined in 36 CFR 800.16(y) or, if there is an undertaking, that it is not the type of activity that
has the potential to cause effects on historic properties. (See Section 5.1.6 of this Guide for
procedures dealing with unanticipated discoveries of cultural resources during implementation of
a project.) Identify the staff position assigned responsibility for preparing and keeping
appropriate records of such findings in case questions are raised by members of the public or
other parties at a later date.
5.1.2 Identify Cultural Resources That May Be Affected
This section should address the procedures to be used for identifying and gathering information
about known and unidentified cultural resources that may be affected by undertakings at the
facility or program area. These procedures must comply with the requirements of Sections 106
and, for National Historic Landmarks, 110(f) of NHPA and 36 CFR 800.4.
5.1.2.1 Area of Potential Effects and Known Cultural Resources
Describe the procedures to be used to determine and document the area of potential effects and
to identify known cultural resources that may be affected by undertakings. Identify the sources
of information, such as SHPOs or THPOs, other Native Americans, ethnic groups, or archival
records. Discuss the strategy for involving tribal elders, traditional leaders, and other technical
experts recognized by the tribes in the development and implementation of cultural resource
identification projects. Identify the staff position assigned responsibility for these
determinations.
5.1.2.2 Surveys and Other Field Studies
Describe the procedural steps to be followed to accomplish ethnographic, structure and facility,
or archeological surveys and other field studies in areas where there are scheduled undertakings.
Address procedures for selection of survey methods; field logistics; preparation and maintenance
of survey records; and laboratory treatment, analysis, and curation of resources and recovered
data. Describe the steps that will be taken to obtain the advice of appropriate Native American
traditional religious leaders to help ensure recognition of sacred resources, such as natural
features and plants that might not be identified as cultural resources by standard survey or other
field study techniques. Identify the staff position assigned responsibility for these surveys and
field studies.
5.1.2.3 Report Preparation and Review
Describe the procedures to be used for preparation and internal review of reports on
archeological surveys and other field studies. Address report authorship, legal compliance
documentation and other content standards, completion deadlines, and circulation and review
requirements. Identify the staff position assigned responsibility for ensuring that reports are
prepared, reviewed, and distributed, as appropriate.
5.1.3 Evaluate Identified Cultural Resources
This section should address procedures to be used for evaluating the historic significance of
cultural resources that may be affected by projects or other undertakings and consulting on that
evaluation. These procedures must comply with the requirements of Sections 106 and, for
National Historic Landmarks, 110(f) of NHPA and 36 CFR 800.4.
5.1.3.1 Evaluation
Describe the procedures to be used to evaluate the National Register-eligibility of cultural
resources that may be affected by undertakings. Specify how the views of Native Americans or
members of ethnic groups will be obtained when the cultural resource being evaluated has or
may have tribal or ethnic importance. Identify the staff position assigned responsibility for
preparing and reviewing evaluations.
5.1.3.2 Consultation
Describe the procedures to be used for consulting with the SHPO or THPO and, if necessary, the
Keeper of the National Register concerning the evaluation of the National Register-eligibility of
cultural resources that may be affected by undertakings. Identify the staff position assigned
responsibility for this consultation.
5.1.4 Consultation When No Cultural Resources Are Affected
This section should address the consultation procedures to be used when no cultural resources
have been identified that may be affected by undertakings (i.e., either no cultural resources are
identified or no effects on cultural resources are found). These procedures must comply with the
requirements of Sections 106 and, for National Historic Landmarks, 110(f) of NHPA and
36 CFR 800.4.
Specify how the finding that “no cultural resources are present” will be documented for the
SHPO or THPO, how other consulting parties (e.g., Indian tribes, Native Hawaiian
organizations) will be notified, and how documentation will be made available to the public.
Identify the staff position assigned responsibility for these consultation procedures.
5.1.5 Assess and Resolve Adverse Effects on Cultural Resources
This section should address procedures for assessing the potential adverse effects of
undertakings on cultural resources, identifying ways to resolve adverse effects, and completing
associated consultation and documentation. These procedures must comply with the
requirements of Sections 106 and, for National Historic Landmarks, 110(f) of NHPA and
36 CFR 800.5 through 800.11. They should fully describe the steps that will be taken to involve
the SHPO or THPO, other Native Americans, ethnic groups, and other interested parties in the
process of assessing and resolving adverse effects.
5.1.5.1 Assess Adverse Effects
Describe the procedures to be used to assess the adverse effects of undertakings on cultural
resources. These procedures must be designed to follow 36 CFR 800.5 and should reflect a
proactive approach. Identify the staff position assigned responsibility for these assessments.
5.1.5.2 Resolve Adverse Effects
Describe the procedures to be used to resolve adverse effects on cultural resources through
avoidance, data recovery, or mitigation. These procedures must be designed to follow
36 CFR 800.6 and should reflect a proactive approach. Describe the procedures to be used when
there is a failure to resolve adverse effects. These procedures must be designed to follow
36 CFR 800.7. Identify the staff position assigned responsibility for proposing and implementing
these strategies.
5.1.5.3 Consultation and Documentation
Describe the procedures to be used for meeting the consultation and documentation requirements
of 36 CFR 800.5 through 800.11 when assessing and resolving adverse effects. (Use of a
flowchart to accompany the narrative is recommended.) Identify the staff position assigned
responsibility for carrying out the consultation and documentation procedures.
5.1.6 Post-Review Discoveries of Cultural Resources
Describe the procedures to be followed when it is learned that an in-progress undertaking, for
which compliance procedures were completed, would adversely affect a previously unidentified
cultural resource that may be eligible for inclusion in the National Register or would adversely
affect a known cultural resource in an unanticipated manner. These procedures must comply
with the requirements of Sections 106 and 110(f) of NHPA and 36 CFR 800.13. Procedures
should be designed to ensure coordination between the implementation of Section 106 of NHPA
and Section 3(d) of NAGPRA. (See Section 5.5.2 of this Guide.) Identify the staff position
assigned responsibility for post-review discovery procedures.
5.1.7 Coordination with NEPA
Describe the procedures to be used to coordinate Section 106 compliance with NEPA
compliance. The procedures should comply with 36 CFR 800.8 and DOE’s NEPA regulations at
10 CFR Part 1021, National Environmental Policy Act Implementing Procedures. Identify the
staff position assigned responsibility for ensuring coordination between NEPA and NHPA
Section 106.
5.1.8 Emergency Situations
Describe the procedures to be used to comply with Section 106 of NHPA during emergencies
(e.g., during fires as required under DOE’s Wildland Fire Management Policy). The procedures
should comply with 36 CFR 800.12. (Note that that Section applies only to undertakings that
will be implemented within 30 days after the disaster or emergency has been formally declared
by the appropriate authority.) Identify the staff position assigned responsibility for ensuring
compliance with NHPA Section 106 during emergencies.
5.2 PROCEDURES FOR LISTING PROPERTIES ON THE NATIONAL REGISTER
OR AS NATIONAL HISTORIC LANDMARKS
5.2.1 Location, Inventory, Evaluation, and Nomination of Cultural Resources to the
National Register
Describe the procedures to be used to locate, inventory, evaluate, and nominate to the Keeper of
the National Register all cultural resources at the facility or program area that appear to qualify
for inclusion on the National Register. Describe plans and schedules to carry out broad-scale
archival and field surveys to inventory cultural resource sites. Discuss how this information will
be used to ensure that the stewardship responsibilities of DOE are being achieved on the
individual facility or program lands. These procedures must comply with the requirements of
Sections 101 and 110(a)(2) of NHPA; 36 CFR Part 60, National Register of Historic Places; and
36 CFR Part 63, Determinations of Eligibility for Inclusion in the National Register of Historic
Places. Identify the staff position assigned responsibility for location, inventory, evaluation, and
nomination procedures.
5.2.2 Designation and Recognition of National Historic Landmarks
Describe the procedures to be used to designate and formally recognize National Historic
Landmarks at the facility or program area. These procedures must comply with the requirements
of Section 101 of NHPA and 36 CFR Part 65, National Historic Landmarks Program. Identify
the staff position assigned responsibility for implementing the National Historic Landmarks
procedures.
5.3 ARPA COMPLIANCE PROCEDURES
ARPA places certain procedural requirements on Federal agencies. These requirements pertain
to increasing public awareness, planning and scheduling archeological surveys, and reporting
suspected violations. In this section discuss compliance with the requirements of ARPA at the
facility or program area, and provide specific information concerning compliance procedures.
5.3.1 Increasing Public Awareness
Describe the procedures to be used to develop and implement, in compliance with the
requirements of Section 10(c) of ARPA, a program to increase public awareness of the
significance of cultural resources at the facility or program area and the need to protect them.
Identify the staff position assigned responsibility for implementing the public awareness
procedures.
5.3.2 Planning and Scheduling Archeological Surveys
State how surveys of archeological resources on lands at the facility or program area will be
completed in accord with 43 CFR 7.21(d), that encourages Federal land managing agencies to
perform such surveys. Describe the procedures to be used to determine the nature and extent of
the archeological resources, beginning with the lands likely to contain those that are most
scientifically valuable. Provide a schedule for completing these surveys. Identify the staff
position assigned responsibility for the planning and scheduling procedures.
5.3.3 Reporting Suspected Violations
Describe the procedures to be used to document suspected ARPA violations at the facility or
program area, in compliance with the requirements of 43 CFR 7.19(c) and 7.21(e). Identify the
staff position assigned responsibility for the violation documentation procedures.
5.4 AIRFA COMPLIANCE PROCEDURES
This section should provide procedures for meeting the intent of AIRFA. General procedures
should address but may not be limited to—
* identification of Native American tribes that have treaty and traditional interests in the
resources known to exist at the facility or program area,
* documentation of tribal interests by resource type and location (as appropriate),
* selection of the principal investigator and staff (that can include Native Americans) to
advise managers on where and when AIRFA studies are appropriate and to conduct
AIRFA studies,
* determination of where and when AIRFA studies should be scheduled,
* incorporation of governmental as well as traditional groups into the design and
assessment phases of AIRFA studies, and
* establishment of facility or program policy and protocol for tribal consultation on
development of AIRFA studies as well as ethnohistoric or prehistoric studies carried out
under separate legislation. (Protocols for consultation may be developed between DOE
and Native American governments on issues of mutual concern.)
