The National Park Service (NPS) consults with interested parties, state governments, and tribal governments on the effects of proposed actions (Federal undertakings) on historic properties and the environment as required by Section 106 of the National Historic Preservation Act of 1966, as amended (section 106), and the National Environmental Policy Act of 1969, as amended (NEPA) through a process called Review and Compliance.
The National Maritime Heritage Grants Program funds several types of projects that are considered Federal undertakings requiring Section 106 review. The Program will comply with the new nationwide Programmatic Agreement when it is available.
Per 36 CFR Part 800.2(d) and Director's Order 12, individuals or governments interested in the effects of NPS undertakings on historic resources or items identified within programmatic agreements may contact the NPS for more information.
NPS also provides federal financial assistance to carry out a variety of activities which also may require Section 106 review.
For additional information and specific questions regarding how National Maritime Heritage Grants complies with Section 106 of the National Historic Preservation Act of 1966, as amended (section 106), and the National Environmental Policy Act of 1969, as amended, please email the program at maritime_grants@nps.gov.
National Maritime Heritage and the Financial Assistance Programmatic Agreement
The Advisory Council on Historic Preservation (ACHP) implementing regulations allow federal agencies to develop alternative approaches to compliance such as Programmatic Agreements.
As of 2023, the NPS is in the process of developing a PA specifically for its cultural resources financial assistance federal undertakings. The proposed PA will create an efficient and consistent Section 106 process for cultural resource activities that are considered federal undertakings in grant programs and cooperative agreements.
For additional information regarding the new Nationwide Programmatic Agreement for Cultural Resources Financial Assistance, please visit the NPS Planning, Environment & Public Comment page.
The National Maritime Heritage Grants Program will be implementing the new Nationwide Programmatic Agreement for Cultural Resources Financial Assistance when it becomes available and currently utilizes the 4-step process.
The National Maritime Heritage Grants Program conducted a webinar in July 2023 regarding changes to the Program to include its intent to use the new PA, usage of HPF Online, and how the Program will implement Section 106 and 110 under the new PA.
Conducting Review and Compliance
What is Review and Compliance?
Review and Compliance is a process that applies federal laws, regulations, and standards related to historic preservation and environmental protection to federal projects that affect historic resources.
Important Federal Laws
The action of awarding a federal grant triggers the review responsibilities of the NPS as the federal agency, under three main federal Historic Preservation laws:
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Section 106 of the National Historic Preservation Act (NHPA)
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Section 110 of the National Historic Preservation Act (NHPA)
Are these laws applicable to me (as a grantee)?
Yes. When federal money is being allocated and spent, there is an obligation under the NHPA and the NEPA to ensure that historic resources and the environments are not harmed by the actions supported by the federal funding.
Review and Compliance Requirements (Sections 106 and 110, NEPA & SOI Standards)
The National Historic Preservation Act (Sections 106 and 110) National Environmental Policy Act have different submission requirements for the National Park Service to review. The Secretary Standards are the approved methods of how to conduct preservation work. For more information about the requirements, please look at our resources below.
The National Maritime Heritage Grants Program does not fund adverse effects.
Section 106 and Section 110 (as they are more commonly known) for the NHPA are a process that require the following:
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Determine which properties in the area may or will be affected by the project.
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Determine if those properties are either listed, or are eligible for listing, in the National Register of Historic Places (these are referred to as “historic properties”).
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Determine if the effect is adverse or not adverse to the historic property.
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Allow for and provide consultation with all interested parties.
- Explore measures that can be taken to avoid “adverse effects” to historic properties.
Section 106
Grants funded by the National Maritime Heritage Grants Program are subject to review under what is popularly called “Section 106” of the National Historic Preservation Act of 1966, as amended. Section 106, formally 54 USC 306108, requires Federal agencies to consider the impact (called “effect”) of Federally funded projects on historic resources. The Advisory Council on Historic Preservation has prepared a helpful guide to this process.
For additional information regarding the Section 106 4-Step process, we encourage you to visit the NPS Section 106 Compliance Program page and Advisory Council on Historic Preservation (ACHP).
For Section 106 inquiries specific to National Maritime Heritage Grants, please e-mail us.
Section 106 Submission for State Historic Preservation Offices
Documentation related to projects involving Section 106 should be submitted within HPF Online for projects funded by a preservation or education grant.
Section 110
Section 110 of the National Historic Preservation Act (NHPA) sets out the broad historic preservation responsibilities of Federal agencies and is intended to ensure that historic preservation is fully integrated into the ongoing programs of all Federal agencies. This intent was first put forth in the preamble to the National Historic Preservation Act upon its initial adoption in 1966. When the Act was amended in 1980, section 110 was added to expand and make more explicit the statute's statement of Federal agency responsibility for identifying and protecting historic properties and avoiding unnecessary damage to them. Section 110 also charges each Federal agency with the affirmative responsibility for considering projects and programs that further the purposes of the NHPA, and it declares that the costs of preservation activities are eligible project costs in all undertakings conducted or assisted by a Federal agency.
Projects involving National Historic Landmarks will have additional reporting requirements. As with Section 106 and NEPA, grantees should submit Section 110 requirements to HPF Online pursuant to starting work.
