Section 106 of the National Historic Preservation Act of 1966 (NHPA) requires federal agencies to consider the effects on historic properties of projects they carry out, assist, fund, permit, license, or approve throughout the country. If a federal or federally assisted project has the potential to affect historic properties, a Section 106 review will take place.
Section 106 gives the Advisory Council on Historic Preservation (ACHP), interested parties, and the public the chance to weigh in on these matters before a final decision is made. This process is an important tool for citizens to lend their voice in protecting and maintaining historic properties in their communities.
Before You Submit
Due to many variables, the Section 106 process can be straightforward and quick, or involved and lengthy. The following information may help regarding the Section 106 process and what to do before submitting a project for review. Always remember, a key to Section 106 is to consult early and often.
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 activities carried out by or on behalf of a federal agency; those carried out with federal financial assistance; and those requiring a federal permit, license or approval.
The primary responsibility for meeting the requirements of Section 106 rests with the federal agency (and its designees, permitees, licensees or grantees). The federal agency remains responsible for all findings and determinations, and will enter into active consultation when an adverse effect to a historic property is found; when the agency and State Historic Preservation Office disagree during consultation; or when consulting parties object to findings and determinations.
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. The National Register of Historic Places is the nation’s official list of properties recognized for significance in history, architecture, archeology and culture. Properties on the National Register of Historic Places can be significant locally, statewide, nationally or to Indian tribes. Federal agencies or designees, are required to make a reasonable and good faith effort to identify historic properties located within the Area of Potential Effect.
The Area of Potential Effect, or APE, is the geographic area within which an undertaking has the potential to cause effects to historic properties, if such properties exist. It is important to remember that the Area of Potential Effect must include the area where either direct or indirect effects can occur. Both the horizontal and vertical dimensions of the Area of Potential Effect must be considered.
Keep in mind that the Area of Potential Effect is supposed to be developed in consultation with the State Historic Preservation Office (see 36 CFR Part 800.4(a)(1)). In some cases, programmatic agreements have been established with federal agencies. These agreements may have standardly-defined Areas of Potential Effect for certain types of undertakings. Please check with the responsible federal agency to determine if there is a current programmatic agreement for your undertaking.
The federal agency must present the State Historic Preservation Office with findings and determinations on which to comment. There are three possible findings:
No Historic Properties Affected [see 36 CFR Part 800.4(d)(1)]
No Adverse Effect on Historic Properties [see 36 CFR Part 800.5(a)]
Adverse Effect on Historic Properties [see 36 CFR Part 800.5(b)]
A project is considered to have an adverse effect on a historic property if it alters the characteristics that qualify the property for inclusion on the National Register of Historic Places. Adverse effects can be direct or indirect and include effects that are reasonably foreseeable and cumulative. Typical adverse effects include: physical destruction or damage; alterations inconsistent with the Secretary of the Interior’s Standards for the Treatment of Historic Properties; relocation of the property; change in the property’s use or setting; introduction of audible, atmospheric or visual elements that diminish the property’s significant features; and transfer, sale, or lease of the property out of federal ownership or control without appropriate preservation restrictions.
If the information you submit is complete, the State Historic Preservation Office has 30 days for review once the information is received. If the State Historic Preservation Office agrees with the determination and finding, and the project results in a "No Historic Properties Affected" or a "No Adverse Effect" to historic properties, the consultation is complete. If the State Historic Preservation Office disagrees with the finding, needs additional information, or agrees to an adverse effect finding, consultation will continue. To expedite review, please submit comprehensive and accurate information.
If the State Historic Preservation Office does not agree with the finding, formal comment will be issued with an explanation. Often, disagreements can be resolved with further consultation. This sometimes requires additional information being provided to the State Historic Preservation Office to better illustrate the reasoning behind the finding, or it might require slight modifications to the scope of work so that everyone is in agreement with the finding. If the disagreement cannot be resolved through consultation with the State Historic Preservation Office, the Advisory Council on Historic Preservation will need to be invited to consult [see 36 CFR Part 800.5(c)(2)].
To request formal comment on a federal undertaking, or on any local or state project, please visit our E-SHPO portal and request access. If you have any questions on how to use the portal, please review the Reference Guides below.