AIRFA compliance is likely to require different personnel (e.g., ethnographers, Native
Americans) than those involved with the inventory and evaluation of archeological sites and
items (e.g., archeologists, historians). Teams of Native American tribal representatives,
archeologists, and ethnographers should be coordinated by managers who have environmental
responsibilities. Identify who has the overall responsibility for implementing AIRFA procedures.
5.5 NAGPRA COMPLIANCE PROCEDURES
NAGPRA requires protection and repatriation of Native American cultural items found on or
taken from Federal or tribal lands according to procedural requirements pertaining to—
* intentional excavation and removal of Native American cultural items;
* inadvertent discovery of Native American cultural items;
* an inventory for Native American human remains and associated funerary objects;
* a summary for Native American unassociated funerary objects, sacred objects, and
objects of cultural patrimony; and
* repatriation of Native American cultural items upon request by the appropriate group.
Protecting Native American human remains and cultural items from illegal trafficking is
considered an aspect of protecting cultural resources at the facility or program area from illegal
acts. (See Section 5.6.3 of this Guide.) This section should provide information concerning
procedures for complying with the requirements of NAGPRA and 43 CFR Part 10, Native
American Graves Protection and Repatriation Regulations, at the facility or program area.
5.5.1 Intentional Excavation and Removal of Native American Cultural Items
This section should address procedures for intentional excavation and removal of Native
American cultural items at the facility or program area. Issuance of permits for these activities
under ARPA should be discussed as part of Section 5.8.3 of this Guide, Permitting. These
procedures must comply with the requirements of NAGPRA Sections 3(a), (b), and (c).
5.5.1.1 Consultation or Consent
Describe the procedures to be followed to consult with or, in the case of tribal lands, obtain the
consent of the appropriate Indian tribe or Native Hawaiian organization (if any) before Native
American cultural items are excavated or removed. Address how proof of consultation or
consent will be demonstrated. Protocols for consultation may be developed between DOE and
Native American governments at the decision-maker, policy, or technical levels on issues of
mutual concern. Identify the staff position assigned responsibility for these consultation and
consent procedures.
5.5.1.2 Ownership and Right of Control
Describe the procedures to be followed to establish ownership and right of control of the
disposition of the Native American cultural items that are excavated or removed from the facility
or program lands. Identify the staff position assigned responsibility for implementing these
ownership and right of control procedures.
5.5.2 Inadvertent Discovery of Native American Cultural Items
This section should address procedures to be used when Native American cultural items are
inadvertently discovered at the facility or program area. These procedures must comply with the
requirements in Sections 3(a), (b), and (d) of NAGPRA and be coordinated with procedures
designed for the implementation of Section 106 of NHPA. (See Section 5.1 of this Guide.)
5.5.2.1 Inadvertent Discovery
Describe the procedures that will be followed upon inadvertent discovery of Native American
cultural items as outlined in Section 3(d) of NAGPRA. Address the following:
* notification of the Secretary of Energy through the appropriate established procedures,
the DOE FPO, and Native American groups, as required;
* cessation of activities in the area of the discovery;
* protection of the cultural items discovered;
* certification by the Secretary of Energy and Native American groups that notification has
been received; and
* resumption of activities after certification.
Identify the staff position assigned responsibility for the procedures relating to such discoveries.
5.5.2.2 Disposition and Control
Describe the procedures to be used for disposition of and control over any Native American
cultural items excavated or removed following inadvertent discoveries. Identify the staff position
assigned responsibility for these disposition and control procedures.
5.5.3 Inventory of Native American Human Remains and Associated Funerary Objects
This section should address procedures to be used to inventory Native American human remains
and associated funerary objects at the facility or program area. These procedures must comply
with the requirements in Section 5 of NAGPRA.
5.5.3.1 Inventory Compilation
Describe the procedures to be used to compile an inventory of holdings or collections of Native
American human remains and associated funerary objects possessed or controlled by the facility
or program. Address how the inventory will identify the geographic and cultural affiliations of
such items to the extent possible, based on information possessed by the facility or program.
Specify when the inventory will be completed and how it will be made available to the review
committee established under Section 8 of NAGPRA, both while being compiled and upon
completion. Identify the staff position assigned responsibility for these inventory compilation
procedures.
5.5.3.2 Consultation
Describe the procedures to be followed to consult with tribal governments, Native Hawaiian
organization officials, and traditional religious leaders in compiling the inventory of holdings or
collections of Native American human remains and associated funerary objects. Protocols for
consultation may be developed between DOE and Native American governments on issues of
mutual concern. Identify the staff position assigned responsibility for these consultation
procedures.
5.5.3.3 Supplemental Documentation
Describe the procedures to be used to supply to Indian tribes or Native Hawaiian organizations,
upon request, additional available documentation to supplement the information in the inventory
of Native American human remains and associated funerary objects. Identify the staff position
assigned responsibility for these supplemental documentation procedures.
5.5.3.4 Notification
Describe the procedures to be followed to notify affected Indian tribes or Native Hawaiian
organizations if the cultural affiliation of any particular Native American human remains and
associated funerary object is determined though the inventory process. Address how the 6-month
time limit for notification following the completion of the inventory will be met. Identify the
staff position assigned responsibility for these notification procedures.
5.5.4 Summary of Native American Unassociated Funerary Objects, Sacred Objects, and
Objects of Cultural Patrimony
This section should address procedures to create a summary of Native American unassociated
funerary objects, sacred objects, and objects of cultural patrimony at the facility or program area.
These procedures must comply with the requirements in Section 6 of NAGPRA.
5.5.4.1 Preparation of Summary
Describe the procedures to be used to prepare a written summary of holdings or collections of
Native American unassociated funerary objects, sacred objects, and objects of cultural patrimony
possessed or controlled by the facility or program. Address how the summary will describe the
scope of the collection, kinds of objects included, geographical location, means and period of
acquisition, and cultural affiliation, if readily ascertainable. Specify when the summary will be
completed, and identify the staff position assigned responsibility for these summary procedures.
5.5.4.2 Consultation
Describe the procedures to be followed to consult with tribal governments, Native Hawaiian
organization officials, and traditional religious leaders following the completion of the summary
of holdings or collections of Native American unassociated funerary objects, sacred objects, and
objects of cultural patrimony. Protocols for consultation may be developed between DOE and
Native American governments on issues of mutual concern. Identify the staff position assigned
responsibility for these consultation procedures.
5.5.4.3 Access
Describe the procedures to be used for Indian tribes or Native Hawaiian organizations to have
access to records, catalogs, relevant studies, or other pertinent data for the purposes of
determining the geographic origin, cultural affiliation, and basic facts surrounding acquisition
and accession of holdings or collections of Native American unassociated funerary objects,
sacred objects, and objects of cultural patrimony. Address the provision of this access in a
manner agreed upon by all parties, and identify the staff position assigned responsibility for
these access procedures.
5.5.5 Repatriation of Native American Cultural Items
This section should address procedures for repatriation of Native American cultural items from
the facility or program area. These procedures must comply with the general intent of NAGPRA
Section 7 and the specific requirements of Sections 7(a)(5) and 7(b), (c), and (e).
5.5.5.1 Repatriation of Culturally Affiliated Native American Human Remains and
Associated Funerary Objects
Describe the procedures to be used to expeditiously return Native American human remains and
associated funerary objects upon the request of a known lineal descendant, when the cultural
affiliation of such items with a particular Indian tribe or Native Hawaiian organization is
established. Address consultation with the lineal descendant to determine the place and manner
of delivery of the items. Identify the staff position assigned responsibility for these repatriation
procedures.
5.5.5.2 Repatriation of Culturally Affiliated Native American Unassociated Funerary
Objects, Sacred Objects, or Objects of Cultural Patrimony
Describe the procedures to be followed to expeditiously return Native American unassociated
funerary objects, sacred objects, or objects of cultural patrimony upon the request of the
particular Indian tribe or Native Hawaiian organization with which the cultural affiliation of such
items has been established. Address consultation with the tribe or organization to determine the
place and manner of delivery of the items. Identify the staff position assigned responsibility for
these repatriation procedures.
5.5.5.3 Repatriation of Culturally Unaffiliated or Uninventoried Native American Human
Remains and Funerary Objects
For Native American human remains and funerary objects for which cultural affiliation is not
established per Section 5.5.3 or 5.5.4 of this Guide or that are not included in the inventory or
summary, describe the procedures to be used to expeditiously return such items. Human remains
can be returned upon request from an Indian tribe or Native Hawaiian organization that can show
cultural affiliation according to the standards of NAGPRA Section 7(a)(4). Identify the staff
position assigned responsibility for these repatriation procedures.
5.5.5.4 Sharing Information
Describe the procedures to be followed to share information the facility or program has on any
cultural object with the known lineal descendant, Indian tribe, or Native Hawaiian organization
to assist in making a claim for repatriation of the object. Identify the staff position assigned
responsibility for these information-sharing procedures.
5.6 36 CFR PART 79 COMPLIANCE PROCEDURES
Requirements for the curation of federally owned and administered archeological collections are
described in 36 CFR Part 79, Curation of Federally-Owned and Administered Archeological
Collections. The requirements pertain to the following areas: management and preservation of
collections; methods to secure and fund curatorial services; terms and conditions of contracts,
memoranda, and agreements for curatorial services; standards to determine when a repository
possesses the capability to provide long-term curatorial services; use of collections; and conduct
of inspections and inventories.
In this section present any pertinent introductory comments concerning compliance with the
curation requirements by the facility or program. In the following subsections provide specific
information on compliance procedures.
5.6.1 Management and Preservation of Collections
This section should address procedures to be used for long-term management and preservation of
preexisting and new collections recovered at the facility or program area and for retention and
maintenance of administrative records on the disposition of each collection. These procedures
must meet the requirements of 36 CFR 79.5.
