Review & Compliance

Important Links

• National Historic Preservation Act
• National Environmental Policy Act
• Secretary of the Interior's Standards
• Technical Preservation Briefs
• Citizen's Guide to Section 106 Review (PDF)
• Summary of the Review and Compliance Process

What is Review & Compliance?

Review and compliance refers to the process through which the direct and indirect effects of your grant project are considered for impacts on the natural environment, cultural resources, and historic resources. This process applies federal laws, regulations, and standards related to historic preservation and environmental protection to federally sponsored projects (like your grant) that affect historic resources. Information on this page is for any grantees that have received a grant from one of the competitive grant programs and Congressionally Directed Spending.

The review and compliance process must be complete prior to beginning grant-assisted work.

Sections 106 & 110 of the National Historic Preservation Act

The National Historic Preservation Act established the federal program for historic preservation in the United States and is intended to preserve cultural and archeological resources important to the country. The act created the National Register of Historic Places, the National Historic Landmark Program, and the Federal Preservation Partnership Program that includes State Historic Preservation Offices, Tribal Historic Preservation Offices, and Certified Local Governments.

For the purposes of your grant, two sections of the National Historic Preservation Act are especially relevant. Preservationists use a shorthand to refer to these sections as "Section 106" and "Section 110," respectively. These sections provide for a process and guidance on how the National Park Service should:

• determine which properties in the area may or will be affected by your grant project
• determine if those properties are either listed or eligible for listing in the National Register of Historic Places (these are referred to as "historic properties")
• determine if the proposed work or treatments will have an "adverse" or "not adverse" effect to the historic property or properties
• allow for and provide consultation with all interested parties
• explore measures that can be taken to avoid "adverse effects" to historic properties

Grants funded through the Historic Preservation Fund may not result in or cause an "adverse effect" to historic properties.

National Environmental Policy Act (NEPA)

The National Environmental Policy Act established this country's environmental policies with the goal of achieving productive harmony between human beings and the physical environment for present and future generations.

A review of the potential environmental impact is required for any federal action or project, including your grant. As part of the review and compliance process, NPS uses the data you provide on the environmental screening worksheet to determine if what is called a "categorical exclusion" can be applied to your project. This exclusion uses a pre-set list of actions excluded for further review under NEPA by category and is also referred to as a CatEx. If a CatEx applies to your project, it will not require a lengthy environmental assessment or impact analysis and your project can move forward. Even if a CatEx does apply, however, NPS may require certain conditions to avoid environmental harm caused by your project.

The Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation

In order to ensure that the significant character-defining features of an historic resource are retained, NPS assesses each grant project to determine whether the proposed designs, treatments, or methods align with best practices in historic preservation and cultural resource managment. These best practices are defined in the Standards and Guidelines for Archeology and Historic Preservation. They provide technical guidance related to archeological and historic preservation activities and methods.

Understanding the Secretary's "Standards"

It can be confusing to hear about the Secretary's Standards — what are they?

There are many standards depending on what type of preservation activity you are undertaking. All of the standards are grouped under the Standards and Guidelines for Archeology and Historic Preservation.

Still confused? Read more on Understanding the Secretary of the Interior's Standards.

This property received a grant from the Historic Preservation Fund for work to restore its windows and masonry (before - left; after - right).

What is the Review & Compliance Process?

Reviews Under the National Historic Preservation Act – Section 106 or Section 110

All projects must be reviewed to determine whether the proposed methods or treatments will impair the histoirc qualities of the resource being worked on. This review is usually referred to as "Section 106." For those truly exceptional resources that are considered National Historic Landmarks, the review process is similar but is referred to as "Section 110."

In general, Section 106 or Section 110 reviews follow the same sequence with the exception that Section 110 reviews will occur within NPS at both the headquarters office level and regional office level.

1. grantees submit plans and specifications at the 75%-80% completion or other plans for treatments for the historic resource
   • reminder: public notification of the federal grant funded action is required — the published press release/notice required as part of the grant agreement serves this function
2. NPS reviews all documentation (including plans and specifications) provided by the grantee for Section 106 (and Section 110, if applicable)
3. if needed, NPS works with grantees and project consultants (architects, preservation specialists, etc.) to determine or adjust the effect of the project on historic resources
4. NPS prepares an official letter to the State or Tribal Historic Preservation Office (SHPO/THPO) to seek concurrence on the assessment of effect (usually this is a determination formally referred to as No Adverse Effect)
   • Grantees should not submit projects directly to SHPOs/THPOs directly; allow NPS to review projects first
5. SHPO/THPO has 30 days upon receiving the submission from NPS to respond; the SHPO/THPO will either:
   • concur, allowing the project to advance; or
   • not concur and NPS and the grantee will consult with the SHPO/THPO and all interested parties to resolve the issue; or
   • ask for more information

Reviews Under the National Environmental Policy Act

The National Environmental Policy Act (NEPA) requires federal agencies to consider the broadest possible impact of federally funded work on the human and natural environment. In order to assist us with gathering data to understand the impact of your project, you will first need to complete and submit the environmental screening worksheet.

The review process under NEPA is:

1. grantees complete and submit the NEPA environmental screening worksheet to NPS
   • reminder: a meeting with public discussion of your project is part of the NEPA process
2. NPS reviews the worksheet (usually concurrent with Section 106/110 review)
3. based on the review of the NEPA worksheet:
   • NPS researches the Categorical Exclusion (CatEx) that applies to the project and approves the NEPA worksheet; or
   • NPS does not approve the NEPA worksheet and asks you for additional information to inform the NEPA review and identification of an applicable CatEx; or
   • NPS determines the project will harm the environment and the project is ineligible for funding under the Historic Preservation Fund

The former Flora MacDonald College in Red Springs, North Carolina received a grant from the Historic Preservation Fund to assist with repairing damage caused by hurricanes.

What is the Estimated Timeline for Review & Compliance?

The amount of time needed for NPS to review proposed treatments and preservation activities depends on the number of other projects currently under review, the complexity of the nature and scope of work your project proposes, and whether additional reviews are needed by other offices or divisions within NPS.

In general:

• Section 106 and NEPA reviews take around 60 days total to complete once a complete submission is received by NPS
  • plan ahead and submit your documentation as soon as possible
  • conceptual questions and preliminary reviews are welcomed
  • the 60-day time period may run concurrently with other reviews (110, NEPA)
• Section 110 review for designated National Historic Landmarks requires both NPS headquarters and regional office staff review; this takes around 60 days total to complete
  • do not contact the regional office directly about your grant project
  • the 60-day time period may run concurrently with other reviews (106, NEPA)
• NPS will process NEPA review at the same time as the Section 106/110 reviews
  • a properly completed NEPA worksheet will result in faster processing
  • NEPA review usually occurs concurrently with other reviews, but the worksheet may be submitted at any time
• remember: your press release/public notification of having received the grant and public meeting are an integral part of the review and compliance proces

All review and compliance reviews must be complete prior to the commencement of project work. In addition, compliance with cultural resource and environmental protection laws and policies is just one part of your grant requirements. Other important laws and policies are discussed in your grant agreement. If you are unsure of what this means for your specific project, contact your grant manager.