Historic Preservation Law in a Nutshell (2d ed.)

University of Connecticut From the SelectedWorks of Sara C. Bronin 2018 Historic Preservation Law in a Nutshell (2d ed.) Sara C Bronin, University of Connecticut Ryan M Rowberry, Georgia State University Available at: https://works.bepress.com/bronin/14/

HISTORIC PRESERVATION LAW IN A NUTSHELL by SARA C. BRONIN Professor of Law Faculty Director, Center for Energy and Environmental Law University of Connecticut School of Law RYAN ROWBERRY Assistant Professor of Law Associate Director, Center for Center for the Comparative Study of Metropolitan Growth Georgia State University College of Law

OUTLINE PREFACE... V TABLE OF CASES... XXI TABLE OF STATUTES... XXIX Chapter 1. Introduction... 1 A. What Is Historic Preservation?... 2 1. Three Movements Impacting Historic Preservation Law... 2 a. Collecting Archaeological and Tribal Resources... 3 b. Protecting Natural Landscapes... 5 c. Preserving Buildings, Structures, and Other Sites... 8 2. Rationales for Preservation... 12 a. Patriotism... 12 b. Education... 13 c. Aesthetics... 14 d. Community-Building... 14 e. Economic Development... 15 f. Sustainability... 16 g. Federal Codification of Rationales... 16 B. Nature and Scope of Historic Preservation Law 17 1. What Is Protected?... 18 2. Four Categories of Preservation Law... 21 a. Regulation... 22 b. Incentives... 23 c. Authorization of Restrictions... 25 d. Information... 25 3. Key Players... 26 C. Historic Preservation in Federal Court... 28 VII

VIII OUTLINE 1. Standards of Review... 29 a. Federal Agency Actions... 29 b. Lower Court Decisions... 30 2. Standing... 31 a. Standing from the Constitution... 31 b. Standing from Federal Statutes... 33 Chapter 2. Designation... 37 A. Federal Designation... 39 1. National Register Criteria... 40 a. Type... 41 b. Context... 44 c. Significance... 44 d. Integrity... 46 e. National Historic Landmark Criteria... 48 f. Exclusions and Exceptions... 50 2. Federal Designation Procedures... 51 a. Nominations... 52 b. Evaluation of Nominations... 55 c. De-Listing Properties... 57 B. State and Local Designation... 59 1. State and Local Register Criteria... 59 a. Type... 60 b. Context... 60 c. Significance... 61 d. Integrity... 63 e. Exclusions and Exceptions... 64 f. Designation by Reference... 65 2. State and Local Designation Procedures... 65 a. Nominations... 66 b. Evaluation of Nominations... 67 c. De-Listing Properties... 69 Chapter 3. National Historic Preservation Act69

OUTLINE IX A. Overview... 72 B. Key Terms... 74 1. Agency... 75 2. Undertaking... 78 a. Carried Out by or for the Agency... 79 b. Financial Assistance... 81 c. Permit, License, or Approval... 83 d. Subject to State/Local Regulation... 86 3. Effect... 87 4. National Register... 88 5. Eligible for Inclusion on the National Register89 6. Advisory Council on Historic Preservation... 90 C. Application... 90 1. Initiation of Process... 91 a. Evaluate Undertaking Status... 92 b. Coordinate with Other Reviews... 93 c. Identify Consulting Parties... 94 d. Develop Public Involvement Plan... 97 2. Identification of Historic Properties Affected. 97 3. Evaluation of Adverse Effects... 101 4. Resolution of Adverse Effects... 103 5. Program Alternatives... 105 a. Programmatic Agreements... 106 b. Alternate Procedures... 108 c. Exempted Categories... 108 D. Relationship with Other Federal Statutes... 109 Chapter 4. National Environmental Policy Act111 A. Overview... 114 B. Key Terms... 116 1. Federal Agency... 117 2. Major Federal Action... 119 3. Significantly... 122 4. Affecting... 125

X OUTLINE 5. Human Environment... 126 6. Historic Resources... 127 C. Application... 128 1. Categorical Exclusion... 129 2. Environmental Assessment (EA)... 131 3. Environmental Impact Statement (EIS)... 132 4. Supplemental Environmental Impact Statement (SEIS)... 135 5. Tiering EAs and EISs... 136 6. Adequacy of an EA or EIS... 136 D. Relationship with Section 106... 139 1. Differences in Scope... 141 2. Differences in Consultation Requirements... 143 E. State Laws... 145 1. Scope of State Environmental Policy Acts... 146 2. Treatment of Historic Resources... 148 Chapter 5. Section 4(f)... 151 A. Overview... 153 B. Key Terms... 155 1. Transportation Program or Project... 156 2. Use... 158 3. Historic Site... 162 a. Listed Properties... 162 b. Eligible and Unlisted Properties... 163 c. Historic Sites with a Transportation Function 164 d. Archaeological Sites... 166 e. Timing... 166 f. Nature of Historic Significance... 167 4. Official(S) with Jurisdiction... 167 5. Prudent and Feasible... 168 6. All Possible Planning to Minimize Harm... 171 7. De Minimis... 172 C. Application... 173

