Cover ImageDuke Power
Final Shoreline Management
Plan Update for the
Catawba-Wateree Hydro Project

(FERC No. 2232)

Appendix C - Part 1 Programmatic Agreement


Submitted by:
Duke Power, A Division of
Duke Energy Corporation

Group Environment
Health & Safety
Lake Management

July 30, 2001

Prepared by:
The Louis Berger Group, Inc.
Needham, MA

Part 1 Programmatic Agreement

Stipulations

I. IDENTIFICATION AND EVALUATION

II. EXEMPT ACIVITIES

III. INTERIM PROCEDURES

IV. EFFECT AND TREATMENT

V. DISCOVERY

VI. TRAINING, EDUCATION AND PUBLIC INFORMATION

VII. MONITORING AND REPORTING

VIII. ADMINISTRATION

IX. DISPUTE RESOLUTION

X. AMENDMENT

XI DEFAULT

XIII. RENEWAL

 

Part 2 Cultural Resources Context

Table 1. The Lakes within the Catawba-Wateree Project Area

Table 2. Archaeological Periods

Table 3. Historical Periods

Table 4. Chronological List of Catawba River Hydro Stations

1.0 INTRODUCTION

2.0 ENVIRONMENTAL SETTING

2.1 The Blue Ridge

2.2 The Foot Hills

2.3 The Piedmont

2.4 The Fall Line

2.5 The Coastal Plain

2.6 The Carolina Bays

2.7 The Carolina Sandhills

3.0. CULTURAL CONTEXTS

3.1 Prehistoric Context

3.2 Historic Context

4.0 REFERENCES CITED

Part 3
Cultural Resources Database & Maps

 
 

Appendix C

Part 1

Programmatic Agreement

Note: This document has been recreated from the original. The signatures have been included to identify this document as the executed Programmatic Agreement.

PROGRAMMATIC AGREEMENT
AMONG
THE FEDERAL ENERGY REGULATORY COMMISSION,
THE ADVISORY COUNCIL ON HISTORIC PRESERVATION,
AND THE
NORTH AND SOUTH CAROLINA STATE HISTORIC PRESERVATION OFFICERS
REGARDING
HISTORIC RESOURCES MANAGEMENT AND PROTECTION FOR
THE CATAWBA-WATEREE PROJECT (FERC PROJECT NUMBER 2232)
NORTH AND SOUTH CAROLINA

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WHEREAS the Federal Energy Regulatory Commission's ("FERC") Order Approving and Modifying Shoreline Management Plan (SMP) for the Catawba-Wateree Project No. 2232 dated February 2, 1996, as modified by the Order Granting Extension of Time dated March 4, 1997 requires the licensee, Duke Power ("Duke"), a Division of Duke Energy Corporation, to develop a Programmatic Agreement (PA) for historic resources management and protection; and

WHEREAS, this PA, which must be filed with FERC, will establish procedures for historic resource management and protection under the SMP for the Project; and

WHEREAS, the FERC has determined that implementation of the SMP may have an effect upon historic resources within the Area of Potential Effect (APE)1 and has consulted with the Advisory Council on Historic Preservation (Council) and the North and South Carolina State Historic Preservation Officers (SHPOs) pursuant to Section 106 of the National Historic Preservation Act [16 USC 470(f)] and its implementing regulations 36 CFR Part 800; and

WHEREAS, Duke has participated in consultation and has been invited to concur in this PA; and

WHEREAS, Duke’s responsibility to identify, evaluate and address effects on historic resources under the terms of this PA is limited to lands within the project boundary unless Duke is granted permission to access private lands outside of the project boundary by the respective landowner; and

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WHEREAS; FERC will comply with the terms of this PA for all applications considered under the Shoreline Management Guidelines (SMG) that require its approval;

NOW THEREFORE, the FERC, the Council, and the North and South Carolina SHPOs agree to the following stipulations in order to satisfy the FERC’s Section 106 responsibilities for all individual actions within the Project subject to the SMP.

STIPULATIONS

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FERC shall ensure that the following measures are carried out pursuant to the SMP for the Catawba-Wateree Project.

I. IDENTIFICATION AND EVALUATION

A. Development of baseline data on historic properties.2

  1. In consu1tation with the North and South Carolina SHPOs, Duke will develop a database consisting of all known historical and archaeological resources, identified in the two states’ survey files which are located on
    a. lands within the project boundary;
    b. lands within a 1/4 mile of that boundary; and
    c. lands permanently inundated by the project.