5.6.1.1 Preexisting Collections
Describe the procedures for ensuring that preexisting collections already in repositories are being
properly managed and preserved as described in 36 CFR 79.5(a). Address how the curatorial
services currently provided for these collections will be reviewed and evaluated and how any
deficiencies will be remedied. Identify the staff position assigned responsibility for these
procedures.
5.6.1.2 New Collections
Describe the procedures for ensuring that new collections from the facility or program area are
deposited in a repository meeting the requirements of 36 CFR 79.5(b). Identify the staff position
assigned responsibility for these procedures.
5.6.1.3 Administrative Records
Describe the procedures for retention and maintenance of administrative records on the
disposition of each collection. These records will include the categories of information specified
in 36 CFR 79.5(c). Identify the staff position assigned responsibility for these procedures.
5.6.2 Methods to Secure Curatorial Services
Describe the procedures to be used by the facility or program to secure curatorial services.
Address how these procedures incorporate the methods and guidelines in 36 CFR 79.6. Identify
the staff position assigned responsibility for these procedures.
5.6.3 Methods to Fund Curatorial Services
Describe the procedures to be followed to ensure that sufficient funds are available for adequate
long-term care of facility or program collections. Methods that may be utilized are identified in
36 CFR 79.7. Identify the staff position assigned responsibility for these procedures.
5.6.4 Terms and Conditions of Contracts, Memoranda, and Agreements for Curatorial
Services
Describe the procedures to be used by the facility or program to ensure that any contract,
memorandum, agreement, or other appropriate written instrument for curatorial services entered
into by or on behalf of the responsible facility or program official, the repository official, and
any other appropriate party contains the terms and conditions identified in 36 CFR 79.8. In Part 6
of the CRMP indicate where to obtain copies of all existing proposed documents of this type.
Identify the staff position assigned responsibility for these procedures.
5.6.5 Repository Standards
Describe the procedures to be followed by the facility or program to determine that a repository
has the capability to provide adequate long-term curatorial services. Address how it will be
ascertained that the repository meets each of the standards identified in 36 CFR 79.9. Identify the
staff position assigned responsibility for these procedures.
5.6.6 Use of Collections
This section should address scientific, educational, and religious uses; terms and conditions; and
written agreements. These procedures should describe the steps that will be taken to consult with
appropriate Native American groups or ethnic groups concerning scientific, educational, or
religious uses of collections.
5.6.6.1 Scientific and Educational Uses
Describe the procedures to be followed to ensure that collections from the facility or program
area are made available to qualified professionals for scientific and educational uses. These
procedures must comply with the requirements of 36 CFR 79.10(a) and (b). Identify the staff
position assigned responsibility for these procedures.
5.6.6.2 Religious Uses
Describe the procedures to be followed to ensure that collections from the facility or program
area are made available to appropriate persons for religious uses. These procedures must comply
with the requirements of 36 CFR 79.10(a) and (c). Identify the staff position assigned
responsibility for these procedures.
5.6.6.3 Terms and Conditions of Uses
Describe the procedures to be followed to ensure that scientific, educational, or religious uses of
collections from the facility or program area are in accordance with the terms and conditions
identified in 36 CFR 79.10(d). Identify the staff position assigned responsibility for these
procedures.
5.6.6.4 Written Agreements for Use
Describe the procedures to be followed to meet the requirements for written agreements for
scientific, educational, or religious uses of collections from the facility or program area, as
required and specified for such agreements in 36 CFR 79.10(e). Indicate how to obtain copies of
any agreement forms for using a collection and any existing, written use agreements. Identify the
staff position assigned responsibility for these procedures.
5.6.7 Conduct of Inspections and Inventories
Describe the procedures to be used for inspections and inventories of collections from facility or
program areas. The conduct of such inspections and inventories must comply with the
requirements of 36 CFR 79.11. Identify the staff position assigned responsibility for these
procedures.
5.7 PROTECTION PROCEDURES
Both NHPA and ARPA require protection of cultural resources on Federal lands. NHPA also
extends this requirement to cultural resources that might be affected by federally licensed or
assisted projects, activities, or programs. The major factors that may necessitate protective
actions by Federal agencies are natural forces, authorized actions, and illegal acts.
In this section present any pertinent introductory comments concerning protection of cultural
resources at the facility or program area. In the following subsections provide specific
information concerning protection procedures.
5.7.1 Natural Forces
This section should address procedures for monitoring, consulting about, and restoring and
repairing the effects of natural forces [e.g., fires (see DOE’s Wildland Fire Management Policy)]
on cultural resources at the facility or program area.
5.7.1.1 Monitoring
Describe the procedures to be used to monitor cultural resources at the facility or program area
for the effects of natural forces. Address the following: monitoring strategies (e.g., inspections,
instrument metering), the frequency at which potentially affected cultural resources will be
monitored, and the staff who will carry out the monitoring and their training in this technical
area. Identify the staff position assigned responsibility for the monitoring procedures.
5.7.1.2 Consultation
Describe the procedures to be followed for consultation with the SHPO or THPO, other Native
Americans, and other interested parties on the effects of natural forces on cultural resources at
the facility or program area. Address how to determine if the effects of natural forces have
become severe enough to require the formal legal compliance procedures discussed in
Section 5.1 of this Guide. Identify the staff position assigned responsibility for the consultation
procedures.
5.7.1.3 Restoration and Repair
Describe the procedures to be used to select and implement appropriate restoration and repair
measures for the effects of natural forces on cultural resources at the facility or program area.
Address, in general terms, the restoration and repair methods that may be employed. Identify the
staff position assigned responsibility for the restoration and repair procedures.
5.7.2 Authorized Actions
This section should address screening and tracking, monitoring, consulting, and restoration and
repair procedures for the effects of authorized actions or projects on cultural resources at the
facility or program area.
5.7.2.1 Screening and Tracking
Describe the procedures to be used to screen and track authorized projects that could produce
unintended effects on cultural resources at the facility or program area. Specify how staff
cultural resource professionals will be notified of these projects. Identify the staff position
assigned responsibility for the project screening and tracking procedures.
5.7.2.2 Monitoring
Describe the procedures to be used to monitor authorized projects that could produce unintended
effects on cultural resources at the facility or program area. Address monitoring strategies and
the frequency at which monitoring will occur. Identify the staff position assigned responsibility
for the monitoring procedures.
5.7.2.3 Consultation
Describe the procedures to be followed for consultation with the SHPO or THPO, other Native
Americans, and other interested parties concerning unintended effects of authorized projects on
cultural resources at the facility or program area. Address how to determine if unintended effects
of authorized projects are severe enough to require the formal legal compliance procedures
discussed in Section 5.1 above. Identify the staff position assigned responsibility for the
consultation procedures.
5.7.2.4 Restoration and Repair
Describe the procedures to be used to select and implement appropriate restoration and repair
measures for unintended effects of authorized projects on cultural resources at the facility or
program area. Address, in general terms, the restoration and repair methods that may be
employed. Identify the staff position assigned responsibility for the restoration and repair
procedures.
5.7.3 Illegal Acts
This section should address procedures for detection, investigation, prosecution, consultation,
restoration and repair, and prevention of illegal acts affecting cultural resources at the facility or
program area.
5.7.3.1 Detection
Describe the procedures to be used to detect illegal acts affecting cultural resources at the facility
or program area. Identify who has lead responsibility for the law enforcement aspects of these
procedures (e.g., physical and electronic surveillance) and what assistance should be provided by
other personnel.
5.7.3.2 Investigation
Describe the procedures to be used to investigate illegal acts affecting cultural resources at the
facility or program area, including preparing case reports. Identify who has lead responsibility
for these procedures and what assistance should be provided by other personnel. Also,
specifically discuss cultural resource damage assessment, and identify the staff position assigned
responsibility for this aspect of the overall investigation.
5.7.3.3 Prosecution
Describe the internal procedures to be followed in preparing for the prosecution of cases
involving illegal acts affecting cultural resources at the facility or program area. Identify who has
lead responsibility for cooperation with the Department of Justice and what assistance should be
provided by other personnel.
5.7.3.4 Consultation
Describe the procedures to be followed for consultation with the SHPO or THPO, other Native
Americans, and other interested parties concerning the effects of illegal acts on cultural resources
at the facility or program area. Address how detection, investigation, and prosecution of these
illegal acts, as well as restoration and repair of their effects, will be integrated with the formal
legal compliance procedures discussed in Section 5.1 above. Identify the staff position assigned
responsibility for the consultation and compliance procedures.
5.7.3.5 Restoration and Repair
Describe the procedures to be used to select and implement appropriate restoration and repair
measures for the effects of illegal acts on cultural resources at the facility or program area.
Address, in general terms, the restoration and repair methods that may be employed. Identify the
staff position assigned responsibility for the restoration and repair procedures.
5.7.3.6 Prevention
Describe the procedures to be used to prevent illegal acts from affecting cultural resources at the
facility or program area. Identify which outreach methods discussed in Section 4.8 above will be
used in this effort. Also, address how the prevention procedures will be integrated with the
public awareness program required by Section 10(c) of ARPA and discussed in Section 5.3.1
above. Identify the staff position assigned responsibility for the prevention procedures.
5.8 RELATIONS WITH NATIVE AMERICAN GOVERNMENTS, INCLUDING
TREATY COMPLIANCE
5.8.1 Technical Actions
Describe the procedures to be used to ensure that the following technical actions have taken
place:
* A detailed search has been completed to identify the Native Americans with whom DOE
managers will consult.
* A thorough search has been completed of Federal Indian law, including applicable
treaties, statutes, court rulings, Executive orders, and agreements (formal and
operational) between the Indian nations and the Federal government.
* Research to identify Native American tribes and treaties has been carried out by qualified
staff who have knowledge of Native American customs and culture, as well as Federal
Indian law.
* Research data and results have been shared with tribal officials, and, when available,
tribal archival information has received consideration.
