Tag Archives: compliance

Mitigation Examples

old barn and fence in Utah landscape

Old barn and fence in Utah

When a historic property will suffer an adverse effect from a federally-related undertaking, the federal agency, working with the Utah State Historic Preservation Office and other potential consulting parties, seeks ways to avoid, minimize, or mitigate the adverse effect.

Mitigation should represent the broader public interest by providing knowledge, enhancing the preservation of other historic properties, or creating other outcomes.

One common mitigation measure is data recovery – recording information about a property before it is destroyed by the undertaking.But many different creative mitigation approaches are possible.

Barns in northern Utah

A planned highway project in northern Utah would destroy several historic barns. For mitigation, the Utah Department of Transportation funded the restoration of several remaining barns. The work was accomplished by AmeriCorps workers.

Pine Valley guard station

The Dixie National Forest planned to sell its historic administrative site property in Enterprise, which it no longer used. As mitigation, it decided to restore and reuse the Pine Valley Guard Station as public lodging, available for overnight rentals.

Dugway’s German Village website

Due to lack of funding for maintenance, officials at Dugway Proving Grounds decided to let the “German Village”–the remains of German houses the army built during World War II in order to test the effects of bombing–deteriorate. To mitigate the Village’s lost, the army created a website that presents history, photos, and interviews. See it at https://www.dugway.army.mil/germanvillage/HOME.htm

Compliance for Historic Structures

Section 106 and Utah Code Section 9-8-404

Federal law requires every federal agency and every agency using federal funds to take into account how its projects and expenditures will affect historic properties. State law requires the same of state agencies.

Agencies must allow the State Historic Preservation Officer (SHPO) an opportunity to provide comment.

Utah SHPO E106 Submission Requirements for Historic Buildings and Structures

Advances in technology and documentation requirements in Utah provide an opportunity to move from a paper-based compliance system to a digital workflow. The new e106 system allows for a completely digital SHPO consultative process.  This initiative should yield significant time and cost savings to agencies, consultants, and private industry working in Utah by eliminating the need to print and mail SHPO records during the consultative process.

There are no more paper submissions and hard copy mailings for historic site forms, reports, agency letters, etc. for Section 106 compliance. You’ll be asked to submit your materials digitally through the e106 system. If you haven’t already, you’ll will need to create an account in our system at community.utah.gov/e106; and here is the link to our case submission instructions: https://community.utah.gov/e106/s/CaseSubmissionInstructions

Submissions for historic buildings and structures will only be accepted in the formats specified below. Consultation and records delivery will be via our Utah SHPO online consultation system (e106). Submissions for compliance outside of this system are discouraged and require pre-approval from Utah SHPO staff. If you are unable to submit your records through the e106 system please contact Utah SHPO staff for guidance.

The two primary documents required for buildings and structures submissions are the Agency Letter and the 106 Historic Site Form. You may also upload project reports, engineering reports, architectural studies, maps, etc. All records should be ‘born digital’, meaning the records are originally created and later submitted in a digital format without being printed and re-scanned. Digital creation without rescanning assures accurate digital text recognition. Any record being submitted that is not born digital, and was scanned, requires Optical Character Recognition (OCR) processing by the submitter. OCR allows full text searching of the record within our content management system.  The document format should be PDF/A when submitting through the e106 system. The PDF/A format requirement is easily obtained with current Microsoft Word and Adobe Acrobat Pro products. Methods for generating a PDF/A using your chosen document software should be readily accessible in an internet search. If you have more than one PDF/A, please submit within a zip file.

As noted above, the two documents required for all Section 106 submissions for historic buildings and structures include an Agency Letter and a 106 Historic Site Form, unless an alternative form of submission is pre-approved with the Utah SHPO.

Agency Letter

Please provide the following in the letter (submit letter in PDF/A form):

  • Identification of the applicant and the agency/program involved;
  • A detailed project description that specifies all project components;
  • Project’s location: specific address, a written description of the project’s Area of Potential Effect (the APE is the geographic area within which an undertaking may directly or indirectly cause alterations to historic buildings or structures), and a map (optional) highlighting project area and properties within;
  • Determination of Eligibility (DOE): Determine whether any properties in the APE are listed or are eligible for listing on the National Register of Historic Places. Properties already listed on the National Register are, of course, “eligible” and properties not listed are potentially eligible if they meet the following basic criteria: 1) are 50 years old or older and 2) retain integrity–retain most of their original appearance without major alterations;
  • Finding of Effect (FOE): Written determination of the project’s effect on historic properties. Effect refers to the impact the work being funded will have on the structure. Three common effects are:
    • No Historic Properties Affected: No historic properties are present within the APE, or only minor changes are being proposed that will not impact the character or architectural integrity of the building (minor repairs, painting, plumbing, electrical, etc.).
    • No Adverse Effect: More substantial work is being proposed (replacing windows or porches, changing walls, building additions, etc.), but the work meets the Secretary of the Interior’s Standards for Rehabilitation.
    • Adverse Effect: Work is being proposed that will damage or diminish the historic integrity of the historic structure (work that does not meet the Standards—including the application of synthetic siding, incompatible additions, inappropriate door or window replacement, demolition, etc.).
    • Link to the Secretary of the Interior’s Standards for Rehabilitation: https://www.nps.gov/tps/standards/four-treatments/treatment-rehabilitation.htm