  2. The database will include the following information on known archeological and historical resources from North and South Carolina state files - location, description, boundaries, an assessment of condition, and National Register status. Locations of known archaeological and historical resources will be graphically represented on a series of maps prepared by Duke. Additional information may be included as appropriate

  3. By January 1, 2001, Duke will complete this database and submit it to the North and South Carolina SHPOs for review and acceptance.
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B. Development of Predictive Model for historic resources

  1. In consultation with the North and South Carolina SHPOs, and Indian tribes identified by FERC in accordance with 36 CFR § 800.3(f), Duke will develop a predictive model for the presence of historic resources, including archeological resources, within the area defined in Stipulation I.A.I. Duke will use the database of known archaeological and historical resources developed in Stipulation I.A, as a basis for developing the predictive model. The model will be used to determine areas of high, medium, low and no probability for the presence of historic resources as well as areas of prior disturbance.

  2. The model will
    a. Clearly define the methods used to determine an area's level of probability for the presence of historic resources;
    b. Clearly delineate the boundaries of the probability areas;
    c. Provide an explanation and justification for the methods used and
    assessments;
    d. Include maps delineating the high, medium, low and no probability areas; and
    e. Include appropriate basinwide historic contexts for prehistoric and historic periods.

  3. Prior to beginning the work, Duke will provide the North and South Carolina SHPOs, and the consulting parties identified in Stipulation B.I. with an opportunity to review and comment on the proposed process and method for development of the predictive model.

  4. Duke will submit a draft of the predictive model to the North and South Carolina SHPOs and the consulting parties identified in Stipulation I.A.I for their review and comment. The reviewers shall have thirty (30) days from receipt to provide written comments. Duke will address these comments and complete the predictive model by June 1, 2001.

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    C. Following completion of the database and the predictive model, Duke will consult with the SHPOs and the consulting parties identified in Stipulation I.B.I to develop the objectives and method for the survey and evaluation of the high, medium and low probability areas within the area identified in Stipulation I.A.I.

  1. Duke and the consulting parties will determine the appropriate sampling strategy for testing identified probability areas.

  2. Duke will prepare a schedule and implementation plan for the survey and evaluation of probability areas that, to the maximum, extent possible takes into account the potential for future shoreline development, and its timing and scope,

  3. Duke will consult with the appropriate SHPO prior to conducting any historic resources studies. Duke will submit the schedule and implementation plan to the SHPOs and the consulting parties identified in Stipulation I.B.I. for thirty (30) days review and comment. Once the comments have been addressed Duke shall then file the schedule and implementation plan with FERC by September 30, 2001 for Commission approval.
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D. Upon completion of any survey conducted pursuant to Stipulation I.C, Duke will submit a draft report which will include National Register of Historic Places (NRHP) eligibility recommendations for any archaeological or historical resources examined during the respective survey to the appropriate SHPO for thirty (30) days review and comment. Duke will address all comments submitted by the SHPO and will file the survey report with the SHPO's comments and Duke's responses with FERC.

  1. When Duke and the respective SHPO agree regarding the NRHP eligibility recommendations in the survey report, that consensus determination will establish the eligibility of that property. If the SHPO and Duke do not concur, Duke will consult with the SHPO to try to reach agreement. If Duke and the SHPO cannot agree, the matter will be submitted to FERC and resolved in accordance with 36 CFR § 800.4 (c)(2).
  2. The information collected for and data produced from the surveys will also be stored in a Geographic Information System (GIS) for use by Duke, and the North and South Carolina SHPOs to implement, as appropriate, the stipulations of this PA.
  3. The results of the surveys shall be added to the database specified in Stipulation I.A above and to appropriate basinwide historic contexts developed by Duke, in consultation with the North and South Carolina SHPOs.
  4. In consultation with the North and South Carolina SHPOs and the consulting parties identified in Stipulation I.B.I, Duke will use the survey information to evaluate and revise the predictive model, schedule, and survey implementation plan accordingly.
  5. Duke will restrict access to information about the locations of historic resources entered into the database developed pursuant to Stipulation I.A.I. to the parties to this PA and will not release locational information to the public unless agreed to in writing by the parties to the PA.

E. All historical and archeological investigations and historic context development specified under the terms of this PA shall be conducted in a manner consistent with the Secretary of the Interior’s Standards and Guidelines for Identification and Evaluation (48 FR 44720-28), taking into account thc National Park Service publication, The Archaeological Survey: Methods and Uses, and the guidelines of the applicable SHPO.