* Information on current operations, plans for new programs, long-term stewardship, and
construction of new facilities has been shared to the maximum extent feasible with the
Indian nations impacted and at the earliest possible time.
Information sources could include Indian Treaties 1778-1883 (Kappler 1972 ); Federal, tribal,
and state archives; and Web-based sources for Executive orders and enabling legislation.
Identify the staff position assigned responsibility for these procedures.
5.8.2 Regulatory Compliance
Describe the procedures to be used to achieve regulatory compliance and ensure that—
* conditions specified in existing treaties, statutes, court rulings, Executive orders, and
agreements (formal and operational) between the Indian nations and the Federal
government are being met;
* consultation regarding planned projects takes place with appropriate traditional and
contemporary tribal officials, both elected and appointed (Protocols for consultation may
be developed between DOE and Native American governments on issues of mutual
concern.);
* consultation includes consideration of the need to maintain confidentiality of certain
types of information, particularly regarding religious activities; and
* sites, objects, resources, and geographic areas will be protected, and information
regarding these locations and/or objects will be provided to Native Americans.
Identify the staff position assigned responsibility for these procedures.
5.8.3 Administrative Procedures
Describe the administrative procedures that have been developed to ensure that the Federal trust
responsibility arising from the government-to-government relationships with Native American
governments is carried out; consultation with Native American governments has been effectively
implemented; Native American religious practices remain viable through access to religious and
ceremonial sites that are protected from alteration and disturbance; and applicable Federal law
regulating sacred objects, funerary items, and human remains is enforced. Protocols for
consultation may be developed between DOE and Native American governments on issues of
mutual concern. Identify the staff position assigned responsibility for these administrative
procedures.
5.9 CRM ADMINISTRATION
Implementation of CRM methods and procedures at the facility or program area requires
administrative actions in at least these areas: staffing and contracting, training, permitting,
CRM facilities, curation, and consultation on administration. In addition, an independent quality
assurance system, as discussed in Section 5.9.8, should be developed and implemented to
provide oversight for each of those administrative task areas.
In this section, present any pertinent introductory comments concerning CRM administration at
the facility or program area. Discuss the mechanisms to be used to include public participation to
solicit the views of interested parties when setting goals and objectives for the ISMS/EMS
environmental aspects in compliance with DOE O 450.1, Environmental Protection Program. In
the following subsections provide specific information concerning the administrative activities.
5.9.1 Staffing and Contracting
Using text and graphics, describe the administrative structure for activating the cultural resource
technical staff. Define how cultural resource experts will be incorporated into the environmental
management structure that supports activities for facilities or programs (e.g., proposed
construction activities, current land use management decisions, long-term operational goals).
This section should also address efforts made to use Native Americans in cultural resource staff
positions or as contractors. Use of Native Americans in these positions is particularly desirable
when cultural resource activities are carried out by DOE programs on tribal lands.
Provide the names of and position descriptions for the designated cultural resource staff,
including archeologists, historians, ethnologists, architectural historians, historic planners, and
other specialists, as appropriate. The principal investigator and support staff should have
advanced academic training as well as demonstrated regional expertise. [Information on how to
choose an archeological consultant can be found in various National Park Service (NPS)
documents. ] Résumés of the principal investigator and key staff specialists should be appended
to or referenced in Part 6, Supporting Documents.
5.9.2 Training
Describe the training strategy and schedules for Federal and contract administrative staff with
CRM responsibilities. In addition, identify the administrative strategy to be used to enhance the
knowledge of the cultural resource technical staff and the incentives to be used to encourage
staff professional development. Training is sponsored by other Federal agencies (e.g., ACHP,
NPS, Federal Law Enforcement Training Center). Identify the facility or program officer
responsible for training.
5.9.3 Permitting
Describe the administrative structure and technical management of the cultural resource
permitting system. In this section discuss permitting procedures for—
* internal cultural resource compliance and research actions,
* external investigations of cultural resources located on facility or program lands,
* loans of cultural resource collections and items outside of the designated repository, and
* access for Native Americans or members of other traditional cultures to visit sensitive
areas located on lands owned or managed by DOE facilities or programs.
5.9.4 CRM Facilities
Describe the administrative plan and designated responsibilities for operating a CRM facility on
DOE-owned or -managed lands. Identify the location of the facilities to be used to support all
CRM activities. Include facilities that have short- and long-term uses. Discuss the mechanisms to
be used to ensure that cultural resource information and objects are managed cumulatively and
not periodically discarded or transferred to locations off the DOE site, such as Federal archival
repositories, except in compliance with 36 CFR Part 79, Curation of Federally-Owned and
Administered Archeological Collections.
5.9.5 Curation
Describe the administrative plans for the curation of all records, artifacts, and samples that have
been and will be obtained from cultural resource sites on facility or program properties. Identify
the designated repository and designated individual responsible for meeting the curation
requirements of 36 CFR Part 79, Curation of Federally-Owned and Administered Archeological
Collections.
5.9.6 Consultation on Administration
Identify procedures that will be used to meet this administrative goal. Describe the steps that will
be taken to improve the effectiveness of CRM program administration by consulting with the
ACHP; the SHPO or THPO; other Federal, state, tribal, or local government officials; other
Native Americans; ethnic groups; or other interested parties.
5.9.7 Other Administrative Activities
Describe other administrative activities that are an integral part of the facility or program area’s
CRM program but that are not discussed under the other subtopics in this section. For example,
the administration of outreach programs and consultation with Native American tribes could be
addressed here.
5.9.8 Quality Assurance
Describe the independent quality assurance system that will be established to provide oversight
for each of the administrative task areas. At a minimum this system should address the topics of
audits, performance measures, documentation, reporting responsibilities, corrective actions, and
consultation with affected Native American governments. This quality assurance system is to be
used to assess contractors and technical individuals implementing the CRM programs on DOE
facility and program lands. Technical auditors should have no direct or indirect economic,
administrative, or regulatory relationships with the cultural resource staff responsible for any of
the task areas described in Sections 5.9.1 through 5.9.7.
DESCRIPTION OF PART 6 OF THE CRMP
Include as the final section of the CRMP, Part 6, Supporting Documents.
6. SUPPORTING DOCUMENTS
Supporting documents (e.g., site forms, project record forms, laboratory-processing forms)
amplify and explain in more detail the basic text provided in the facility or program plan.
Documents other than those specifically identified in these guidelines may also be included.
Supporting documents should include the résumés of the plan preparers as well as the principal
investigator and other key technical staff specialists who will implement the CRMP.
If supporting documents are readily available electronically, they do not have to be physically
attached in hard copy format to the plan. This section should indicate who can provide copies of
these documents or, if they are available electronically, where they can be found. It is important
that the locations where they are posted be kept up-to-date because Web addresses often change.
Identify the staff position assigned responsibility for keeping this information up-to-date.
APPENDIX A
GLOSSARY
APPENDIX A. GLOSSARY
Advisory Council on Historic Preservation (ACHP): An independent Federal agency created
by Section 106 of the NHPA. Its mission is to promote the preservation, enhancement,
and productive use of our Nation’s historic resources and to advise the President and
Congress on national historic preservation policy. ACHP is the only entity with the legal
responsibility to encourage Federal agencies to factor historic preservation into Federal
project requirements.
Analysis: Examination and classification of cultural resources or data about them. Important
types of analysis are typological (i.e., what a resource is), chronological (i.e., how old it
is), technological (i.e., how it was made), functional (i.e., how it was used), and stylistic
(i.e., what are important characteristics of its appearance).
Archeological Research: The scientific study of cultural resources through the analysis of
prehistoric and historic material remains and data about them recovered during
archeological surveys and excavations.
Archeological Resource: “Any material remains of past human life or activities which are of
archaeological interest, . . . [including], but not . . . limited to: pottery, basketry, bottles,
weapons, weapon projectiles, tools, structures or portions of structures, pit houses, rock
paintings, rock carvings, intaglios, graves, human skeletal materials, or any portion or
piece of any of the foregoing items. . . . No item shall be treated as an archaeological
resource under regulations under this paragraph unless such item is at least 100 years of
age.” [ARPA, Section 3(1)]
Archeological Survey: The process used to locate and record basic information about
prehistoric and historic cultural resources in the field. Archeological survey methods
include walking over the project area, walking over and shovel testing the area, and
walking over the area following plowing and disking.
Archeological Survey Report: A cultural resource report that documents the methods, findings,
and other important information about an archeological survey.
Architectural or Engineering Survey: The process used to produce or collect measured
drawings, photographs, and written records that document historic buildings and
structures, as well as objects such as equipment and apparatus. The data gathering
techniques involved may be required to meet the Historic American Buildings Survey or
Historic American Engineering Record standards of the NPS.
Archival Records: Unpublished documentary records of human existence in the past that are
deposited in archives. Important types of archival information include historic period
chronicles of Native American groups and sites; period descriptions of the construction,
occupancy, and use of historic buildings and other structures; and documentary records
of properties associated with recent scientific achievements.
Archival Search: The process used to locate and retrieve information relating to cultural
resources from archival records.
Area of Potential Effects: “The geographic area or areas within which an undertaking may
directly or indirectly cause alterations in the character or use of historic properties, if any
such properties exist. The area of potential effects is influenced by the scale and nature of
an undertaking and may be different for different kinds of effects caused by the
undertaking.” [36 CFR Part 800, Protection of Historic Properties, Section 800.16(d)]
Artifact: An object made or modified by humans.
Artifact Type: A class or group of objects in an artifact classification system, defined based on
shared physical, measurable, and observable attributes.
Authorized Action: A formally approved project, activity, or other undertaking at the facility or
program area.
Avoidance: Modification of a project or other undertaking so that effects on cultural resources
that would have resulted from the originally proposed actions do not occur.
Building: “A structure created to shelter any form of human activity, such as a house, barn,
church, hotel, or similar structure. Building may refer to a historically related complex
such as a courthouse and jail or a house and barn.” [36 CFR Part 60, National Register of
Historic Places, Section 60.3(a)]
Collection: “Material remains that are excavated or removed during a survey, excavation, or
other study of a prehistoric or historic resource, and associated records that are prepared
or assembled in connection with the survey, excavation, or other study.”