Section 110 Documentation Submission Requirements
For projects involving a National Historic Landmark, please submit the following before work begins:
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Property name
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The National Historic Landmark listing name or National Natural Landmark name (this should match the name under which the property was listed as a National Historic Landmark or National Natural Landmark
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Grant number, including the subgrant number (if applicable)
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A site plan that has the north direction clearly marked
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A city/county/parish map with the site of the property clearly labeled
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Set of plans and specifications for the project
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Photographs of all exterior elevations of the building or site, with views identified and oriented and keyed to the site plan
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Interior photographs of all major rooms and those involved in the project, labeled and keyed to a floor plan (if applicable and relevant to the project scope)
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Any additional information that will enable a better technical review of the project to be completed
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For archeological projects involving National Historic Landmarks, provide the research design and methodology
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A complete description of proposed project work
NHL Documentation Submission for State Historic Preservation Offices
Documentation related to projects involving NHLs should be submitted within HPF Online for projects funded by a preservation or education grant.
The National Environmental Policy Act (NEPA) established environmental policies for the U.S. with the goal of achieving productive harmony between human beings and the physical environment for present and future generations.
An analysis of the environmental impacts of an undertaking is required for any federal action or project (including Maritime Grant projects). As part of the review and compliance process, the NPS reviews the Maritime Grant project to determine if a Categorical Exclusion (CatEx) could apply. If a CatEx does apply, the project will not require a lengthy environmental assessment and can move forward. Some additional requirements to avoid environmental impacts may be made by NPS. If a CatEx does not apply, additional review will occur.
In order to enable our office to analyze the impact of your grant project, we review the approved scope of work. Your grant agreement will outline the ways in which NEPA applies to your award. The National Preservation Institute provides an overview of the NEPA review process in general.
NEPA Reporting for State Historic Preservation Offices
NEPA environmental assessment should be completed within HPF Online for projects funded by a preservation or education grant.
Projects without Construction (Development) or Ground-Disturbing Archeology
For projects that do not include construction (development) aspects or ground-disturbing archeological work, we use an existing list of NPS-specific categories of actions that do not require further review to ensure no harm to the environment. These categories of actions are said to "exclude" further review under NEPA and, because of this, are often referred to as "categorical exclusions." As a result of our ability to categorically exclude your project from further review under NEPA, we attach a signed statement to this effect with your grant agreement.
Projects with Construction (Development) or Ground-Disturbing Archeology
For those projects that do include construction (development) aspects or ground-disturbing archeological work, we review the scope of work against the list of categorical exclusions. The way that we review the scope is by gathering information from you on a worksheet. This worksheet captures information to ensure compliance with NEPA. It is meant to be a guide to completing the required NEPA review process for development and archeology projects. NPS will use the information you provide in the NEPA worksheet in HPF Online to determine if and how a categorical exclusion can apply to the rest of your grant-supported activities.
Interim Guidance: Director's Order 12: DO-12 list of Categorical Exclusions to NEPA
NPS assesses each Maritime Grant project to determine compliance with the Secretary of the Interior’s Standards and Guidelines for Archeology and Historic Preservation. These Standards and Guidelines provide technical guidance related to archeological and historic preservation activities and methods. They include, but are not limited to:
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The Archeological Documentation Standards which must be applied to all projects that involve archeology.
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The Secretary of the Interior’s Standards for the Treatment of Historic Properties which must be applied to all projects that involve construction and development.
Commonly Referenced Secretary of the Interior's Standards for the Treatment of Historic Properties
Within the Secretary of the Interior's Standards for Archeology and Historic Preservation, there are specific standards for the treatment of historic properties. These treatment standards define approaches to the maintenance, repair, and replacement of historic material. The specific Standards for the Treatment of Historic Property are:
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Treatment |
Definition |
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The act of applying measures necessary to sustain the existing form, integrity, and materials of an historic property. Work, including preliminary measures to protect and stabilize the property, generally focuses upon the ongoing maintenance and repair of historic materials, and features rather than extensive replacement and new construction. |
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the act or process of making possible a compatible use for a property through repair, alterations, and additions while preserving those portions or features which convey its historical, cultural, or architectural values. |
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The act or process of accurately depicting the form, features, and character of a property as it appeared at a particular period of time by means of the removal of features from other periods in its history and reconstruction of missing features from the restoration period. |
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The act or process of depicting, by means of new construction, the form, features, and detailing of a non-surviving site, landscape, building, structure, or object for the purpose of replicating its appearance at a specific period of time and in its historic location. |
For National Maritime Heritage Grants Program, the following is of particular interest:
Each of the treatment standards also have accompanying guidance that provides illustrated examples of best practices. Selecting the best treatment standard depends on the nature of the cultural resource and the proposed intervention. This means that you will use the applicable standard for the type of resource and what work you are proposing to do. The Technical Preservation Services division of the National Park Service has prepared a thorough overview of the four approaches to the treatment of historic properties (including cultural landscapes) with a discussion of choosing the appropriate approach.