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F. Duke may request amendment of the schedule for completing the activities specified under Stipulation I by forwarding such a request to FERC. FERC will notify and consider the comments of the other parties to this PA in reaching its decision.
II. EXEMPT ACIVITIES

A. The following activities, as defined by Duke's Shoreline Management Guidelines (SMG) dated June 1, 1996, and attached hereto as Appendix A, are exempt from further review under this PA.

  1. Conveyances for line crossings that do not involve ground disturbing activities
  2. All activities within the scope of the Miscellaneous Reservoir Uses Program, except a Commercial Venture at a Duke-owned Public Access Area.
  3. Activities associated with the maintenance of an existing facility as defined in the SMG
  4. All activities within the scope of the Private Facilities Program.
  5. Stabilization Program activities that are not conducted in association with a Commercial or Conveyance Program Application.
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III. INTERIM PROCEDURES

A. Prior to completion of the predictive model, but not after June 1, 2001, Duke will require all applicants for non-exempt activities including itself, developers, homeowners, and others, to include in their application a description of the area to be affected by the proposed activity and preliminary plans. Duke will rely on the developing database and predictive model (Stipulation I) to determine if historic properties could be affected by the proposed action.

  1. If Duke determines that the proposed action could affect historic properties, Duke will comply with the procedures in Stipulation IV.
  2. If Duke determines that the proposed action could not affect historic properties, then Duke will maintain a record of that finding for listing in a quarterly report to be submitted to the SHPOs.
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B. Prior to completion of the model, Duke will file quarterly report with the SHPOs which shall contain a listing of the applications it has received in that quarter, its findings regarding historic properties, and the status of the project. The report will also include a map showing the geographic location and scope of the listed projects, and an update on the status of the database and predictive model.

IV. EFFECT AND TREATMENT

A. After June 1, 2001, Duke will comply with the procedures in Stipulation IV to determine if a regulated activity will adversely affect historic resources and, if so, to identify and implement appropriate avoidance or treatment measures.

B. Duke will require all applications for non-exempt activities including itself, developers, homeowners, and others, to include a description of the area to be affected by the proposed activity and preliminary project plans ii, the app1ication.

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  1. Duke will review the proposed activity, pursuant to The Lake Use Policy Statements (LUPS), the SMP, and the SMG, to determine if the proposed activity is allowed on the reservoir, consistent with lake use classifications, and in compliance with current guidelines, if the proposed activity is allowable, then Duke wi1l comply with Stipulation IV.B.2 through IV.B.7.
  2. Duke will define the APE of the proposed activity and evaluate the proposed activity to determine if it could adversely affect a known historic resource or if the activity is in a high or moderate probability area, referring to the database, predictive model and, when available, survey reports prepared under
    Stipulation I.
  3. If Duke finds that either condition is met, Duke will direct the applicant, in writing, to consult directly with, the SHPO to determine the information which the applicant must gather in order to document if the proposed activity will adversely affect historic properties. Duke will provide the applicant with written notification to submit to the SHPO to begin consultation. The documentation will include a.
    a description of the proposed activity;
    b. a description of historical and archeological resources located
    within the APE.
    c. a description of the applicability of the Criteria of Adverse Effect [36 CFR § 800.5(a)(1) and (2)]; and
    d. a description of measures which the applicant proposes to implement to avoid or mitigate any potential adverse effect.

  4. Duke will submit the completed documentation to the SHPO for review. The SHPOs shall have thirty (30) days from receipt to provide comments before Duke completes the application.

  5. The eligibility of resource for listing on the NRHP will be determined in accordance with Stipulation I.D.I

  6. If, on the basis of the applicant-prepared documentation, Duke and the SHPO agree that no historic resources will be adversely affected then Duke may complete the application without further review. Duke will ensure that this finding is documented as part of the application record.

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  7. If, on the basis of the applicant-prepared documentation, Duke and the SHPO agree that historic resources will be adversely affected and avoidance is not feasible, then Duke will ensure that an appropriate treatment plan is developed and implemented before completing the application. Duke will ensure that the treatment plan is submitted to the SHPO for thirty (30) days review and acceptance before being implemented. Duke will ensure that documentation recording this finding and i8mplementation of the treatment plan is maintained as part of the application record. Duke may require the applicants to bear the costs for the development and implementation of treatment plans.

  8. If the Duke and the SHPO cannot agree, then prior to taking any action Duke will attempt to resolve the dispute. If Duke cannot resolve the dispute, it will seek the assistance of FERC in accordance with Stipulation IX.
  1. DISCOVERY
  1. On or before June 1, 2001, Duke will modify its Lake User Agreements (the permit for activities within the project boundary) to include a requirement that applicants must immediately notify Duke and stop all work if historical or archeological resource are discovered during the implementation of an authorized project..

