Preserving America’s Heritage
ADVISORY COUNCIL ON HISTORIC PRESERVATION
Protecting Historic Properties:
A CITIZEN’S GUIDE TO
SECTION 106 REVIEW
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Protecting Historic Properties 1
e mission of the Advisory Council on Historic Preservation
(ACHP) is to promote the preservation, enhancement, and
productive use of the nation’s historic resources and advise the
President and Congress on national historic preservation policy.
e ACHP, an independent federal agency, also provides a
forum for infl uencing federal activities, programs, and policies
that aff ect historic properties. In addition, the ACHP has a key
role in carrying out the Preserve America program.
e 23-member council is supported by a professional staff in
Washington, D.C. For more information contact:
Advisory Council on Historic Preservation
1100 Pennsylvania Avenue, NW, Suite 803
Washington, D.C. 20004
(202) 606-8503
www.achp.gov
CONTENTS
4 What is Section 106 Review?
5 Understanding Section 106 Review
8 Determining Federal Involvement
12 Working with Federal Agencies
14 Infl uencing Project Outcomes
18 How the ACHP Can Help
20 When Agencies Don’t Follow the Rules
21 Following Through
22 Contact Information
About the ACHP
COVER PHOTOS:
Clockwise, from top left: Historic Downtown Louisville,
Kentucky; Section 106 consultation at Medicine Lake,
California; bighorn sheep petroglyph in Nine Mile Canyon,
Utah (photo courtesy Jerry D. Spangler); Worthington
Farm, Monocacy Battlefi eld National Historic Landmark,
Maryland (photo courtesy Maryland State Highway
Administration).
2 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 3
Proud of your heritage? Value the places that refl ect your
community’s history? You should know about Section 106
review, an important tool you can use to infl uence federal
decisions regarding historic properties. By law, you have a voice
when a project involving federal action, approval, or funding
may aff ect properties that qualify for the National Register of
Historic Places, the nation’s offi cial list of historic properties.
is guide from the Advisory Council on Historic Preservation
(ACHP), the agency charged with historic preservation
leadership within federal government, explains how your voice
can be heard.
Each year, the federal government is involved with many projects
that aff ect historic properties. For example, the Federal Highway
Administration works with states on road improvements, the
Department of Housing and Urban Development grants funds
to cities to rebuild communities, and the General Services
Administration builds and leases federal offi ce space.
Agencies like the Forest Service, the National Park Service, the
Bureau of Land Management, the Department of Veterans
Aff airs, and the Department of Defense make decisions daily
Introduction
Dust from vehicles may
affect historic sites in
Nine Mile Canyon, Utah.
(photo courtesy Jerry D.
Spangler, Colorado Plateau
Archaeological Alliance)
about the management of federal buildings, parks, forests, and
lands. ese decisions may aff ect historic properties, including
those that are of traditional religious and cultural signifi cance
to federally recognized Indian tribes and Native Hawaiian
organizations.
Projects with less obvious federal involvement can also
have repercussions on historic properties. For example, the
construction of a boat dock or a housing development that
aff ects wetlands may also impact fragile archaeological sites and
require a U.S. Army Corps of Engineers permit. Likewise, the
construction of a cellular tower may require a license from the
Federal Communications Commission and might compromise
historic or culturally signifi cant landscapes or properties
valued by Indian tribes or Native Hawaiian organizations for
traditional religious and cultural practices.
ese and other projects with federal involvement can harm
historic properties. e Section 106 review process gives you
the opportunity to alert the federal government to the historic
properties you value and infl uence decisions about projects that
aff ect them.
Public Involvement
M
atters
4 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 5
In the National Historic Preservation Act of 1966 (NHPA),
Congress established a comprehensive program to preserve
the historical and cultural foundations of the nation as a
living part of community life. Section 106 of the NHPA is
crucial to that program because it requires consideration of
historic preservation in the multitude of projects with federal
involvement that take place across the nation every day.
Section 106 requires federal agencies to consider the eff ects of
projects they carry out, approve, or fund on historic properties.
Additionally, federal agencies must provide the ACHP an
opportunity to comment on such projects prior to the agency’s
decision on them.
