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Frequently Asked Questions

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 acting SHPO is Lindy Casebier.

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 Lindy Casebier, acting 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.

Initiating Architectural and Archeaological Site Checks

HISTORIC ARCHITECTURAL AND ARCHAEOLOGICAL SITE AND PROJECT AREA CHECKS

To initiate site checks contact Site Identification data manager (architectural site checks) and Christina Pappas (Archaeological site checks).

HISTORIC ARCHITECTURAL site checks:

Contact information:

Data Manager
Kentucky Heritage Council
300 Washington St.
Frankfort, KY  40601
Ph (502) 564-7005 ext. 118


Basic procedure:

To INITIATE an Architectural site check you will need to provide (via email) a completed Project Registration Form and a color portion of a USGS topographical quad map showing your project area.  For large or complex project areas, or if you would prefer GIS data, please submit shape files of your project area projected in Kentucky Single Zone, NAD83 Feet. 

CHARGES for an Architectural site check vary depending upon the time required for completion.  The basic Architectural site check fee is $75.00 plus $40.00 an hour for each additional hour for any project that requires over 1 hour to complete.  The charge to provide shape files for Architectural requests is an additional $40.00 an hour.  Provided to you with the basic site check are maps (in pdf format) showing the resources located in your project area along with lists describing these resources.

PAYMENT for Architectural site checks is handled in the following manner.  At the time services are rendered, an invoice is created and emailed along with the results of the site check.  We request that the invoice be given to your accounting department immediately as payment is due upon receipt of the invoice that is emailed to you, the consultant.  For Architectural site checks, it is important to make the remittance check out to the Kentucky Heritage Council and to send it to the above mailing address.  Please reference the Project Registration number on your invoice when making payment.  Please do not combine payment for Architectural site checks with those for Archaeological site checks as they should be sent to a different address (see below).  We do not accept credit card payment. 


ARCHAEOLOGICAL SITE AND PROJECT AREA checks:

Contact information:

Christina Pappas, M.A.
GIS Technician/Staff Archaeologist
Kentucky Office of State Archaeology
University of Kentucky
1020A Export Street
Lexington, KY   40506
Ph (859) 257-1944
Email Christina.Pappas@uky.edu

Basic procedure:

Prior to receiving Archaeological Site and Project Area information, the consultants must be approved to conduct Archaeological Resource Assessments in Kentucky.  Please contact the Archaeology Review Coordinator, Kary Stackelbeck (kary.stackelbeck@ky.gov), at the Kentucky Heritage Council for further information.

To INITATE a check for Archaeological Site and Project Area information, please complete and submit a project registration form and a map depicting your project area on a 7.5’ minute topographic quad map.  If you would prefer GIS support for your data, please submit shape files of your project area projected in Kentucky Single Zone, NAD83 Feet.  Your registration form, map, and shape files may be emailed to KY-OSA@lsv.uky.edu or mailed to:

Kentucky Office of State Archaeology
University of Kentucky
1020a Export Street
Lexington, KY  40506

Please note that it will take 7-10 business days from receipt of your request for your data to be processed.

CHARGES for a check for Archaeological Site and Project Area information are $100 to register your project and $40 an hour to process your data.  The standard charge for such a request is $140.  Provided to you in this check are a map of your project depicting previously recorded archaeological sites and project areas within a 2 km catchment buffer, a list of these archaeological sites and site type, and a list of bibliographic references for the archaeological projects (all in pdf format).  If you would prefer GIS data, you will receive shape files of the above information.

PAYMENT for checks for Archaeological Site and Project Area information should be made payable to the University of Kentucky and be sent to:


Kentucky Office of State Archaeology
University of Kentucky
1020a Export Street
Lexington, KY  40506

An invoice will be sent with your data and payment is due upon receipt.  It is the responsibility of the consultant to see that the invoice is forwarded to your accounting department for payment.  Please reference the Project Registration number on your invoice when making payment.  We do not accept credit card payment.

 

 

Forms
 

KOSA document [word - 37k]

 

Last Updated 6/10/2013