Duke will require the applicant to immediately notify Duke and the SHPO in writing of the discovery.

    1. Duke will require the applicant to consult with the SHPO to determine what treatment, if any, is appropriate. If the applicant and the SHPO agree, Duke will require that the applicant implement the agreed upon treatment..

      .

    2. Where Duke, the applicant and the SHPO cannot agree, Duke will seek the assistance of FERC, in accordance with Stipulation IX.

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    VI. TRAINING, EDUCATION AND PUBLIC INFORMATION

    .

    A. Duke will ensure that its lake management and other pertinent staff periodically receive training in the procedures stipulated by this PA and other areas of cultural resource management especially archeology.

    B Duke will make a summary of the quarterly and annual reports prepared in accordance with Stipulations III and VII.B available to the public for inspection and comment. This public information report shall not include specific information about the location of archeological sites or their contents.

    C Based on the findings of the database, predictive model and survey and in consultation with the SHPOs, Duke will prepare information for the public that will describe the archeology of the project, educate the reader about the value of archeological resources and discourage destructive activities such vandalism and looting. Duke will submit a draft of the informational piece to the SHPOs for review and comment on or before June 1, 2003. When the public information piece has been reviewed by the SHPOs, Duke will prepare it for publication.

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    VII. MONITORING AND REPORTING

    A. At any time, the North and South Carolina SHPOs may elect to monitor activities carried out pursuant to this PA, and the Council may review such activities, if so requested by the SHPOs. Upon written request by either SHPO, Duke will make arrangements for the requesting SHPO to review records maintained pursuant to this PA, and to conduct on-site inspections of lands. FERC and Duke will cooperate with the Council and SHPOs in carrying out their monitoring activities.

    B. Upon completion of the predictive model, Duke will document its compliance with the terms of this PA for all permitted actions in an annual report submitted to the North and South Carolina SHPOs.

    1. Duke will submit an annual report to the North and South Carolina SHPOs by March 1 of each year, summarizing the activities carried out under the terms of this PA during the previous calendar year. The report will include the following information:
      a. An updated historic resource database (Stipulation I.A)
      b. An updated predictive model (Stipulation 1.B)
      c. An update on the status of the surveys (Stipulation I.C)
      and survey results, including historic contexts, as well as recommendations for, modifying the predictive model.
      d. A list of the lake use permits applications reviewed by Duke in accordance with Stipulation IV and a summary description of the outcome.
      e. A description of any public educational efforts undertaken by Duke to highlight the significance of historic resources in the Catawba-Wateree region.

    2. In addition the annual report will include a description of any problems or unexpected issues encountered during the year, and any changes that Duke believes should be made in implementation of the PA. The SHPOs shall review the annual report and provide comments to Duke within 30 days of receipt.
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    3. At the request of the SHPOs, Duke shall convene a meeting or meetings to facilitate review and comments, to resolve questions or to resolve adverse comments

    4. FERC and the Council may request a copy of the annual report in order to consult with Duke and the SHPOs to determine if the PA shall continue in force, be amended or be terminated.

    VIII. ADMINISTRATION

      A. Duke shall permit the applicable SHPOs to review and comment on the methodology included in all contracts that Duke proposes to use to implement the terms of this PA. Duke will not alter the methodology specified in any such contract without first affording the applicable SHPO the opportunity to review and comment on the proposed change.

      B. Duke shall ensure that all work carried out pursuant to this PA be carried out by or under the direct supervision of a person or persons meeting at a minimum, the standards set forth in the Secretary of the Interior’s Professional Qualification Standards (48 FR 44738-9).

      C. Duke will see to it that the procedures stipulated in this PA are made available for applicants and Duke staff in conjunction with the Shoreline Management Guidelines.

    IX. DISPUTE RESOLUTION

      A. Should Duke, the North or South Carolina SHPO or the Council object to any plans, lake use permit applications, or other actions conducted pursuant to this PA, FERC will consult with the applicable party to resolve the objection. If the FERC determines that the objection cannot be resolved, FERC will forward all documentation relevant to the dispute to the Council. Within thirty (30) days after receipt of all pertinent documentation, the Council will either:

      1. Provide FERC with recommendations, which FERC will consider in reaching a final decision regarding tire dispute; or
      2. Notify the FERC that it will comment pursuant to 36 CFR § 800.7(c) and proceed to comment. Any Council continent provided in response to such a request will be taken into account by FERC in accordance with 36 CFR § 800.7( c)(4) with reference to the subject of the dispute.