Section 106 review encourages, but does not mandate,
preservation. Sometimes there is no way for a needed project to
proceed without harming historic properties. Section 106 review
does ensure that preservation values are factored into federal
agency planning and decisions. Because of Section 106, federal
agencies must assume responsibility for the consequences of the
projects they carry out, approve, or fund on historic properties
and be publicly accountable for their decisions.
What is Section 106 Review?
Regulations issued by the ACHP spell out the Section 106
review process, specifying actions federal agencies must take to
meet their legal obligations. e regulations are published in the
Code of Federal Regulations at 36 CFR Part 800, “Protection of
Historic Properties,” and can be found on the ACHP’s Web site
at
www.achp.gov.
Federal agencies are responsible for initiating Section 106 review,
most of which takes place between the agency and state and
tribal or Native Hawaiian organization offi cials. Appointed by
the governor, the State Historic Preservation Offi cer (SHPO)
coordinates the state’s historic preservation program and consults
with agencies during Section 106 review.
Agencies also consult with offi cials of federally recognized Indian
tribes when the projects have the potential to aff ect historic
properties on tribal lands or historic properties of signifi cance
to such tribes located off tribal lands. Some tribes have offi cially
designated Tribal Historic Preservation Offi cers (THPOs),
while others designate representatives to consult with agencies
as needed. In Hawaii, agencies consult with Native Hawaiian
organizations (NHOs) when historic properties of religious and
cultural signifi cance to them may be aff ected.
To successfully complete Section 106 review,
federal agencies must do the following:
gather information to decide which properties in the
area that may be aff ected by the project are listed, or are
eligible for listing, in the National Register of Historic
Places (referred to as “historic properties”);
determine how those historic properties might be aff ected;
explore measures to avoid or reduce harm (“adverse
eff ect”) to historic properties; and
reach agreement with the SHPO/THPO (and the
ACHP in some cases) on such measures to resolve any
adverse eff ects or, failing that, obtain advisory comments
from the ACHP, which are sent to the head of the agency.
Understanding
Section 106 Review
The National Soldiers Monument (1877) at Dayton
(Ohio) National Cemetery was cleaned and
conserved in 2009 as part of a program funded
by the American Recovery and Reinvestment Act.
(photo courtesy Department of Veterans Affairs)
Conservation
6 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 7
What are Historic Properties?
In the Section 106 process, a historic property is a prehistoric
or historic district, site, building, structure, or object included
in or eligible for inclusion in the National Register of Historic
Places. is term includes artifacts, records, and remains
that are related to and located within these National Register
properties. e term also includes properties of traditional
religious and cultural importance to an Indian tribe or Native
Hawaiian organization, so long as that property also meets the
criteria for listing in the National Register.
e National Register of Historic Places
e National Register of Historic Places is the nation’s offi cial
list of properties recognized for their signifi cance in American
history, architecture, archaeology, engineering, and culture. It
is administered by the National Park Service, which is part of
the Department of the Interior. e Secretary of the Interior
has established the criteria for evaluating the eligibility of
properties for the National Register. In short, the property
must be signifi cant, be of a certain age, and have integrity:
Signifi cance . Is the property associated with events,
activities, or developments that were important in the
past? With the lives of people who were historically
important? With distinctive architectural history,
landscape history, or engineering achievements? Does it
have the potential to yield important information through
archaeological investigation about our past?
Age and Integrity . Is the property old enough to be
considered historic (generally at least 50 years old) and
does it still look much the way it did in the past?
During a Section 106 review, the federal agency evaluates
properties against the National Register criteria and seeks the
consensus of the SHPO/THPO/tribe regarding eligibility. A
historic property need not be formally listed in the National
Register in order to be considered under the Section 106
process. Simply coming to a consensus determination that a
property is eligible for listing is adequate to move forward with
Section 106 review. (For more information, visit the National
Register Web site at
www.cr.nps.gov/nr).
When historic properties may be harmed, Section 106 review
usually ends with a legally binding agreement that establishes
how the federal agency will avoid, minimize, or mitigate the
adverse eff ects. In the very few cases where this does not occur,
the ACHP issues advisory comments to the head of the agency
who must then consider these comments in making a fi nal
decision about whether the project will proceed.
