FHWA Indiana Division

Sample Format for a Section 106 Recommendation

for Area of Potential Effect, Eligibility Determination(s), and Effect Finding

and Section 4(f) Compliance Requirements for Historic Properties

As noted in the Section 106 procedures, the Area of Potential Effect (APE), eligibility determinations, and effect findings must be approved by the Federal Highway Administration (FHWA) prior to submitting them to Section 106 consulting parties. The applicant or the applicant's consultant should submit their recommendations to FHWA for the APE, properties within the APE they believe are eligible for the National Register of Historic Places (the Register), and an effect finding for the project. The eligibility recommendations should also list any property that is included in the Register that is within the APE. The form below is one method the applicant or their consultant may use to submit the eligibility recommendations.

The recommendations for the APE definition, eligibility determinations, and effect finding may be submitted as separate findings, or combined, as shown on the template, if information is available. If the recommendations are made separately, simply delete the appropriate sections of the template. Subsequent recommendations to FHWA need only address the areas not covered by previous FHWA approved determinations or findings.

Any time an FHWA approved effect finding is distributed to consulting parties, the appropriate support documentation must be attached so the consulting parties may understand FHWA's basis for its finding. For "no historic properties affected" finding, the documentation specified at 36 CFR 800.11(d) should be attached. For "no adverse effect" and "adverse effect" findings, the documentation specified at 36 CFR 800.11(e) should be attached. A template for "no historic properties affected" findings is available at http://www.fhwa.dot.gov/indiv/nhpafndg.htm. A template for "no adverse effect" and "adverse effect" findings is available at http://www.fhwa.dot.gov/indiv/hpafndg.htm.

FHWA also will utilize this form to determine the Section 4(f) compliance requirements for historic properties and, if applicable, satisfy the coordination requirements for a "de minimis" finding for historic properties, pursuant to SAFETEALU provisions. Under SAFETEALU, FHWA's responsibilities under Section 4(f) for historic properties are satisfied if FHWA makes a finding of "de minimis" impact. FHWA may make a "de minimis" finding for historic properties if (1) FHWA's Section 106 determination is either "No historic properties affected" or "No adverse effect" and (2) the FHWA has received written concurrence from the State Historic Preservation Officer; and (3) the "de minimis" finding is developed in consultation with Section 106 consulting parties.

FHWA funded projects vary in complexity and the form below may not be appropriate for all projects. Upon receipt of the recommendations, if the FHWA agrees with the recommendations, the FHWA will review, approve, and return the findings and determinations to the applicant or the applicant's consultant for distribution to consulting parties. Project specific information should be inserted where each (** . . . **) appears.

SECTION 4(F) COMPLIANCE REQUIREMENTS (for historic properties) AND

SECTION 106 FINDINGS AND DETERMINATIONS

(**insert project description here**)

FEDERAL PROJECT NO.: (**insert project no. here**)

(**Insert description of APE here and/or include a map clearly marking the area of potential effect. For complex APE descriptions, a textual description is not required. Simply reference the APE map attached to the recommendation.**)

(**Insert a brief description of each property within the APE that is recommended to be eligible for the National Register of Historic Places. Each property listed should include the National Park Service criterion, or criteria, that renders the property eligible for the Register. For properties already listed in the Register, include a brief property description and note the date it was listed in the Register.**)

(**In this section, list each historic property that is within the Area of Potential Effect and indicate the effect the undertaking has on the property ("No Effect" or "No Adverse Effect" or "Adverse Effect").d

After all historic properties and their individual effect findings are listed, insert a concluding statement that declares the effect finding for the entire undertaking. Include the following statement:

"The FHWA has determined a ("No historic properties affected" or "No adverse effect" or "Adverse Effect") finding is appropriate for this undertaking."

The strongest effect finding determines the effect finding for the entire undertaking. For example, several historic properties may not be affected at all by the undertaking, however, if one property is adversely affected, then the undertaking's effect finding is "adverse effect".**)

SECTION 4(F) COMPLIANCE REQUIREMENTS (for historic properties)
(**For each historic property, a statement must be made to describe the Section 4(f) compliance requirements for each historic property. Listed below are the three (3) potential Section 4(f) conclusions that can be made for historic properties. Edit and insert the appropriate statement for each historic property.

((**INSERT NAME OF HISTORIC PROPERTY**)) -- This undertaking will not convert property from ((**INSERT NAME OF HISTORIC PROPERTY**)), a section 4(f) historic property, to a transportation use; the FHWA has determined the appropriate Section 106 finding is ("No Historic Properties Affected" or "No Adverse Effect" or "Adverse Effect"); therefore no Section 4(f) evaluation is required for ((**INSERT NAME OF HISTORIC PROPERTY**)). FHWA respectfully requests the Indiana State Historic Preservation Officer provide written concurrence with FHWA's Section 106 determination of ("No Historic Properties Affected" or "No Adverse Effect" or "Adverse Effect"); the Indiana State Historic Preservation Officer's concurrence is not required for FHWA's determination that a Section 4(f) evaluation is not required for ((**INSERT NAME OF HISTORIC PROPERTY**)).

((**INSERT NAME OF HISTORIC PROPERTY**)) -- This undertaking will convert property from ((**INSERT NAME OF HISTORIC PROPERTY**)), a section 4(f) historic property, to a transportation use; the FHWA has determined the appropriate Section 106 finding is ("No Historic Properties Affected" or "No Adverse Effect"); therefore FHWA hereby issues a "de minimis" finding for the ((**INSERT NAME OF HISTORIC PROPERTY**)), pursuant to SAFETEALU, thereby satisfying FHWA's responsibilities under Section 4(f) for this historic property. FHWA respectfully requests the Indiana State Historic Preservation Officer provide written concurrence with FHWA's Section 106 determination of ("No Historic Properties Affected" or "No Adverse Effect") and the "de minimis" finding for ((**INSERT NAME OF HISTORIC PROPERTY**)).

((**INSERT NAME OF HISTORIC PROPERTY**)) -- This undertaking will convert property from ((**INSERT NAME OF HISTORIC PROPERTY**)), a Section 4(f) historic property, to a transportation use; the FHWA has determined the appropriate Section 106 finding is "Adverse Effect"; and therefore a Section 4(f) evaluation must be completed for ((**INSERT NAME OF HISTORIC PROPERTY**)). FHWA respectfully requests the Indiana State Historic Preservation Officer provide written concurrence with FHWA's Section 106 determination of "Adverse Effect"; the Indiana State Historic Preservation Officer's concurrence is not required for FHWA's determination that a Section 4(f) evaluation is required for ((**INSERT NAME OF HISTORIC PROPERTY**)).

Please note that if the project will take land from within a historic property's boundary and convert it to transportation use, then it is considered a Section 4(f) use. In some cases, the boundary of the historic property, for Section 106 and Section 4(f) purposes, is not the same as the legal boundary of the property. For example, a historic building may have a legal boundary of several acres, however, the historic boundary may be more narrowly defined because not all of the acreage conveys the historic significance of the building. The historic boundary of the historic property should be developed in consultation with the Indiana State Historic Preservation Officer.**)

Consulting parties will be provided a copy of FHWA's findings and determinations in accordance with FHWA's Section 106 procedures. Comments will be accepted for 30-days upon receipt of the findings.

______________________________________
Robert F. Tally, Jr., P.E.
Division Administrator