What is a federal undertaking?
According to the National Historic Preservation Act (NHPA), an undertaking is "a project, activity, or program funded in whole or in part under the direct or indirect jurisdiction of a Federal agency, including those carried out by or on behalf of a Federal agency; those carried out with federal financial assistance; those requiring a federal permit, license or approval; and those subject to state or local regulation administered pursuant to a delegation or approval by a federal agency (36 CFR 800.16y)."
When must a Section 106 review take place?
The Section 106 process must be completed "prior to the approval of the expenditure of any federal funds on the undertaking or prior to the issuance of any license… The Agency Official shall ensure that the Section 106 process is initiated early in the undertaking’s planning, so that a broad range of alternatives may be considered during the planning process for the undertaking (36 CFR 800.1)."
What is a project's "area of potential effects" (APE)?
The area of potential effects is "the geographic area or areas within which an undertaking may directly or indirectly cause changes 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 800.16d)."
What is considered a "historic property"?
A historic property is "any prehistoric or historic district, site, building, structure, or object included in, or eligible for inclusion in, the National Register of Historic Places, maintained by the Secretary of the Interior (36 CFR 800.16l)." Generally, the National Register of Historic Places defines historic buildings or sites as being 50 years of age or older, although there are considerations given for significant resources less than 50 years of age as well.
What is an adverse effect?
An adverse effect is identified when "an undertaking may alter, directly or indirectly, any of the characteristics of a historic property… in a manner that would diminish the integrity" of the property. Examples of an adverse effect include:
- Physical destruction or damage to all or part of the property.
- Alteration of a property.
- Removal of property from its historic location.
- Introduction of visual, atmospheric, or audible elements that diminish the integrity of the property’s significant historic features.
Who participates in the Section 106 process?
The main participants in the Section 106 review process include federal agencies, the Advisory Council on Historic Preservation (ACHP), and the State Historic Preservation Office. Additional participants such as the Tribal Historic Preservation Office, Native American tribes, and local governments can also contribute and be instrumental to the process.
Under 36 CFR 800, "It is the statutory obligation of the federal agency to fulfill the requirements of Section 106 and to ensure that an agency official with jurisdiction over an undertaking takes legal and financial responsibility for section 106 compliance."
Who is the State Historic Preservation Officer (often referred to as "SHPO")?
The term SHPO refers to the State Historic Preservation Officer. Under Section 101(b) of the NHPA, the SHPO is appointed by the Governor to administer the state historic preservation program and to reflect the interests of the state and its citizens in the preservation of their cultural heritage. In Kentucky, the SHPO also serves as the executive director of the Kentucky Heritage Council. Kentucky's current SHPO is Donna Neary.
The term "SHPO" is also used informally to refer to the State Historic Preservation Office. The office's professional staff has expertise in archaeology, history, architectural history, and historic preservation.
The National Park Service must approve the historic preservation plan adopted by each state program. In addition to Section 106 Review responsibilities, the SHPO also administers the National Register of Historic Places program for the state, provides grants to local governments, maintains the inventory of archaeological and historical sites and historic buildings and structures, administers the federal and state investment tax credit programs and provides educational and technical assistance on historic preservation issues.
What is the Advisory Council on Historic Preservation?
The Advisory Council on Historic Preservation (ACHP) is an independent federal agency that promotes the preservation, enhancement, and productive use of our nation's historic resources and advises the President and Congress on national historic preservation policy. The ACHP also issues regulations (36CFR800) to implement Section 106 of the NHPA and oversees the federal Section 106 review process.
What makes a historic property "significant"?
The National Register of Historic Places has outlined four main criteria against which historic properties are assessed for significance. These criteria are the basis for which historic properties are evaluated in the Section 106 process.
They are:
- Criterion A: Properties that are associated with events that have made a significant contribution to the broad patterns of our history.
- Criterion B: Properties that are associated with the lives of persons significant in our past.
- Criterion C: Properties that embody the distinctive characteristics of a type, period, or method of construction, or properties that represent the work of a master, or properties that possess high artistic values, or properties that represent a significant and distinguishable entity whose components may lack individual distinction.
- Criterion D: Properties that have yielded, or may be likely to yield information important in prehistory or history.
How is the Section 106 process initiated?
To initiate the Section 106 process, a letter must be sent to Donna M. Neary, executive director of the Kentucky Heritage Council and State Historic Preservation Officer. This letter should explain the nature of the project and include photographs of the site and a topographic map with the site indicated on the map. More details about initiating a Section 106 review are outlined in the Specifications for Field Work and Cultural Resource Assessment Reports. [PDF - 259KB]
How long does the Section 106 process take?
The Kentucky Heritage Council reviews all projects within 30 days. However, due to the large number of projects the agency reviews each year, sometimes this can take a bit longer. In order to expedite the process, please make sure your package is as complete as possible, including all relevant photographs, maps, and other information.