OUTLINE XI 1. Applicability of Section 4(f)... 174 2. Evaluations... 175 a. Individual Evaluation... 175 b. Programmatic Evaluation... 179 3. Role of Officials with Jurisdiction... 181 D. Relationship with Section 106... 183 E. Relationship with the Federal-Aid Highway Bill186 F. State Laws Modeled After Section 4(f)... 187 Chapter 6. Local Regulation... 191 A. Restrictions on Demolition... 194 1. Ordinances Restricting Demolition by Affirmative Act... 194 a. Types of Restrictions... 195 b. Public Interest Exception... 197 2. Ordinances Requiring Delays Before Demolition by Affirmative Act... 198 3. Ordinances Prohibiting Demolition by Neglect199 B. Restrictions on Alteration... 201 1. Certificates of Appropriateness... 202 a. Covered Properties and Activities... 202 b. Evaluation Process... 203 c. Content... 205 2. Economic Hardship Exception... 206 C. Restrictions on New Construction... 208 D. Historic Preservation and Zoning... 209 1. Intersections Between Preservation and Zoning210 2. Conservation Districts... 212 3. Form-Based Codes... 214 Chapter 7. Police Power and Due Process... 215 A. Police Power... 217 B. Due Process... 220 1. Procedural Due Process... 221

XII OUTLINE a. Local Ordinances... 222 b. State Statutes... 225 c. Federal Statutes... 226 2. Substantive Due Process... 228 Chapter 8. Takings... 231 A. Physical Takings... 234 1. Eminent Domain... 235 a. Bases for Federal Judicial Review... 236 b. The Interpretation of the Public Use Clause238 c. Application to Historic Preservation... 243 2. Physical Takings Not Involving Eminent Domain... 245 B. Regulatory Takings... 247 1. Partial Takings... 248 a. Character of the Government Action... 249 b. Economic Impact on the Claimant... 252 c. Reasonable Investment-Backed Expectations 253 d. Weighing the Three Factors... 255 2. Total Takings... 256 C. Exactions... 260 1. Essential Nexus... 261 2. Roughly Proportional... 263 Chapter 9. Religious Liberty... 263 A. Free Exercise Clause... 266 1. Supreme Court Interpretations... 267 a. Laws that are Not Neutral Laws of General Applicability... 268 b. Neutral Laws of General Applicability... 270 2. Application to Historic Preservation... 272 a. Identifying the Free Exercise... 272 b. Identifying and Applying the Appropriate Test274

OUTLINE XIII B. Religious Land Use and Institutionalized Persons Act... 277 1. Overview... 278 2. Key Terms... 280 a. Government... 280 b. Land Use Regulation... 281 c. Religious Exercise... 283 d. Substantial Burden... 284 e. Compelling Government Interest... 286 f. Least Restrictive Means... 288 3. Application... 289 4. Intersection with the Religious Freedom Restoration Act... 291 C. Establishment Clause... 292 1. Supreme Court Interpretations... 293 a. The Principle of Neutrality... 294 b. The Lemon Test... 295 c. Inconsistencies in Establishment Clause Caselaw297 2. Application to Designation... 299 3. Application to Regulation... 303 4. Application to Grant Programs... 305 Chapter 10. Free Speech... 307 A. Supreme Court Interpretations... 310 1. Strict Scrutiny... 311 2. Intermediate Scrutiny... 312 3. Inconsistencies in Free Speech Clause Caselaw315 B. Application to Historic Preservation... 318 1. Strict Scrutiny... 318 2. Intermediate Scrutiny... 321 Chapter 11. Archaeological Protections... 325 A. Antiquities Act... 328 1. Overview... 328

XIV OUTLINE a. Designation of National Monuments... 329 b. Issuance of Permits on Federal Land... 330 c. Penalties... 331 2. Key Terms... 333 a. Public Proclamation... 333 b. In His Discretion... 334 c. Lands Owned or Controlled by the Government335 d. Other Objects of Historic or Scientific Interest336 e. Smallest Area Compatible... 337 B. Historic Sites Act... 337 1. Overview... 338 2. Historic and Archaeological Data Protection Preservation Act... 340 C. Archaeological Resources Protection Act... 341 1. Overview... 342 2. Key Terms... 343 a. Archaeological Resource... 343 b. Person... 344 c. Indian Tribe... 344 d. Federal Land Manager... 345 e. Public Lands... 345 f. Indian Lands... 346 3. Application... 347 a. Prohibited Acts... 347 b. Permitting Process... 348 c. Penalties... 350 4. The Issue of Confidentiality... 351 5. Relationship with Section 106 of the National Historic Preservation Act... 352 D. Abandoned Shipwreck Act... 352 1. Overview... 353 2. Key Terms... 354 a. Shipwreck... 355