[36 CFR Part 79, Curation of Federally-Owned and Administered Archeological
Collections, Section 79.4(a)]
Consultation: “The process of seeking, discussing, and considering the views of other
participants, and, where feasible, seeking agreement with them regarding matters arising
in the section 106 process. The Secretary’s ‘Standards and Guidelines for Federal
Agency Preservation Programs pursuant to the National Historic Preservation Act’
provide further guidance on consultation.” [36 CFR Part 800, Protection of Historic
Properties, Section 800.16(f)]
Context: The locations at which cultural resources, such as sites, artifacts, features, or
specimens, occur following the human behavior that produced them. Context is
extremely important because most past human behavior is reflected not by material
objects themselves, but by how they are situated in relationship to one another.
Cultural Context: An organizational format that groups information about related cultural
resources, based on a theme, geographical area or cultural landscape, and chronological
period. A cultural context describes one or more aspects of the cultural development of
an area and identifies the significant human behavior patterns that individual cultural
resources represent.
Cultural Resources: “Cultural resources include, but are not limited to, the following broad
range of items and locations: (1) archeological materials (artifacts) and sites dating to the
prehistoric, historic, and ethnohistoric periods that are currently located on the ground
surface or are buried beneath it; (2) standing structures that are over 50 years of age or
are important because they represent a major historical theme or era; (3) cultural and
natural places, select natural resources, and sacred objects that have importance for
[Native Americans and ethnic groups]; and (4) American folk-life traditions and arts.”
(DOE Guidance Memorandum, February 23, 1990)
Cultural resources include anything that is an “historic property” as defined in
36 CFR Part 800, Protection of Historic Properties, Section 800.16(l)(1); an
“archeological resource” as defined in Archeological Resources Protection Act,
Section 3(1) and the Act’s Uniform Regulations, 43 CFR Part 7, Protection of
Archaeological Resources, Section 7.3(a); a Native American “cultural item” as defined
in Native American Graves Protection and Repatriation Act, Section 2(3); or part of a
“collection” as defined in 36 CFR Part 79, Curation of Federally-Owned and
Administered Archeological Collections, Section 79.4(a).
Major types of cultural resources referenced in these Guidelines are prehistoric resources,
historic resources, resources of ethnic importance, and properties of recent scientific
significance. Other specific types referred to include prehistoric, historic, and
protohistoric sites, structures, artifacts, specimens, and isolated features; sacred sites,
traditional use resources, and Native American cultural items; recent structures, facilities,
equipment, and apparatus that have scientific significance; and environmental samples
(e.g., carbon and macrobotanical samples from flotations).
Cultural Resource Location Base Map: A map that serves as the permanent record of the
locations of known cultural resource sites.
Cultural Resource Management (CRM): Management of the cultural resources at facility or
program areas in accordance with applicable laws and regulations, DOE guidance, and
professional scientific standards. The overall goal of CRM is preservation of cultural
resources, either in situ or through appropriate scientific recovery, and curation of the
resources themselves or information about them.
Cultural Resource Professional: Individuals who have training and experience qualifying them
as professionals in fields related to the study and management of cultural resources, such
as archeology (prehistoric and historic), architectural history, conservation, cultural
anthropology, curation, engineering, folklore, historic architecture, historic landscape
architecture, historic preservation, historic preservation planning, and history. Their
training and experience should be appropriate for the area and position in which they
work. (62 Federal Register 37707, 6-20-97. Proposed revision. The Secretary of the
Interior’s Historic Preservation Professional Qualification Standards)
Cultural Resource Project Records: The system used to document legal compliance and other
CRM activities at facility or program areas.
Cultural Resource Records: Cultural resource site and project records and other forms
designed specifically to document and track inventory, excavation, laboratory treatment,
curation, preservation, research, outreach, legal compliance, and other CRM activities.
Cultural Resource Reports: Written reports documenting CRM or research activities, such as
inventory or excavation.
Cultural Resource Research: Archeological, historic, or ethnographic research on topics such
as chronology, environmental reconstruction, settlement pattern and site location models,
demography, technology, economic organization, social organization, political
organization, religion and ideology, art, language and oral traditions, historical events
and people, recent scientific achievements, and CRM methodology.
Cultural Resource Site: A place where cultural resource materials, such as artifacts, features,
and specimens, have been deposited following some purposeful human activity.
Cultural Resource Site Form: A form used to record basic, inventory-level information about
cultural resources.
Cultural Resource Site Records: The system used to document cultural resources found at the
facility or program area. These records include site forms, site catalogs, and site location
base maps.
Curation: “The practice of documenting, managing, preserving, and interpreting museum
collections according to professional museum and archival practices.” (62 Federal
Register 33707, 6-20-97. Secretary of the Interior’s Historic Preservation Professional
Qualification Standards: Curation).
Curatorial Services: “Managing and preserving a collection according to professional museum
and archival practices, including, but not limited to: (1) Inventorying, accessioning,
labeling and cataloging a collection; (2) Identifying, evaluating and documenting a
collection; (3) Storing and maintaining a collection using appropriate methods and
containers, and under appropriate environmental conditions and physically secure
controls; (4) Periodically inspecting a collection and taking such actions as may be
necessary to preserve it; (5) Providing access and facilities to study a collection; and
(6) Handling, cleaning, stabilizing and conserving a collection in such a manner to
preserve it.” [36 CFR Part 79, Curation of Federally-Owned and Administered
Archeological Collections, Section 79.4(b)]
Damage Assessment: The procedures carried out by a professional archeologist to identify and
document the archeological elements of the damage from a violation of laws or
regulations protecting cultural resources; for example, the determination of commercial
value, archeological value, and cost of restoration and repair in an ARPA case.
Detection: Discovery of a violation of laws or regulations protecting cultural resources that
results in an investigation of the violation and an attempt to prosecute suspected
violators.
District: “A geographically definable area, urban or rural, possessing a significant
concentration, linkage, or continuity of sites, buildings, structures, or objects united by
past events or aesthetically by plan or physical development. A district may also
comprise individual elements separated geographically but linked by association or
history.” [36 CFR Part 60, National Register of Historic Places, Section 60.3(d)]
DOE Site: A geographic entity with a well marked boundary over which DOE controls access.
Sites may contain multiple areas and multiple facilities in addition to undeveloped land.
Sites include the Hanford Site, Savannah River Site, Brookhaven National Laboratory,
Los Alamos National Laboratory, Kansas City Plant, and Pantex Plant.
Effect: “Alteration to the characteristics of a historic property qualifying it for inclusion in or
eligibility for the National Register.” [36 CFR Part 800, Protection of Historic
Properties, Section 800.16(i).] The criteria of adverse effect are identified in
36 CFR 800.5(a)(1); examples of adverse effects are given in 36 CFR 800.5(a)(2).
Environmental aspect: Elements of an organization’s activities, products, or services that can
interact with the environment. The environmental aspect of an activity is that part of it
that creates a possibility for an environmental impact. As such, it is equivalent to the
concept of “hazard” in safety, which is also defined as the mere possibility of a negative
event.
Environmental Management System (EMS): “A systematic approach to ensuring that
environmental activities are well managed in any organization.” IS0 14001 defines EMS
as “that part of the overall management system that includes organizational structure,
planning activities, responsibilities, practices, procedures, processes, and resources for
developing, implementing, achieving, reviewing, and maintaining the environmental
policy.” (See DOE/EH-0573.)
Ethnic Importance: Of religious value or other cultural significance to ethnic groups.
Ethnographic Fieldwork: The process used to identify and document resources of ethnic
importance. Important types of ethnographic fieldwork include recording oral histories,
interviewing informants, and observing and documenting current uses and practices.
Ethnographic Research: The scientific study of cultural resources through the analysis of data
gathered during ethnographic fieldwork.
Ethnohistoric: Pertaining to periods when the history of an ethnic group was maintained and
passed on orally rather than by written records.
Evaluation: Application of “. . . the National Register criteria 36 CFR Part 63 to properties
identified within the area of potential effects that have not been previously evaluated for
National Register eligibility.” [36 CFR Part 800, Protection of Historic Properties,
Section 800.4(c).] Evaluation can also be defined as “the process of determining whether
identified properties meet defined criteria of significance and therefore should be
included in an inventory of historic properties determined to meet the criteria. The
criteria employed vary depending on the inventory’s use in resource management.”
[48 Federal Register 44716, 9-29-83. Archeology and Historic Preservation; Secretary of
the Interior’s Standards and Guidelines, Standards for Evaluation, 44723;
(http://www.cr.nps.gov/local-law/arch_stnds_3.htm)]
Excavation: The controlled exposure of subsurface deposits at prehistoric and historic cultural
resource sites to recover archeological materials and data from these sites scientifically.
The two basic types of excavations are test excavations and large-scale excavations.
Facilities: “Land, buildings, and other structures, their functional systems and equipment, and
other fixed systems and equipment installed therein, including site development features
outside the plant, such as landscaping, roads, walks, and parking areas; outside lighting
and communication systems; central utility plants; utilities supply and distribution
systems; and other physical plant features. These include any of the DOE-owned, -leased,
or -controlled facilities, and they may or may not be furnished to a contractor under a
contract with DOE.” [DOE O 430.1B, Real Property Asset Management, dated 9-24-03,
Attachment 3, Definitions. (http://www.directives.doe.gov)]
Feature: An object that is not portable, such as a dwelling or storage facility.
Federal Lands: “Any land other than tribal lands which are controlled or owned by the United
States, including lands selected by but not yet conveyed to Alaska Native Corporations
and groups organized pursuant to the Alaska Native Claims Settlement Act of 1971.”
