Section 106 of the National Historic Preservation Act (NHPA) requires federal agencies to consider how projects they carry out, fund, permit, license, or approve may affect historic properties. The Section 106 process gives consulting parties and the public the chance to weigh in on these matters before a final decision is made. As such, it is an important tool for citizens to lend their voice in protecting and maintaining historic properties in their communities.
HABS/HAER/HALS documentation is frequently used to mitigate adverse effects to historic properties identified through the Section 106 process. This documentation – incorporated into national architecture, design, and engineering collections of the Library of Congress – creates a permanent, publicly accessible record of significant properties that will be substantially altered or demolished as the result of a federal undertaking. It can also serve as a management tool to assist federal agencies and others in maintaining, rehabilitating, and restoring historic properties.
This page provides information to assist federal agency employees and contractors in completing HABS/HAER/HALS documentation when it is stipulated as a mitigation measure through the Section 106 process.
How to Submit Section 106 Mitigation Documentation
Review and acceptance of Section 106 mitigation documentation is coordinated through the NPS regional offices. To find the regional office and point of contact that oversees submittals from your state, please visit the regional office contact page.
Early and sustained communication with the appropriate National Park Service (NPS) regional office will ensure that Section 106 mitigation documentation meets the “Secretary of the Interior’s Standards and Guidelines for Architectural and Engineering Documentation” and can be incorporated into the HABS/HAER/HALS collection at the Library of Congress. To promote the successful completion of documentation projects, the NPS recommends adhering to following process steps and best practices:
- Stipulating HABS/HAER/HALS Documentation in a Section 106 Agreement Document: Prior to executing a Section 106 MOA or PA, agencies should contact the appropriate NPS regional office to verify that the proposed stipulation language properly defines the documentation requirements and conforms with the “Secretary of the Interior’s Standards and Guidelines for Architectural and Engineering Documentation.”
- Project Planning: Before documenting a property, review the applicable HABS/HAER/HALS documentation guidelines to understand the substantive and technical format requirements of the documentation being produced. If executing the documentation through a contractor, these requirements can be used to ensure that the project is appropriately scoped, results in the required deliverables, and is executed by individuals with the requisite qualifications, experience, and skills. If a specific level of documentation is not identified in the Section 106 MOA or PA, contact the NPS regional office to determine the appropriate level of documentation at the beginning the planning process.
- Project Development - Draft Documentation: Electronic copies of draft documentation should be sent to the appropriate NPS regional office for review during project development. Prior to submitting draft documentation, consult with the NPS regional office to define an appropriate review schedule based on the level, scope, and complexity of the documentation project. Regional office review ensures that any potential issues with the documentation are identified early and addressed before the project work is complete. In addition to providing review comments, the regional office will also provide official survey numbers and title blocks (if applicable) during this stage.
- Submitting Final Documentation: Once any required edits have been made, contact the NPS regional office to coordinate submittal of the final documentation. To facilitate eventual transmittal to the Library of Congress, final documentation materials should be formatted, labeled, and organized in conformance with the HDP Transmittal Guidelines (pdf).
- Acceptance of Final Documentation: Once the NPS regional office verifies that submitted documentation meets the Secretary of the Interior’s Standards and conforms with the applicable HABS/HAER/HALS documentation guidelines, the regional office will issue an acceptance letter or other correspondence to the submitting party acknowledging receipt of the final documentation.
- Incorporation into the HABS/HAER/HALS Collection: Completed documentation packages are sent from the NPS regional offices to the Heritage Documentation Programs office for final review, processing, and transmittal to the Library of Congress. All documentation incorporated into the HABS/HAER/HALS collection at the Library of Congress is available to the public copyright free and contributes the nation's largest archive of historic architectural, engineering, and landscape documentation.
HABS/HAER/HALS Documentation Levels
Mitigation documentation is traditionally stipulated to meet one of the following documentation levels. These levels are defined in the Secretary of the Interior's Standards and Guidelines for Architectural and Engineering Documentation.To view examples of representative surveys completed at each documentation level, please visit the samples page.
Level I
- Drawings: full set of measured or interpretive drawings depicting existing or historic conditions
- Photographs: photographs with large-format negatives of exterior and interior views
- Written data: outline-format historical report
Level II
- Drawings: copies of existing drawings reproduced on vellum
- Photographs: photographs with large-format negatives of exterior and interior views
- Written data: outline-format historical report
Level III
- Drawings: sketch plan
- Photographs: photographs with large-format negatives of exterior and interior views
- Written data: short-format historical report
Selection of the appropriate documentation level should be made in consultation with other parties during the Section 106 process or after obtaining input from the appropriate NPS regional office. The level of documentation should be appropriate to the nature and significance of the subject. Focusing on what information is needed to convey the principal and significant features of a given property ensures that documentation incorporated into the HABS/HAER/HALS collection meets Standard 1 of the Secretary of the Interior’s Standards and Guidelines for Architectural and Engineering Documentation, which states that, “documentation shall adequately explicate and illustrate what is significant or valuable about the historic building, site, structure or object being documented.” While these levels define a standard baseline for HABS/HAER/HALS surveys, stipulated documentation may diverge from these standards with the concurrence of the appropriate NPS regional office.
Integrating HABS/HAER/HALS Documentation with the Statutory Requirements of the National Historic Preservation Act
Section 106 of the NHPA requires federal agencies to take into account the effects of their undertakings on historic properties. If a federal or federally-assisted project has the potential to affect historic properties, the responsible agency must complete the Section 106 review and consultation process. The goal of the Section 106 process is to identify historic properties potentially affected by an undertaking and seek ways to avoid, minimize, or mitigate any adverse effects on these properties. HABS/HAER/HALS documentation is frequently used to mitigate adverse effects identified through the Section 106 process. When stipulated in a Section 106 agreement document such as a Memorandum of Agreement (MOA) or Programmatic Agreement (PA), HABS/HAER/HALS documentation assists federal agencies in resolving adverse effects and completing the Section 106 process. As detailed in the 2016 HABS/HAER/HALS Mitigation Documentation Memorandum (pdf), the NPS currently accepts mitigation documentation for all historic properties without restrictions as to the type of resource or its level of significance.
In addition to mitigating adverse effects under Section 106, HABS/HAER/HALS documentation also allows federal agencies to comply with the statutory requirements of Section 110(b) of the NHPA. Section 110(b) requires federal agencies to, "initiate measures to ensure that where, as a result of Federal action or assistance carried out by the agency, a historic property is to be substantially altered or demolished – (1) timely steps are taken to make or have made appropriate records; and (2) the records are deposited…in the Library of Congress or with such other appropriate agency as the Secretary may designate, for future use and reference.” This requirement is reiterated in Standard 6 of the “Secretary of the Interior’s Standards and Guidelines for Federal Agency Historic Preservation Programs,” which states that: “Where the agency determines in accordance with section 106 that maintaining or rehabilitating a historic property for contemporary use in accordance with the Secretary's Standards is not feasible, the agency must provide for appropriate recording of the historic property in accordance with section 110(b) before it is altered, allowed to deteriorate, or demolished."
References
Use the following links to access the relevant statutes, regulations, and guidelines:
- Section 106 of the National Historic Preservation Act – 54 USC 306108
- Protection of Historic Properties (Section 106 Implementing Regulations) – 36 CFR 800
- Section 110(b) of the National Historic Preservation Act – 54 USC 306103
- Secretary of the Interior’s Standards and Guidelines for Federal Agency Historic Preservation Programs (formal guidance on meeting the requirements of Section 110) – 63 FR 20496
Last updated: July 3, 2024