Section 106 reviews ensure federal agencies fully consider
historic preservation issues and the views of the public during
project planning. Section 106 reviews do not mandate the
approval or denial of projects.
SECTION 106: WHAT IS AN
ADVERSE EFFECT?
If a project may alter characteristics that qualify a
specifi c property for inclusion in the National Register
in a manner that would diminish the integrity of
the property, that project is considered to have an
adverse effect. Integrity is the ability of a property to
convey its signifi cance, based on its location, design,
setting, materials, workmanship, feeling, and association.
Adverse effects can be direct or indirect and
include the following:
physical destruction or damage
alteration inconsistent with the Secretary of the
Interior’s Standards for the Treatment of Historic
Properties
relocation of the property
change in the character of the property’s use or
setting
introduction of incompatible visual, atmospheric,
or audible elements
neglect and deterioration
transfer, lease, or sale of a historic property
out of federal control without adequate
preservation restrictions
8 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 9
If you are concerned about a proposed project and wondering
whether Section 106 applies, you should fi rst determine
whether the federal government is involved. Will a federal
agency fund or carry out the project? Is a federal permit,
license, or approval needed? Section 106 applies only if a
federal agency is carrying out the project, approving it, or
funding it, so confi rming federal involvement is critical.
Determining Federal
Involvement
IS THERE FEDERAL
INVOLVEMENT? CONSIDER
THE POSSIBILITIES:
Is a federally owned or federally controlled
property involved, such as a military base,
park, forest, offi ce building, post offi ce, or
courthouse?
Is the agency proposing a project on
its land, or would it have to provide a right-of-way
or other approval to a private company for a project
such as a pipeline or mine?
Is the project receiving federal funds,
grants, or loans?
If it is a transportation project,
frequent sources of funds are the Federal Highway
Administration, the Federal Transit Administration,
and the Federal Railroad Administration. Many
local government projects receive funds from the
Department of Housing and Urban Development.
The Federal Emergency Management Agency
provides funds for disaster relief.
Does the project require a federal permit,
license, or other approval?
Often housing
developments impact wetlands, so a U.S. Army
Corps of Engineers permit may be required. Airport
projects frequently require approvals from the
Federal Aviation Administration.
Many communications activities, including cellular
tower construction, are licensed by the Federal
Communications Commission. Hydropower and
pipeline development requires approval from the
Federal Energy Regulatory Commission. Creation of
new bank branches must be approved by the Federal
Deposit Insurance Corporation.
Falls of Clyde, in Honolulu, Hawaii, is the last surviving
iron-hulled, four-masted full rigged ship, and the only
remaining sail-driven oil tanker. (photo courtesy
Bishop Museum Maritime Center)
H
istoric
10 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 11
Interstate 70 at the Georgetown-Silver Plume
National Historic Landmark, Colorado (photo
courtesy J.F. Sato & Associates)
F
ederal
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Sometimes federal involvement is obvious. Often, involvement
is not immediately apparent. If you have a question, contact the
project sponsor to obtain additional information and to inquire
about federal involvement. All federal agencies have Web sites.
Many list regional or local contacts and information on major
projects. e SHPO/THPO/tribe, state or local planning
commissions, or statewide historic preservation organizations
may also have project information.
Once you have identifi ed the responsible federal agency, write
to the agency to request a project description and inquire about
the status of project planning. Ask how the agency plans to
comply with Section 106, and voice your concerns. Keep the
SHPO/THPO/tribe advised of your interest and contacts
with the federal agency.
MONITORING FEDERAL
ACTIONS
The sooner you learn about proposed projects
with federal involvement, the greater your chance of
infl uencing the outcome of Section 106 review.
Learn more about the history of your neighborhood,
city, or state. Join a local or statewide preservation,
historical, or archaeological organization. These
organizations are often the ones fi rst contacted by
federal agencies when projects commence.
If there is a clearinghouse that distributes information
about local, state, tribal, and federal projects, make
sure you or your organization is on its mailing list.
Make the SHPO/THPO/tribe aware of your interest.