       

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      B. Any recommendation or comment provided by the Council will be understood to pertain only to the subject of the dispute. FERC's responsibility to carry out all actions under this PA that are not the subject of the dispute will remain unchanged.

      C. Should an objection to any measure stipulated in this PA or its manner of implementation be raised by an applicant or a member of the public at any time, FERC will consider the objection and consult with the objecting party, and as needed, Duke, the North and South Carolina SHPO, and the Council to resolve the objection.

    X. AMENDMENT

    Any party to this PA may request that it be amended or modified at any time, whereupon the signatories will consult in accordance with 36 CFR § 800.6(c)(7) to consider such amendment or modification.

     

    XI DEFAULT

    If the Council determines that the terms of this PA arc not being carried out, FERC will comply with 36 CFR § 800.3 - § 800.13 for all individual actions carried out under the SMP.

     

    XII. TERMINATION

    Any signatory to this PA may terminate it by providing thirty (30) days written notice to the other signatories, provided that the signatories will consult during the period prior to termination to seek agreement on amendments or other actions that would avoid termination. In the event of termination, the FERC will comply with 36 CFR § 800.3 through § 800.13 with regard to individual actions covered by this PA.

     

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    XIII. RENEWAL

    This PA will continue in effect until a new license is issued by the FERC for the Catawba-Wateree Project at which time the development of a Historic Properties Management Plan may be required by any new License issued by' the FERC for the Catawba-Wateree Project.

     

    EXECUTION and implementation of this PA is evidence that the FERC has afforded the Council an opportunity to comment on the proposed procedures for cultural resource management and protection for the Catawba-Wateree project as outlined in the PA and its effects or, Historic Properties, that the FERC has taken into account the effect of its undertakings3 on Historic Properties, and that FERC has satisfied its Section 106 responsibilities for all individual undertakings.

     

    FEDERAL ENERGY REGULATORY COMMISSION

     

    By Fred F. Springer, Director, Division of Hydropower Administration and

    Compliance Date 11/29/00

     

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    SOUTH CAROLINA STATE HISTORIC PRESERVATION OFFICER

    By Date 3/2/01

     

    NORTH CAROLINA STATE HISTORIC PRESERVATION OFFICER

    By Date

     

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    X. AMENDMENT

    Any party to this PA may request that it be amended or modified at any time, whereupon the signatories will consult in accordance with 36 CFR § 800.6(c)(7) to consider such amendment or modification.

     

    XI DEFAULT

    If the Council determines that the terms of this PA arc not being carried out, FERC will comply with 36 CFR § 800.3 - § 800.13 for all individual actions carried out under the SMP.

     

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    XII. TERMINATION

    Any signatory to this PA may terminate it by providing thirty (30) days written notice to the other signatories, provided that the signatories will consult during the period prior to termination to seek agreement on amendments or other actions that would avoid termination. In the event of termination, the FERC will comply with 36 CFR § 800.3 through § 800.13 with regard to individual actions covered by this PA.

     

    XIII. RENEWAL

    This PA will continue in effect until a new license is issued by the FERC for the Catawba-Wateree Project at which time the development of a Historic Properties Management Plan may be required by any new License issued by the FERC for the Catawba-Wateree Project.

     

    EXECUTION and implementation of this PA is evidence that the FERC has afforded the Council an opportunity to comment on the proposed procedures for cultural resource management and protection for the Catawba-Wateree project as outlined in the PA and its effects or, Historic Properties, that the FERC has taken into account the effect of its undertakings3 on Historic Properties, and that FERC has satisfied its Section 106 responsibilities for all individual undertakin

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    FEDERAL ENERGY REGULATORY COMMISSION

     

    By Fred F. Springer, Director, Division of Hydropower Administration and

     

    Compliance Date 11/29/00

     

     

    SOUTH CAROLINA STATE HISTORIC PRESERVATION OFFICER

    By Date

     

    NORTH CAROLINA STATE HISTORIC PRESERVATION OFFICER

  • By Date 12/21/00

     

    ADVISORY COUNCIL ON HISTORIC PRESERVATION

    .By John M. Fowler, Executive Director Date 3/29/01

     

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    CONCURRNG:
    DUKE POWER A Division of Duke Energy Corporation

    By Curtis H. Davis, Senior Vice-President Duke Power, Power Generation Division

    Date 12/12/00

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