If the project is a federal undertaking, the State Historic Preservation Office has 30 calendar days after receipt to review a project if the information submitted is complete. If additional information is requested, the office has 30 calendar days to review the request once complete information is received. Therefore, it is in your best interest to submit adequate documentation with your initial request.
The State Historic Preservation Office can provide information on individual properties and can provide reports for properties by city or county.
If your project entails ground disturbance, you will need to consider whether there might be archaeological sites within the project area.
Specific instructions have been developed for Federal Communications Commission, Housing and Urban Development and Department of Education undertakings.
Department of Education
Department of Housing and Urban Development
Federal Communications Commission
The following agencies have existing Programmatic Agreements, please contact us to determine how to proceed with Section 106 compliance.
Federal Highway Administration
Iowa Department of Natural Resources/State Revolving Fund
United States Department of Agriculture Rural Development
Natural disasters can occur at any moment and can have a far-reaching impact on historic resources. In cases of a natural disaster, information will be provided online if specific guidance is established in response to a federally- or state-declared disaster.
To facilitate the review of architectural drawings, please submit documents no larger than 11"x17". The State Historic Preservation Office will request larger drawings if needed. Printed copies of digital images are acceptable if they clearly illustrate building forms and materials or the condition of the project location. Use high-resolution images and print appropriately.
Please use our portal at E-SHPO and reference guides. Request access to the portal and once granted, you will be able to submit for technical assistance and/or Section 106 review projects.
Digital images are acceptable if they clearly illustrate building forms and materials or the condition of the project location. Use high-resolution images.
Shapesfiles for your project and/or surveyed areas may be submitted if provided as a zipped file.
If you are unable to submit electronically, please submit a hard copy of the Project Comment Request form. Submissions via fax and email are not accepted at this time.
These procedures were established by the Advisory Council on Historic Preservation (ACHP) as presented in 36 CFR Part 800.
As per the Advisory Council on Historic Preservation, Section 106 requires federal agencies to follow four basic steps:
Initiate Section 106 to determine if Section 106 applies
Identify historic properties in the project area
Assess the effect of the project on historic resources
Resolve adverse effects
Once the agency has defined the undertaking, identified the Area of Potential Effect (APE), and consulting parties, it is ready to begin Section 106 compliance. The agency must make a reasonable and good faith effort to identify historic properties within the Area of Potential Effect. The Area of Potential Effect must include areas directly or indirectly impacted by the action. For example, the Area of Potential Effect for a natural gas pipeline would include not only the actual pipeline trench, but also includes the construction right-of-way, compressor stations, meter stations, staging areas, storage yards, access roads and other ancillary facilities.
The agency needs to consider the full range of effects that might occur. For example, a construction project might cause vibration impacts to historical archaeological sites that contain structural remains. Note, too, that the Area of Potential Effect might be different for above-ground resources subject to visual or audible effects.
Review and Compliance
Under the National Historic Preservation Act of 1966 (NHPA), as amended, Section 106 requires a federal agency to take into account the effects of its projects on properties eligible for or listed on the National Register of Historic Places. The process is commonly referred to as Section 106 Review. Federal agencies are required to go through Section 106 review and Compliance before the expenditure of federal funds or the issuance of any licenses or permits.
Federal agencies must allow the Advisory Council on Historic Preservation (ACHP) and other parties a reasonable opportunity to comment before proceeding with the project. Ultimately, Section 106 is a consultative process.
Federal agencies must work with the State Historic Preservation Office of Iowa and/or the appropriate Tribal Historic Preservation Officer. Input from the general public and other interested parties is required (e.g. historic preservation commissions). This consultation should occur at the early stages of planning, before work begins. The role of the State Historic Preservation Office of Iowa is to provide information and guidance in making recommendations to a federal agency on the potential effect of a project. However, the federal agency retains all decision-making authority.
Successful and Complete Section 106 Review
A successful and complete Section 106 review by federal agencies involves the following:
Seeking out and engaging interested parties (e.g. historic preservation commissions) and consulting with them throughout the process
Gather information to determine which historic properties are located within the Area of Potential Effect
Determine effects on the historic properties
Avoid, minimize or mitigate the effect to those historic properties
Reach an agreement with the State Historic Preservation Office/Tribal Historic Preservation Officer to resolve adverse effects or obtain comments from the Advisory Council on Historic Preservation