Become more involved in state and local decision
making. Ask about the applicability of Section 106 to
projects under state, tribal, or local review. Does your
state, tribe, or community have preservation laws in
place? If so, become knowledgeable about and active
in the implementation of these laws.
Review the local newspaper for notices about
projects being reviewed under other federal
statutes, especially the National Environmental
Policy Act (NEPA). Under NEPA, a federal agency
must determine if its proposed major actions will
signifi cantly impact the environment. Usually, if
an agency is preparing an Environmental Impact
Statement under NEPA, it must also complete a
Section 106 review for the project.
12 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 13
roughout the Section 106 review process, federal agencies
must consider the views of the public. is is particularly
important when an agency is trying to identify historic
properties that might be aff ected by a project and is considering
ways to avoid, minimize, or mitigate harm to them.
Agencies must give the public a chance to learn about the
project and provide their views. How agencies publicize
projects depends on the nature and complexity of the particular
project and the agency’s public involvement procedures.
Public meetings are often noted in local newspapers and on
television and radio. A daily government publication, the
Federal Register (available at many public libraries and online at
www.gpoaccess.gov/fr/index.html), has notices concerning
projects, including those being reviewed under NEPA. Federal
agencies often use NEPA for purposes of public outreach
under Section 106 review.
Federal agencies also frequently contact local museums and
historical societies directly to learn about historic properties
and community concerns. In addition, organizations like
the National Trust for Historic Preservation (NTHP) are
actively engaged in a number of Section 106 consultations on
projects around the country. e NTHP is a private, non-
profi t membership organization dedicated to saving historic
places and revitalizing America’s communities. Organizations
Working with Federal Agencies
like the NTHP and your state and local historical societies
and preservation interest groups can be valuable sources of
information. Let them know of your interest.
When the agency provides you with information, let the
agency know if you disagree with its fi ndings regarding what
properties are eligible for the National Register of Historic
Places or how the proposed project may aff ect them. Tell the
agency—in writing—about any important properties that you
think have been overlooked or incorrectly evaluated. Be sure to
provide documentation to support your views.
When the federal agency releases information about project
alternatives under consideration, make it aware of the options
you believe would be most benefi cial. To support alternatives
that would preserve historic properties, be prepared to discuss
costs and how well your preferred alternatives would meet
project needs. Sharing success stories about the treatment or
reuse of similar resources can also be helpful.
Applicants for federal assistance or permits, and their
consultants, often undertake research and analyses on behalf of
a federal agency. Be prepared to make your interests and views
known to them, as well. But remember the federal agency is
ultimately responsible for completing Section 106 review, so
make sure you also convey your concerns directly to it.
Hangar 1, a historic dirigible
hangar at Moffett Field at
NASA Ames Research
Center, California
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In addition to seeking the views of the public, federal agencies
must actively consult with certain organizations and individuals
during review. is interactive consultation is at the heart of
Section 106 review.
Consultation does not mandate a specifi c outcome. Rather, it
is the process of seeking, discussing, and considering the views
of consulting parties about how project eff ects on historic
properties should be handled.
To infl uence project outcomes, you may work through the
consulting parties, particularly those who represent your
interests. For instance, if you live within the local jurisdiction
where a project is taking place, make sure to express your views
on historic preservation issues to the local government offi cials
who participate in consultation.
Infl uencing Project Outcomes
You or your organization may want to take a more active
role in Section 106 review, especially if you have a legal or
economic interest in the project or the aff ected properties. You
might also have an interest in the eff ects of the project as an
individual, a business owner, or a member of a neighborhood
association, preservation group, or other organization. Under
these circumstances, you or your organization may write to the
federal agency asking to become a consulting party.
WHO ARE
CONSULTING PARTIES?
The following parties are entitled to participate as
consulting parties during Section 106 review:
Advisory Council on Historic Preservation;
State Historic Preservation Offi cers;
Federally recognized Indian tribes/THPOs;
Native Hawaiian organizations;
Local governments; and
Applicants for federal assistance, permits,
licenses, and other approvals.
Other individuals and organizations with a
demonstrated interest in the project may participate
in Section 106 review as consulting parties “due to
the nature of their legal or economic relation to the
undertaking or affected properties, or their concern
with the undertaking’s effects on historic properties.”