Choosing an Appropriate Treatment
NPS Technical Preservation Services develops historic preservation standards and guidance on preserving and rehabilitating historic buildings, administers the Federal Historic Preservation Tax Incentives program for rehabilitating historic buildings, and sets the Secretary of the Interior's Standards for the Treatment of Historic Properties.
Review and Compliance Process
What is the Process for National Maritime Heritage Grants Program projects?
For Sections 106 and 110,
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NPS provides a preliminary assessment of Preservation and Education awards and their potential to cause effect. Most Preservation projects have the potential to cause effect while most Education grant projects do not have the potential to cause effect. Letters of Determination of primary awards will be provided to prime grantees (SHPO) and Tribal Historic Preservation Offices (THPO).
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The prime grantee (SHPO) is responsible for conducting Section 106 reviews of their subgrant project applicants; as the managing entity, it is the SHPO’s responsibility to create and manage specific guidelines for Section 106 review.
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The prime grantee (SHPO) reviews all documentation (plans and specifications) provided by selected subgrantees for Section 106 (and Section 110 if applicable).
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If needed, NPS works with the prime grantee (SHPO) to determine or adjust the effect of the project on the historic resources.
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NPS prepares an official letter to the State Historic Preservation Office/Tribal Historic Preservation Office (SHPO/THPO) to seek concurrence on the subgrant project assessment.
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The SHPO and/or THPO has 30 days upon receiving the official letter from NPS to respond. The SHPO/THPO will either:
For NEPA,
HPF Online: Grant Compliance Management for Grantees
The National Maritime Heritage Grants Program uses HPF Online to enter and track all subgrants, contracts, and in-house activities.
SHPOs should enter in-house projects and subgrants when they are ready for NPS review prior to executing contracts and/or subgrant agreements. The full list of requirements and instructions for the use of HPF Online for National Maritime Heritage Grants may be found in the downloadable copy of the National Maritime Heritage Grants HPF Online Manual.
For all new grantees, please ensure new staff who need access to HPF Online have set up new user accounts by emailing STLPG@nps.gov and cc’ing Maritime_grants@nps.gov.
Section 106 Submission for State Historic Preservation Offices
Documentation related to projects involving Section 106 should be submitted within HPF Online for projects funded by a preservation or education grant.
NHL Documentation Submission for State Historic Preservation Offices
Documentation related to projects involving NHLs should be submitted within HPF Online for projects funded by a preservation or education grant.
NEPA Reporting for State Historic Preservation Offices
NEPA environmental assessment should be completed within HPF Online for projects funded by a preservation or education grant.
Compliance Resources
What are the National Historic Preservation Act (NHPA), National Environmental Policy Act (NEPA) and the Secretary of the Interior Standards (SOI)?
Information overload? Don’t worry, you’re not alone. Review & Compliance is complicated and contains many moving parts. Let’s break down the basics.
National Historic Preservation Act (NHPA)
The National Historic Preservation Act of 1966 requires federal agencies to consider the impact their actions have on our historic resources. In order to meet the requirements of this act, we require additional information for certain types of projects. Both grantees and the National Park Service have responsibilities to ensure the best care of our irreplaceable cultural resources.
The National Historic Preservation Act of 1966 (NHPA) established the federal program for historic preservation in the United States, intended to preserve cultural and archeological resources important to the country. The act created the National Register of Historic Places (NRHP), the National Historic Landmark Program (NHL), and the Federal Preservation Partnership program that includes State and Tribal Historic Preservation Offices (SHPO and THPO), as well as Certified Local Governments (CLG).
There are formalized standards titled Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation. These Standards, which are actually a collection of resource- and treatment-specific standards and illustrative guidelines, apply to all National Maritime Heritage Grants.
Section 106 and Section 110 are components of the National Historic Preservation Act of 1966 (NHPA). Section 106 contains the 4-Step Process. Section 110 refers to the National Historic Landmark Program (NHL).
National Environmental Policy Act (NEPA)
The National Environmental Policy Act (Public Law 91-190) requires Federal agencies to consider the broadest possible impacts of their actions on the environment. Within the context of this law, the government must take into account the natural environment, the human environment, the built environment, socioeconomic factors, and other elements.
What are the Secretary of the Interior Standards (SOI)?
You may have noticed that your grant agreement contains the requirement that all work comply with the Secretary of the Interior's Standards for Archeology and Historic Preservation. But what does this mean? Where are these "standards"? Confusingly, there is no one set of standards; instead, there are different standards depending on the type of work undertaken. Although cultural resources professionals will often use the phrase "Secretary's Standards" as a kind of shorthand, it is very important to be clear in which set of standards apply to proposed or actual project work. Although some of the practices and procedures may predate the National Historic Preservation Act of 1966, what we today call the Standards for Archeology and Historic Preservation stem from this act whose requirements help to refine and give purpose to broad, national preservation policies.
The National Maritime Heritage Grants Program requires grantees to use the Secretary of the Interior's Standards for Archeology and Historic Preservation which include, as applicable to project work, Standards for Historic Vessel Preservation Projects.
Where Can I Go for Additional Information?
Need additional information?
Last updated: December 8, 2023