OUTLINE XV b. Abandoned... 356 c. Embedded... 357 d. Submerged Lands... 358 e. Historic Shipwreck... 359 3. Application... 359 a. Determining Which Shipwrecks Are Protected360 b. Asserting State Title... 361 c. Providing for Public Access and Protection362 4. Relationship to the Law of Salvage and the Law of Finds... 362 E. Archaeological Resources Provisions of Section 106... 363 1. Archaeological Resources and the National Register Criteria... 364 2. Duty to Identify Hidden Significant Properties366 3. Duty to Protect Archaeological Resources... 367 4. Archaeologists as Consulting Parties... 369 Chapter 12. Native American Issues... 369 A. Native American Graves Protection and Repatriation Act... 372 1. Overview... 372 2. Key Terms... 376 a. Native American... 376 b. Native Hawaiian... 377 c. Museum... 378 d. Indian Tribe... 379 e. Cultural Items... 380 f. Cultural Affiliation... 383 g. Federal Land... 384 h. Tribal Land... 385 3. Application... 386 a. Intentional Excavations and Removals... 386 b. Inadvertent Discoveries... 387

XVI OUTLINE c. Inventory... 389 d. Summary... 390 e. Repatriation... 391 f. Disposition of Culturally Unidentifiable Human Remains... 392 g. Review Committee... 393 h. Penalties... 395 B. The National Historic Preservation Act... 397 1. Overview... 398 2. Key Terms... 399 a. Indian Tribe... 400 b. Tribal Historic Preservation Officer... 400 c. Native Hawaiian... 401 d. Native Hawaiian Organization... 401 3. Evaluating the Historic Significance of Native American Properties... 402 4. Incorporating Native Americans in the Section 106 Process... 404 a. Role of the Native American Representative405 b. Adequacy of the Consultation Process... 407 Chapter 13. Conservation and Preservation Restrictions... 411 A. Creation... 414 1. Voluntary Creation Through State Statutes 415 a. States Adopting the Uniform Conservation Easement Act... 415 b. States Not Adopting the Uniform Conservation Easement Act... 416 2. Involuntary Creation Through Exactions... 418 B. Alteration and Termination... 419 1. Alteration... 420 a. State Supervised Alterations... 420 b. Judicial Review of Alterations... 421

OUTLINE XVII 2. Termination... 423 C. Value of Conservation and Preservation Restrictions... 424 1. Valuation... 425 a. Methods of Appraisal... 426 b. Difficulties in Making Valuations... 428 2. Tax Treatment... 429 a. Federal Tax Incentives... 429 b. State Tax Incentives... 433 Chapter 14. Tax Credits... 433 A. Federal Rehabilitation Tax Credits... 436 1. Overview... 436 2. Key Terms... 438 a. Qualified Rehabilitated Building... 439 b. Substantial Rehabilitation... 442 c. Certified Historic Structure... 443 d. Qualified Rehabilitation Expenditures... 445 e. Placed in Service... 448 3. Application... 449 a. Part 1... 450 b. Part 2... 451 c. Part 3... 453 d. Appeals... 454 4. Post-Award Issues... 454 a. Transfers... 454 b. Recapture... 456 c. Combination with Other Credits... 457 B. State Rehabilitation Tax Credits... 457 1. Overview... 458 2. Post-Award Issues... 460 Chapter 15. Issues in Building Rehabilitation461 A. Building Codes... 463

XVIII OUTLINE 1. Overview... 463 a. History... 464 b. Code Adoption... 466 c. Impact on Rehabilitation... 468 2. Rehabilitation Building Codes... 470 B. Americans with Disabilities Act... 472 1. Overview... 473 a. Title II: Regarding Access to Public Programs474 b. Title III: Regarding Public Accommodations and Commercial Facilities... 476 2. Key Terms... 479 a. Public Entity... 479 b. Historic Preservation Programs... 480 c. Historic Properties... 481 d. Disability... 482 e. Public Accommodation... 483 f. Commercial Facilities... 485 g. Readily Achievable... 486 h. Alterations... 487 3. Application... 488 a. Title II: Regarding Access to Public Programs489 b. Title III: Regarding Public Accommodations and Commercial Facilities... 491 Chapter 16. International Preservation Law497 A. 1954 Hague Convention for the Protection of Cultural Property... 500 1. Overview... 501 a. Convention (1954)... 501 b. First Protocol (1954)... 503 c. Second Protocol (1999)... 503 2. Key Term: Cultural Property... 505 3. Application... 507 a. During Peacetime... 507

OUTLINE XIX b. During Armed Conflict... 509 B. 1970 UNESCO Convention... 510 1. Overview... 511 a. Convention (1970)... 511 b. UNIDROIT Convention on Stolen or Illegally Exported Cultural Objects (1995)... 513 2. Key Term: Cultural Property... 514 3. Application... 516 a. CPIA Implementation of Article 7(b)(i): Prohibiting Import... 517 b. CPIA Implementation of Article 9: International Assistance... 518 c. CPIA Enforcement... 521 d. CPIA Implementation of Article 7(b)(ii): Restitution523 C. 1972 UNESCO Convention... 525 1. Overview... 526 2. Key Terms... 527 a. Cultural Heritage... 527 b. Natural Heritage... 528 c. Outstanding Universal Value... 529 3. Application... 532 a. Nomination Process in the United States. 533 b. Evaluation of Nominations by the World Heritage Committee... 535 c. Implications of Inscription on the World Heritage List... 536 INDEX... 539