Their participation is subject to approval by the
responsible federal agency.
Residents in the Lower Mid-City Historic District
in New Orleans express their opinions about
the proposed acquisition and demolition of their
properties for the planned new Department of
Veterans Affairs and Louisiana State University
medical centers which would replace the facilities
damaged as a result of Hurricane Katrina.
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16 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 17
When requesting consulting party status, explain in a letter to
the federal agency why you believe your participation would be
important to successful resolution. Since the SHPO/THPO
or tribe will assist the federal agency in deciding who will
participate in the consultation, be sure to provide the SHPO/
THPO or tribe with a copy of your letter. Make sure to
emphasize your relationship with the project and demonstrate
how your connection will inform the agency’s decision making.
If you are denied consulting party status, you may ask the
ACHP to review the denial and make recommendations to
the federal agency regarding your participation. However, the
federal agency makes the ultimate decision on the matter.
Consulting party status entitles you to share your views, receive
and review pertinent information, off er ideas, and consider
possible solutions together with the federal agency and other
consulting parties. It is up to you to decide how actively you
want to participate in consultation.
MAKING THE MOST OF
CONSULTATION
Consultation will vary depending on the federal
agency’s planning process and the nature of the project
and its effects.
Often consultation involves participants with a wide
variety of concerns and goals. While the focus of some
may be preservation, the focus of others may be time,
cost, and the purpose to be served by the project.
Effective consultation occurs when you:
keep an open mind;
state your interests clearly;
acknowledge that others have legitimate
interests, and seek to understand and
accommodate them;
consider a wide range of options;
identify shared goals and seek options that allow
mutual gain; and
bring forward solutions that meet the agency’s
needs.
Creative ideas about alternatives—not complaints—
are the hallmarks of effective consultation.
Section 106 consultation with an Indian tribe
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18 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 19
Under Section 106 review, most harmful eff ects are addressed
successfully by the federal agency and the consulting parties
without participation by the ACHP. So, your fi rst points
of contact should always be the federal agency and/or the
SHPO/THPO.
When there is signifi cant public controversy, or if the
project will have substantial eff ects on important historic
properties, the ACHP may elect to participate directly in the
consultation. e ACHP may also get involved if important
policy questions are raised, procedural problems arise, or if
there are issues of concern to Indian tribes or Native Hawaiian
organizations.
Whether or not the ACHP becomes involved in consultation,
you may contact the ACHP to express your views or to request
guidance, advice, or technical assistance. Regardless of the
How the ACHP Can Help
scale of the project or the magnitude of its eff ects, the ACHP
is available to assist with dispute resolution and advise on the
Section 106 review process.
If you cannot resolve disagreements with the federal agency
regarding which historic properties are aff ected by a project
or how they will be impacted, contact the ACHP. e ACHP
may then advise the federal agency to reconsider its fi ndings.
CONTACTING THE ACHP:
A CHECKLIST
When you contact the ACHP, try to have the
following information available:
the name of the responsible federal agency and
how it is involved;
a description of the project;
the historic properties involved; and
a clear statement of your concerns about the
project and its effect on historic properties.
If you suspect federal involvement but have been
unable to verify it, or if you believe the federal agency
or one of the other participants in review has not
fulfi lled its responsibilities under the Section 106
regulations, you can ask the ACHP to investigate. In
either case, be as specifi c as possible.
A panel of ACHP members listen to comments
during a public meeting.
Collecting Comments
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20 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 21
A federal agency must conclude Section 106 review before
making a decision to approve a project, or fund or issue a
permit that may aff ect a historic property. Agencies should not
make obligations or take other actions that would preclude
consideration of the full range of alternatives to avoid or
minimize harm to historic properties before Section 106
review is complete.
If the agency acts without properly completing Section 106
review, the ACHP can issue a fi nding that the agency has
prevented meaningful review of the project. is means that,
in the ACHP’s opinion, the agency has failed to comply with
Section 106 and therefore has not met the requirements of
federal law.