[Native American Graves Protection and Repatriation Act, Section 2(5)]
Federal Preservation Officer: “A qualified official [designated by the head of each Federal
agency] who shall be responsible for coordinating that Agency’s activities under [the
NHPA].” [National Historic Preservation Act, Section 110(c)]
Geographic Information System (GIS): An organized collection of computer hardware,
software, geographic data, and personnel designed to efficiently capture, store, update,
manipulate, analyze, and display all forms of geographically referenced information. It
incorporates the essential elements of computer cartography and relational databases into
one system. The most important characteristic of this system is that every mapped feature
is linked to a record in a tabular database and may be related to records in other databases
as well. The GIS fully integrates geographic and tabular data.
(http://www.mnmodel.dot.state.mn.us/pages/RD_AppE.html.)
Historic: The period after the advent of written history in a geographic region. For example, the
historic period in what is now the southeastern United States began with the arrival of
Europeans in that region in the early 1500s.
Historic American Buildings Survey (HABS) and Historic American Engineering Record
(HAER): “The national historical architectural and engineering documentation programs
of the National Park Service that promote documentation incorporated into the
HABS/HAER collections in the Library of Congress . . . HABS/HAER documentation
usually consists of measured drawings, photographs and written data that provide a
detailed record which reflects a property’s significance.” [48 Federal Register 44716,
9-29-83. Archeology and Historic Preservation; Secretary of the Interior’s Standards
and Guidelines: Guidelines for Architectural and Engineering Documentation, 44731
(http://www.cr.nps.gov/local-law/arch_stnds_6.htm)]
Historic Context: A particular historic theme that is further delineated by era and a geographic
area.
Historic Property: “Any prehistoric or historic district, site, building, structure, or object
included in, or eligible for inclusion in, the National Register.” [36 CFR Part 800,
Protection of Historic Properties, Section 800.16(l)(1)]
Historic Research: The scientific study of cultural resources through the analysis of data
gathered from written records, either published sources or archival records.
Historic Resource: A cultural resource dating to the historic period.
Historic Site: A cultural resource site dating to the historic period.
Historic Structure: A building or other constructed facility dating to the historic period.
Human Forces: The results of authorized actions and illegal acts by humans that have the
potential to affect cultural resources.
Illegal Acts: Acts that violate ARPA or any of the other laws and regulations protecting cultural
resources by causing prohibited types of damage or loss of these resources.
Indian Lands: “Lands of Indian tribes, or Indian individuals, which are either held in trust by
the United States or subject to a restriction against alienation imposed by the United
States, except for subsurface interests not owned or controlled by an Indian tribe or
Indian individual.” [43 CFR Part 7, Protection of Archaeological Resources,
Section 7.3(e)]
Indian Tribe: “Any tribe, band, nation, or other organized group or community of Indians,
including any Alaska Native village (as defined in, or established pursuant to, the Alaska
Native Claims Settlement Act), which is recognized as eligible for the special programs
and services provided by the United States to Indians because of their status as Indians.”
[Native American Graves Protection and Repatriation Act, Section 2(7)]
In Situ: The condition of objects that are situated in the location in which they were deposited
by the people who originally produced or used them.
Integrated Safety Management System (ISMS): A system to integrate safety in management
and work practices at all levels (DOE G 450.4-1B, Integrated Safety Management System
Guide Vol. 2, dated 3-1-01). The system is required by DOE P 450.4, Safety Management
System Policy, dated 10-15-96; DOE P 450.5, Line Environment, Safety and Health
Oversight, dated 6-26-97; and DOE P 450.6, Environment, Safety and Health, dated
4-14-98 (http://www.directives.doe.gov).
Inventory: The process of locating cultural resources and gathering information about them
through archeological surveys, ethnographic fieldwork, or archival searches.
Investigation: Collecting evidence and information at crime scenes and elsewhere in an effort to
identify and prosecute those responsible for committing illegal acts.
Isolated Feature: Nonportable artifacts that are not formally identified as cultural resource sites
or components of such sites.
Known Cultural Resource: A cultural resource that has been identified and formally recorded
by archeologists, ethnologists, or other cultural resource professionals or that is known
through ethnohistoric traditions or in any other way associated with Native Americans,
ethnic groups, or the public.
Laboratory Treatment: Processing or analyzing in a laboratory. The principal goals of
laboratory treatment are immediate preservation of the cultural resources and data and
recognition of their information value. (Long-term management and preservation of
collections of cultural resources and data are accomplished through curatorial services.)
Large-Scale Excavation: Extensive excavation of a cultural resource site, usually involving the
exposure of large portions of the site surface or surfaces and the features present. Basic
methods include horizontal exposure of the site surface in stratigraphic or arbitrary levels
and systematic, controlled excavation of stratigraphic levels working downward.
Lead Program Secretarial Office (LPSO): “A Program Secretarial Office (PSO) that is
responsible for implementation of policy promulgated by Headquarters staff and support
organizations for a field office. The LPSO owns the site, manages its own program
projects, and acts as a host for tenant Cognizant Secretarial Offices/PSOs by providing
facility and/or infrastructure support.” [DOE O 430.1B, Real Property Asset
Management, dated 9-24-03, Attachment 3, Definitions (http://www.directives.doe.gov)]
Legal Compliance: The process of meeting legal requirements placed on CRM activities by
applicable Federal, state, local, or tribal laws and regulations.
Long-Term Stewardship: “The physical controls, institutions, information and other
mechanisms needed to ensure protection of people and the environment at sites where
DOE has completed or plans to complete cleanup (e.g., landfill closures, remedial
actions, removal actions, and facility stabilization). This concept includes land use
controls, monitoring, maintenance, and information management.” [DOE O 430.1B, Real
Property Asset Management, dated 9-24-03, Attachment 3, Definitions
(http://www.directives.doe.gov)]
Mitigation: Measures carried out to avoid or reduce the effects of undertakings on cultural
resources. These measures may include relocation or other modifications of the
undertaking itself or recovery of materials and data from the cultural resource site to be
affected.
Monitoring: Periodic inspection of cultural resources to ascertain their condition and assess the
effects of natural forces, authorized actions, or illegal acts.
National Historic Landmark: “A district, site, building, structure, or object, in public or private
ownership, judged by the Secretary [of the Interior] to possess national significance in
American history, archeology, architecture, engineering and culture, and so designated by
him.” [36 CFR Part 65, National Historic Landmarks Program, Section 65.3(i)]
National Register of Historic Places: A list “composed of districts, sites, buildings, structures,
and objects significant in American history, architecture, archeology, engineering, and
culture.” Also referred to as “the National Register,” it is maintained by the NPS for the
Secretary of the Interior [National Historic Preservation Act, Section 101(a)(1)(A)].
National Register Status: The status of a cultural resource with regard to listing in the National
Register of Historic Places. This status will be one of the following: unevaluated for
eligibility, determined not eligible for inclusion, determined eligible for inclusion,
nominated for inclusion, listed, or designated as a National Historic Landmark.
Native American: “Of, or relating to, a tribe, people, or culture that is indigenous to the United
States.” [Native American Graves Protection and Repatriation Act, Section 2(9)]
Native American Cultural Items: Human remains, associated funerary objects, unassociated
funerary objects, sacred objects, and objects of cultural patrimony. [Native American
Graves Protection and Repatriation Act, Section 2(3)]
Native American Cultural Significance: Of religious value or other cultural significance to
Native American tribal governments or members.
Native Hawaiian: “Any individual who is a descendant of the aboriginal people who, prior to
1778, occupied and exercised sovereignty in the area that now constitutes the State of
Hawaii.” [Native American Graves Protection and Repatriation Act, Section 2(10);
36 CFR Part 800, Protection of Historic Properties, Section 800.16(s)(2)]
Native Hawaiian Organization: “Any organization which (A) serves and represents the
interests of Native Hawaiians, (B) has as a primary and stated purpose the provision of
services to Native Hawaiians, and (C) has expertise in Native Hawaiian Affairs, and shall
include the Office of Hawaiian Affairs and Hui Malama I Na Kupuna O Hawai’i Nei.”
[Native American Graves Protection and Repatriation Act, Section 2(11)]
Natural Forces: Forces of nature (e.g., wind and water erosion, wildfire, frost heave) that can
affect cultural resources.
No Adverse Effect: The situation in which an undertaking involving a cultural resource will not
“alter, directly or indirectly, any of the characteristics of a historic property that qualify
the property for inclusion in the National Register.” [36 CFR Part 800, Protection of
Historic Properties, Section 800.5(a)(1)]
Object: “A material thing of functional, aesthetic, cultural, historical or scientific value that may
be, by nature or design, movable yet related to a specific setting or environment.”
[36 CFR Part 60, National Register of Historic Places, Section 60.3(j)]
Outreach: Activities designed to inform and educate the public about cultural resources and
cultural resource management. These activities may be conducted on the DOE site or at
locations in the community.
Paleontological Specimen: Fossilized and nonfossilized remains and impressions of prehistoric
plant and animal life forms.
Permit: An Agency-issued document authorizing excavation or removal of archaeological
resources from lands under the Agency’s jurisdiction. (Archeological Resources
Protection Act, Section 4)
Plow and Disk Survey: A type of archeological survey in which cultural resources are located
by plowing and disking the surface of the survey area with agricultural implements to
expose artifacts and other cultural materials buried beneath recent overburden.
Prehistoric: The period before the advent of written history in a geographic region. The
prehistoric period in the various regions of North America is the time before the arrival
of Europeans in each of those regions.
Prehistoric Site: A cultural resource site dating to the prehistoric period.
Preservation: Protection of cultural resources from the effects of either natural or human forces,
either in situ or in collections.
Prevention: Reduction or elimination of the destructive effects of natural or human forces on
cultural resources before these effects occur.
Processing: The initial phase of laboratory treatment of cultural resources or data about them,
including sorting, cleaning, numbering, cataloging, photographing, drawing, conserving,
or restoring items.
Program: “An organized set of activities directed toward a common purpose or goal undertaken
or proposed in support of an assigned mission area. It is characterized by a strategy for
accomplishing definite objectives that identify the means of accomplishment, particularly
in quantitative terms, with respect to work force, material, and facilities requirements.
