FHWA Indiana Division

Sample Format and Guidance for

Documenting FHWA's

NO ADVERSE EFFECT or ADVERSE EFFECT finding

Posted March 5, 2002

Per FHWA-IN Section 106 procedures, applicants or their consultants may submit recommendations for effect findings to FHWA. Each recommendation for a "NO ADVERSE EFFECT" or "ADVERSE EFFECT" must be accompanied by support documentation meeting the requirements in the Section 106 regulations at 36 CFR 800.11(e). Applicants and their consultants may use the template below for guidance when preparing the support documentation for either a recommended "no adverse effect" or "adverse effect" finding. Project specific information should be inserted where each (** . . . **) appears.

Upon receipt of the recommendation and the support documentation, FHWA will review the recommendation and the support documentation. If additional information or documentation is required, FHWA will advise the applicant or their consultant to update the documentation or the finding as appropriate. After FHWA is satisfied the documentation is adequate to support FHWA's finding, FHWA will sign the effect finding and return it to the applicant or their consultant, along with the support documentation.

The applicant or their consultant, upon receipt of FHWA's approved finding and support documentation, should distribute copies of FHWA's finding and the support documentation to the SHPO and consulting parties, consistent with FHWA's Section 106 procedures.

FEDERAL HIGHWAY ADMINISTRATION

DOCUMENTATION OF SECTION 106 FINDING OF

NO ADVERSE EFFECT or ADVERSE EFFECT

SUBMITTED TO THE STATE HISTORIC PRESERVATION OFFICER

PURSUANT TO 36 CFR 800.5(c)
for no adverse effect findings include this citation

PURSUANT TO 36 CFR 800.6(a)(3)
for adverse effect findings, include this citation

(**insert project description here**)

DES. NO.: (**insert des. no. here**)

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

1. DESCRIPTION OF THE UNDERTAKING

(**Describe the undertaking and discuss the federal involvement in the project. Typically, the federal involvement is funding received from FHWA. Describe the area of potential effects (APE) and attach a map that clearly delineates the boundaries of the APE. The FHWA approval of the APE should be included in the appendix of this document, and this section should reference the appropriate location of the approval in the appendix. Include any photographs, maps, drawings, as necessary to provide a complete description of the project's location.**)

2. EFFORTS TO IDENTIFY HISTORIC PROPERTIES

(**Describe all of the steps taken to identify historic properties and include, as appropriate, efforts to seek information pursuant to 36 CFR Section 800.4(b). Discuss resources checked, such as county interim reports, the Indiana Register of Historic Places, and the National Register of Historic Places. Discuss any archaeological work that was done, or why archaeological work was not required. Discuss any input received from consulting parties that resulted in the identification of historic properties.**)

3. DESCRIBE AFFECTED HISTORIC PROPERTIES

(**Describe the historic properties affected and include information on the characteristics that qualify them for the National Register of Historic Places. The National Register Criterion or Criteria that qualify each property for the Register should be identified. The FHWA Eligibility Determination should be included in the appendix and its location referenced in this section.**)

4. DESCRIBE THE UNDERTAKING'S EFFECTS ON HISTORIC PROPERTIES

(**Describe the extent to which each property will be affected by the project. If the project does not affect an historic property, it should also be noted in this section.**)

5. EXPLAIN APPLICATION OF CRITERIA OF ADVERSE EFFECT -- INCLUDE CONDITIONS OR FUTURE ACTIONS TO AVOID, MINIMIZE OR MITIGATE ADVERSE EFFECTS

(**For each historic property identified, explain why the criteria of adverse effect do or do not apply. If an adverse effect is considered unavoidable, discuss the avoidance alternatives considered and why the were dismissed. If an adverse effect occurs, discuss minimization or mitigation efforts to be undertaken.**)

6. SUMMARY OF CONSULTING PARTIES AND PUBLIC VIEWS

(**Summarize SHPO's position on the project and reference correspondence in the appendix. Summarize consulting party's positions and reference any correspondence received in the appendix. If a public notice has been issued, note the date it was issued and summarize any comments received from the public. If no comments are received from the public, make a note of it in this section. If a public notice has not yet been issued, make note of it and indicate when the public notice will be issued and indicate the document will be revised after the public notice.**)

APPENDIX

(**Please include copies of any and all FHWA approved Area of Potential Effect definitions, eligibility determinations, and effect findings. The information in item #1 above, should be included in the Appendix. Copies of all correspondence from the SHPO, consulting parties, and the public should be included. Provide a list of all consulting parties, including SHPO and FHWA.**)

Last Updated: March 5, 2002

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