A vigilant public helps ensure federal agencies comply fully
with Section 106. In response to requests, the ACHP can
investigate questionable actions and advise agencies to take
corrective action. As a last resort, preservation groups or
individuals can litigate in order to enforce Section 106.
If you are involved in a project and it seems to be getting off
track, contact the agency to voice your concern. Call the SHPO
or THPO to make sure they understand the issue. Call the
ACHP if you feel your concerns have not been heard.
When Agencies Don’t
Follow the Rules
After agreements are signed, the public may still play a role in
the Section 106 process by keeping abreast of the agreements
that were signed and making sure they are properly carried out.
e public may also request status reports from the agency.
Designed to accommodate project needs and historic values,
Section 106 review relies on strong public participation.
Section 106 review provides the public with an opportunity to
infl uence how projects with federal involvement aff ect historic
properties. By keeping informed of federal involvement,
participating in consultation, and knowing when and whom to
ask for help, you can play an active role in deciding the future of
historic properties in your community.
Section 106 review gives you a chance to weigh in when
projects with federal involvement may aff ect historic properties
you care about. Seize that chance, and make a diff erence!
Following rough
Milton Madison Bridge over the Ohio River between
Kentucky and Indiana (photo courtesy Wilbur Smith
Associates/Michael Baker Engineers)
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22 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 23
Contact Information
National Park Service
Heritage Preservation Services
1849 C Street, NW (2255)
Washington, D.C. 20240
E-mail: [email protected]
Web site: www.nps.gov/history/hps
National Register of Historic Places
1201 Eye Street, NW (2280)
Washington, D.C. 20005
Phone: (202) 354-2211
Fax: (202) 371-6447
E-mail: [email protected]
Web site: www.nps.gov/history/nr
National Trust for Historic Preservation
1785 Massachusetts Avenue, NW
Washington, D.C. 20036-2117
Phone: (800) 944-6847 or (202) 588-6000
Fax: (202) 588-6038
Web site: www.preservationnation.org
The National Trust has regional offi ces in San Francisco, Denver,
Fort Worth, Chicago, Boston, and Charleston, as well as fi eld
offi ces in Philadelphia and Washington, D.C.
Offi ce of Hawaiian Affairs
711 Kapi`olani Boulevard, Suite 500
Honolulu, HI 96813
Phone: (808) 594-1835
Fax: (808) 594-1865
E-mail: [email protected]g
Web site: www.oha.org
Advisory Council on Historic Preservation
Offi ce of Federal Agency Programs
1100 Pennsylvania Avenue, NW, Suite 803
Washington, D.C. 20004
Phone: (202) 606-8503
Fax: (202) 606-8647
E-mail: [email protected]
Web site: www.achp.gov
The ACHP’s Web site includes more information about working
with Section 106 and contact information for federal agencies,
SHPOs, and THPOs.
National Association of Tribal Historic
Preservation Offi cers
P.O. Box 19189
Washington, D.C. 20036-9189
Phone: (202) 628-8476
Fax: (202) 628-2241
E-mail: [email protected]
Web site: www.nathpo.org
National Conference of State Historic
Preservation Offi cers
444 North Capitol Street, NW, Suite 342
Washington, D.C. 20001
Phone: (202) 624-5465
Fax: (202) 624-5419
Web site: www.ncshpo.org
For the SHPO in your state, see www.ncshpo.org/fi nd/index.htm
24 ADVISORY COUNCIL ON HISTORIC PRESERVATION Protecting Historic Properties 25
Beneath the Sur
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Ohio Department of Transportation
workers made an unanticipated
archaeological discovery while working just
north of Chillicothe along state Route 104.
It is a remnant of an Ohio & Erie Canal
viaduct. (photo courtesy Bruce W. Aument,
Staff Archaeologist, ODOT/Offi ce of
Environmental Services)
TO LEARN MORE
For detailed information about the ACHP, Section 106 review
process, and our other activities, visit us at www.achp.gov or
contact us at:
Advisory Council on Historic Preservation
1100 Pennsylvania Avenue, NW, Suite 803
Washington, D.C. 20004
Phone: (202) 606-8503
Fax: (202) 606-8647
E-mail: [email protected]v
Preserving America’s Heritage
WWW.ACHP.GOV
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