Programs are typically made up of technology-based activities, projects, and supporting
operations.” [DOE G 430.1-1, Cost Estimating Guide, Appendix A, Dictionary, dated
3-28-97. (http://www.directives.doe.gov)]
Programmatic Agreement: “A document that records the terms and conditions agreed upon to
resolve the potential adverse effects of a Federal agency program, complex undertaking
or other situation in accordance with §800.14(b).” [36 CFR Part 800, Protection of
Historic Properties, Section 800.16(t)]
Project: “A unique major effort within a program that has firmly scheduled beginning,
intermediate, and ending date milestones; prescribed performance requirements;
prescribed costs; and close management, planning, and control. The project is the basic
building block in relation to a program that is individually planned, approved, and
managed. A project is not constrained to any specific element of the budget structure
(e.g., operating expense or plant and capital equipment). Construction, if required, is part
of the total project. Authorized, and at least partially appropriated, projects will be
divided into three categories: major system acquisitions, major projects, and other
projects.” [DOE G 430.1-1, Cost Estimating Guide, Appendix A, Dictionary, dated
3-28-97. (http://www.directives.doe.gov)]
Protection: Measures carried out to reduce or eliminate the effects of natural or human forces
that cause damage or loss of cultural resources. Protection measures for natural and
human forces resulting from authorized actions include monitoring, project screening and
tracking, and restoration and repair. When human forces result from illegal acts,
protection measures include detection, investigation, prosecution, restoration and repair,
and prevention.
Protocol: 1. “The etiquette or manners used when conducting Federal-tribal interactions and
communications, with particular consideration given to applying an understanding of
cultural diversity and awareness and being respectful of sovereignty.” 2. “A document
that records mutually agreed-upon principles and procedures for conducting consultation,
fulfilling trust responsibilities, and maintaining a government-to-government
relationship.” (Protocol Guidelines: Consulting with Indian Tribal Governments. Bureau
of Reclamation. Native American Affairs Office [revised February 9, 2001])
Protohistoric: The transition period between the prehistoric and historic periods, after the
advent of written history in a geographic region, but before all groups entered the historic
period.
Recent Scientific Significance: Significance or importance derived from association with recent
scientific advancements in the last 50 years (e.g., the development of nuclear-energy
technology).
Repository: “A facility such as a museum, archeological center, laboratory or storage facility
managed by a university, college, museum, other educational or scientific institution, a
Federal, State or local Government agency or Indian tribe that can provide professional,
systematic and accountable curatorial services on a long term basis.” [36 CFR Part 79,
Curation of Federally-Owned and Administered Archeological Collections, Section
79.4(j)]
Research Design: “A statement of proposed identification, documentation, investigation, or
other treatment of a historic property that identifies the project’s goals, methods and
techniques, expected results, and the relationship of the expected results to other
proposed activities or treatments.” [48 Federal Register 44716, 9-29-83. Archeology and
Historic Preservation; Secretary of the Interior’s Standards and Guidelines,
Preservation Terminology, 44739 (http://www.cr.nps.gov/local-law/arch_stnds_10.htm)]
Resources of Ethnic Importance: Cultural resources that have ethnic importance. These
include sacred sites, traditional-use resources, Native American cultural items, and any
other resources that have ethnic importance.
Restoration: “The act or process of accurately depicting the form, features, and character of a
property as it appeared at a particular period of time by means of the removal of features
from other periods in its history and reconstruction of missing features from the
restoration period. The limited and sensitive upgrading of mechanical, electrical, and
plumbing systems and other code-required work to make properties functional is
appropriate within a restoration project.” [36 CFR Part 68, The Secretary of the Interior’s
Standards for the Treatment of Historic Properties, Section 68.2(c)]
Restoration and Repair: Activities including “(1) reconstruction of the archaeological
resource; (2) stabilization of the archaeological resource; (3) ground contour
reconstruction and surface stabilization; (4) research necessary to carry out
reconstruction or stabilization; (5) physical barriers or other protective devices,
necessitated by the disturbance of the archaeological resource, to protect it from further
disturbance; (6) examination and analysis of the archaeological resource including
recording remaining archaeological information, where necessitated by disturbance, in
order to salvage remaining values which cannot be otherwise conserved; (7) reinterment
of human remains in accordance with religious custom and State, local, or tribal law,
where appropriate, as determined by the Federal land manager; (8) preparation of reports
relating to any of the above activities.” [43 CFR Part 7, Protection of Archaeological
Resources, Section 7.14(c)]
Sacred Site: A place or location associated with the religious beliefs or practices of Native
Americans or an ethnic group. In addition to churches and other formal religious or
ceremonial sites, these may include natural places or locations used for religious
purposes or important in religious beliefs.
Shovel-Test Survey: A type of archeological survey in which buried cultural resources are
located by small, shovel-size excavations at regular intervals.
Site: 1. “The location of a significant event, a prehistoric or historic occupation or activity, or a
building or structure, whether standing, ruined, or vanished, where the location itself
maintains historical or archeological value regardless of the value of any existing
structure.” [36 CFR Part 60, National Register of Historic Places, Section 60.3(l).] (See
also definition of Cultural Resource Site) 2. “A geographic area owned or leased by or
for the account of the Federal Government for the performance of DOE program
activities. The term includes any extant buildings, infrastructure, and other
improvements.” [DOE O 430.1B, Real Property Asset Management, dated 9-24-03,
Attachment 3, Definitions (http://www.directives.doe.gov)]
State Historic Preservation Officer: “The official appointed or designated pursuant to
Section 101(b)(1) of the [NHPA] to administer the State historic preservation program or
a representative designated to act for the State historic preservation officer.”
[36 CFR Part 800, Protection of Historic Properties, Section 800.16(v)]
Structure: “A work made up of interdependent and interrelated parts in a definite pattern of
organization. Constructed by man, it is often an engineering project large in scale.”
[36 CFR Part 60, National Register of Historic Places, Section 60.3(p)]
Test Excavation: Excavation of a small portion of a cultural resource site to determine the types
and extent of the materials present. Basic test excavation methods include hand
excavation of test pits or trenches in a grid and machine excavation of test trenches.
Test Pit: A type of test excavation dug by hand that is usually relatively small. Units one meter
square (1 m2) in surface area are commonly used for test pits.
Test Trench: A linear type of test excavation dug by hand or by machine that is designed to
transect cultural resource sites or features and expose the vertical faces of the deposits.
Backhoes are sometimes used to excavate test trenches.
Tribal Historic Preservation Officer: “The tribal official appointed by the tribe’s chief
governing authority or designated by a tribal ordinance or preservation program who has
assumed the responsibilities of the SHPO for purposes of Section 106 compliance on
tribal lands in accordance with Section 101(d)(2) of the [NHPA].” [36 CFR Part 800,
Protection of Historic Properties, Section 800.16(w)]
Traditional-Use Resource: Natural resources (e.g., plants, animals, minerals, natural features)
traditionally collected or otherwise utilized by Native Americans or ethnic groups.
Treaty: A bilateral agreement between the United States and an Indian Nation that essentially
guarantees that tribes will possess in perpetuity sufficient land and resources to continue
to be self-sustaining, with the intention that the tribes maintain sovereignty within their
homelands and not be subject to incursions by the laws of the states. These agreements
also recognize a duty by the Federal government to protect land, rights, and resources,
notwithstanding that there is a broad Federal power over Indian affairs. (Congress ended
the treaty-making period with enactment of the Appropriations Act of 1871. )
Undertaking: “A project, activity, or program funded in whole or in part under the direct or
indirect jurisdiction of a Federal agency.” Undertakings include “those carried out by or
on behalf of a Federal agency; those carried out with Federal financial assistance; and
those requiring a Federal permit, license or approval.” [36 CFR Part 800, Protection of
Historic Properties, Section 800.16(y)]
Walkover Survey: A type of archeological survey in which cultural resources are located
simply by walking over the existing surface of the ground. In areas with thick vegetation
or extensive depositional forces, this method is only effective in locating standing
structures.
APPENDIX B
LEGISLATION, EXECUTIVE ORDERS, AND REGULATIONS GOVERNING
THE MANAGEMENT OF CULTURAL RESOURCES
APPENDIX B. LEGISLATION, EXECUTIVE ORDERS, AND REGULATIONS
GOVERNING THE MANAGEMENT OF CULTURAL RESOURCES
Antiquities Act of 1906
Historic Sites Act of 1935
Archeological Recovery Act of 1960
National Historic Preservation Act of 1966, as amended
National Register of Historic Places (36 CFR Part 60)
Determination of Eligibility for Inclusion in the National Register of Historic Places
(36 CFR Part 63)
National Historic Landmark Program (36 CFR Part 65)
The Secretary of the Interior’s Standards for the Treatment of Historic Properties
(36 CFR Part 68)
Waiver of Federal Responsibilities under NHPA (36 CFR Part 78)
Curation of Federally-Owned and Administered Archeological Collections
(36 CFR Part 79)
Protection of Historic Properties (36 CFR Part 800)
National Environmental Policy Act of 1969
Council on Environmental Quality Implementing Regulations (40 CFR Parts 1500–1508)
Department of Energy National Environmental Policy Act Implementing Procedures
(10 CFR Part 1021)
E.O. 11593, Protection and Enhancement of the Cultural Environment (1971)
Archeological and Historic Preservation Act of 1974
American Folklife Preservation Act of 1976
American Indian Religious Freedom Act of 1978
Archeological Resources Protection Act of 1979, as amended
Protection of Archaeological Resources (The following regulations are identical:
43 CFR Part 7, Department of the Interior; 18 CFR Part 1312, Tennessee Valley
Authority; 32 CFR Part 229, Department of Defense; and 36 CFR Part 196, Department
of Agriculture)
Abandoned Shipwreck Act of 1987
Native American Graves Protection and Repatriation Act of 1990
Native American Graves Protection and Repatriation Regulations (43 CFR Part 10)
Executive Memorandum, Government-to-Government Relations with Native American Tribal
Governments (April 29, 1994)
E.O. 13007, Indian Sacred Sites (1996)
E.O. 13175, Consultation and Coordination with Indian Tribal Governments (2000)
E.O. 13287, Preserve America (2003)
APPENDIX C
CRM DOCUMENTS OF DOE AND OTHER FEDERAL AGENCIES
APPENDIX C. CRM DOCUMENTS OF DOE AND OTHER FEDERAL AGENCIES
This appendix lists documents that will be of assistance to DOE facility managers and their
contractors in meeting their cultural resource management (CRM) compliance responsibilities.
These documents serve several functions. First, they compile appropriate Federal regulatory
materials. Second, the documents emphasize reasons for identifying, evaluating, and protecting
cultural resources and the importance of consulting with local, state, and Federal agencies and
Native Americans when DOE activities might affect cultural resource sites and items. Third, the
documents identify the importance of developing written cultural resource management plans, a
theme that runs throughout the Federal regulations and guidance [particularly the Annotated
Guidelines for Federal Agency Responsibilities under Section 110 that are authorized by
Section 101(g) of the National Historic Preservation Act].
GENERAL DOE CRM DOCUMENTS
Many of the following documents, arranged in reverse chronological order, are available at
http://tis.eh.doe.gov/oepa. General information about DOE history and DOE’s History Division
can be found at http://ma.mbe.doe.gov/execsec/history.htm.
DOE P 141.1, Department of Energy Management of Cultural Resources. Office of
Environment, Safety and Health (May 2, 2001).
A Guide for DOE Employees, Working with Indian Tribal Nations. Office of Environmental
Management, Office of Intergovernmental and Public Accountability (December 2000).
American Indian and Alaska Native Tribal Government Policy. Office of Congressional and
Intergovernmental Affairs (October 2000).
Coordination of Responsibilities and Activities for Historic Preservation and Cultural Resources
Management. Memorandum of Understanding. Office of Environment, Safety and Health
and Office of Management and Administration (March 1, 2000).
National Historic Preservation Act Amendments of 1992—Information. Department of Energy
Memorandum. Office of Environmental Guidance (August 26, 1993).
1992 Amendments to the National Historic Preservation Act: Implications for Section 106
Review and Questionnaire Regarding Improvements to the Section 106 Review Process.
Department of Energy Memorandum. Office of Environment, Safety and Health, Air,
Water and Radiation Division (May 27, 1993).
The Native American Graves Protection and Repatriation Act. Department of Energy Guidance
Memorandum. Office of Environment, Safety and Health; Air Water and Radiation
Division (July 30, 1992).
DOE O 1230.2, American Indian Tribal Government Policy. Office of Congressional and
Intergovernmental Affairs (April 8, 1992).
Management of Cultural Resources at Department of Energy Facilities. Department of Energy
Guidance Memorandum. Environmental Guidance Division (February 23, 1990).
DOE CRM INFORMATION BRIEFS
Archaeological Resources Protection Act. EH-232-0004/0193, Office of Environmental
Guidance, U.S. Department of Energy, Washington, D.C. (January 1993).
Historic Preservation and the DOE Historian. EH-232-0006/1193, Office of Environmental
Guidance, U.S. Department of Energy, Washington, D.C. (November 1993).
Management of Cultural Resources at Department of Energy Facilities. DOE/EH-412/0005r,
Office of Environmental Policy and Guidance, U.S. Department of Energy, Washington,
D.C. (revised July 2001).
National Historic Preservation Act. DOE/EH-412/0002r, Office of Environmental Policy and
Guidance, U.S. Department of Energy, Washington, D.C. (revised August 2002).
Native American Graves Protection and Repatriation Act, EH-232-0003/1092, Office of
Environmental Guidance, U.S. Department of Energy, Washington, D.C. (October 1992).
State and Tribal Historic Preservation Officers. DOE/EH-412-0007r, Office of Environmental
Policy and Guidance, U.S. Department of Energy, Washington, D.C. (revised
August 2002).
BUREAU OF RECLAMATION
Protocol Guidelines: Consulting with Indian Tribal Governments. Bureau of Reclamation.
Native American Affairs Office (revised February 9, 2001)
NATIONAL PARK SERVICE (NPS) AND ADVISORY COUNCIL ON HISTORIC
PRESERVATION (ACHP)
The NPS in the U.S. Department of the Interior and the ACHP have a number of publications
that will be of use to DOE staff implementing CRM programs.
NPS
Local Preservation Reference Shelf. compiled by The National Alliance of Preservation
Commissions. 1999. (http://www2.cr.nps.gov/pad/partnership/RefShelf699.pdf)
Recommendations Regarding the Disposition of Culturally Unidentifiable Native American
Human Remains (65 Federal Register 36462, 6-8-00)
(http://www.cr.nps.gov/nagpra/review/RCNOTICES/rcrec004.pdf)
The Secretary of the Interior’s Standards and Guidelines for Archeology and Historic
Preservation (48 Federal Register 44716, 9-29-83) (http://www.cr.nps.gov/local-
law/arch_stnds_0.htm)
The Secretary of the Interior’s Standards and Guidelines for Federal Agency Historic
Preservation Programs Pursuant to the National Historic Preservation Act (63 Federal
Register 20495, 4-24-98) (http://www2.cr.nps.gov/pad/sec110.htm)
The Secretary of the Interior’s Standards for the Treatment of Historic Properties
(36 CFR Part 68) (60 Federal Register 35843, 7-12-95) (http://www.cr.nps.gov/local-
law/arch_stnds_8_2.htm)
Additional NPS cultural resource publications are listed at http://www.cr.nps.gov/linkpubs.htm.
Those NPS publications include, among other items, historic buildings preservation briefs,
historic preservation guidelines, and National Register bulletins.
Many laws and regulations related to cultural resources can be found at the following NPS Web
site: http://www.cr.nps.gov/aad/peoples/mandate.htm.
ACHP
Recommended Approach for Consultation on Recovery of Significant Information from
Archeological Sites (64 Federal Register 27085, 5-18-99)
(http://www.achp.gov/archguide.html)
Many additional ACHP publications are available electronically at http://www.achp.gov/pubs.html.
They provide information on working with the Section 106 regulations, Reports to the President
and Congress, and updates on Federal historic preservation case law.
_______________
FOOTNOTES FOR ENTIRE GUIDE
?Headings that should be included in individual CRM plans are shown in standard type. Headings that
introduce CRM plan sections are shown in italics.
Stewardship in the context of DOE’s CRM program means the faithful management of cultural resources
as assets that must be turned over to the next generation.
The term used throughout this document when referring to the indigenous people of America. (See
Appendix A, Glossary.)
Management of Cultural Resources at Department of Energy Facilities, U.S. Department of Energy
Guidance Memorandum, Raymond F. Pelletier, Director, Environmental Guidance Division
(Feb. 23, 1990).
At the time the memorandum was written, that requirement was in Section 101(f) of the NHPA. It was
moved to Section 110(a) by the 1992 amendments to the NHPA.
Model protocols for consultation may be developed between DOE and Native American tribal
governments on issues of mutual concern.
Headings that should be included in individual CRM plans are shown in standard type. Headings that
introduce CRM Plan sections are shown in italics.
Information on how to select an appropriate technical expert can be found in National Park Service
(NPS) documents. (See http://www.cr.nps.gov/linkpubs.htm.)
On February 24, 2003, the Secretary of Energy signed a memo approving the adoption of the 2001
Federal Wildland Fire Management Policy and Implementing Actions as DOE policy.
See Appendix A, Glossary, for definitions of terms.
Much of E.O. 11593 was codified and incorporated into NHPA when Section 110 was added to the law
in 1980. Section 110 neither replaced nor invalidated E.O. 11593, but rather supplemented it.
As required by Section 10(a) of ARPA, uniform regulations to implement ARPA were developed jointly
by the Secretaries of the Interior, Agriculture, and Defense and the Chairman of the Board of the
Tennessee Valley Authority. The uniform regulations in 43 CFR Part 7, subpart A are to be followed by
all Federal land managers to protect archaeological resources located on public lands. Section 10(b) of
ARPA provides that each Federal land manager shall promulgate additional rules and regulations,
consistent with the uniform rules and regulations in 43 CFR Part 7, subpart A, as may be necessary for
carrying out the purposes of the Act. As of this date, DOE has not promulgated any supplemental
regulations.
Indian Treaties 1778-1883, compiled and edited by Charles J. Kappler. New York: Interland Publishing,
Inc., 1972.
See NPS Web site at http://www.cr.nps.gov/linkpubs.htm.
For additional CR definitions see U.S. Department of the Interior, NPS. 2001 Management Policies.
Glossary (http://www.nps.gov/refdesk/mp/index.html).
The Secretary of the Interior’s Standards and Guidelines for Federal Agency Historic Preservation
Programs pursuant to the National Historic Preservation Act were published in the Federal Register on
April 24, 1998 (63 Federal Register 20495).
This definition was developed in 1989 in cooperation with staff from the U.S. Department of the Interior,
the ACHP, the National Congress of American Indians, and the Native American Rights Fund. DOE’s
policy on Management of Cultural Resources (DOE P 141.1, May 2, 2001) reflects this definition.
Black’s Law Dictionary, 7th edition. 1999. Bryan A. Garner, editor. West Group.
Many of these laws can be found at http://www.cr.nps.gov/aad/peoples/mandate.htm.
Regulations are listed and indented under the primary law that they implement.
Much of E.O. 11593 was codified and incorporated into NHPA when Section 110 was added to the law
in 1980. Section 110 neither replaced nor invalidated E.O. 11593, but rather supplemented it.
The DOE American Indian Policy included as Appendix 3 in this document is the 1992 Policy that has
been replaced by the October 2000 American Indian and Alaska Native Tribal Government Policy.
This policy replaces the 1992 Policy that was Attachment 1 to DOE O 1230.2 of April 8, 1992. That
Order itself is still in effect and implements the new policy.
This order is still in effect. But the Policy that was included as Attachment 1 to it has been replaced by
the October 2000 American Indian and Alaska Native Tribal Government Policy.
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