106 Historic Site Form

Please fill out and submit the 106 Historic Site Form, along with an agency letter, to meet submission requirements (unless another submission form(s) is pre-approved by the Utah SHPO—usually in the case of projects affecting a considerable amount of properties). Each site form will be constituted of one single file, with photographs embedded. One site form is required for each property within the project’s area of potential effect. If you have multiple property forms, please include them in a zipped file (the project name will be the file name), then submit. We’ll ask that you name the site form file using the following convention:

AddressStreetNumber_AddressStreetName_City.pdf (e.g. 123East_AdamsStreet_Ogden.pdf)

If you have additional documents (such as an architectural study, maps, engineering report, etc.) to submit as part of your consultation package, please submit in PDF/A format, and if there are multiple documents submit within a zip file.

If there are questions concerning any of the submission requirements for buildings and structures please contact Chris Hansen, Preservation Planner/Utah State Historic Preservation Office (clhansen@utah.gov, 801-245-7239).

Need a Letter from the SHPO?

The letter you need is required by federal or state law. Under these laws, each federal and state agency (or any agency using federal funds) is required to “take into account” cultural resources in its projects and activities.

“Taking into account” cultural resources–like historic structures or archaeological sites– requires specific steps. Read an overview of the process (on the Advisory Council on Historic Preservation website).

After you have made a determination about cultural resources, you must give the State Historic Preservation Office (SHPO) the opportunity to comment. This comment letter is the letter you need.

Get more specifics on requirements for projects that may affect historic sites.

Get more specifics on requirements for projects that may affect archaeological resources.

Laws, Rules & Related

Legal authority

Compliance and SHPO matters

Please note: The links on this page will open in a new window and take you outside the State History web site.

SHPO Compliance

e106 Submission System Now Live!

As of November 27, 2017, the Utah State Historic Preservation Office has gone digital. All paper submissions will now be handled through an online platform, termed e106. This system is built upon a Salesforce Platform foundation. This system is only for agency use, no consultants should use this system unless there is pre-authorization through the SHPO or under the FCC Programmatic Agreement. Standards do apply, so please follow the links below to the Archaeological Records standards and also the Historic Buildings Standards.

Please visit the following link to see a public viewer of cases being reviewed, or if you are agency, follow the instructions to register for submissions: community.utah.gov/e106

Laws are in place to make sure that federal and state projects don’t carelessly destroy cultural resources.

Agencies’ Responsibilities

State and federal agencies that undertake projects must “take into account” how their project activities will affect historic and archaeological resources.

List of Agency Contacts in Utah, as of 4/21/2017

Common projects include construction, rehabilitation, demolition, licensing, permitting, or transfer of public lands.

Do you need to hire a consultant?

Do you need to find a curation facility?

Archaeological Compliance Guidance – a document summarizing Utah standards

SHPO’s Role

The State Historic Preservation Office (SHPO) provides guidance to agencies and governments who are affected by these laws.

Each month we review about 200 development projects and their potential effects on archaeological and historical sites. We comment on projects within 30 days and provide accurate data and professional consultation.

I just need a letter from the SHPO

Federal law summary(Section 106) A review of the laws that apply to any land development project involving federal funds.

State law summary (Utah Code Annotated 9-8-404) A review of laws that apply to projects using state funds.

Historic structures—specifics  What you need to know if your project may affect historic structures.

Archaeological resources—specifics What you need to know if your project may affect archaeological resources.

Public comment How you can provide input on projects. 

Memorandum of Agreement & Programmatic Agreement Archive

National Environmental Policy Act (NEPA) 2017 Public Notice


For projects that are disturbing the ground or may affect archaeological resources:
Chris Merritt
300 S. Rio Grande Street
Salt Lake City, Utah 84101
Phone: 801-245-7263
Fax: 801-533-3503


Elizabeth Hora-Cook
300 S. Rio Grande Street
Salt Lake City, Utah 84101
Phone: 801-245-7241
Fax: 801-533-3503

For projects affecting historic structures:
Chris Hansen
300 S. Rio Grande Street
Salt Lake City, Utah  84101
Phone: 801-245-7239
Fax: 801-533-3503

For UDOT-related projects affecting historic structures:
Cory Jensen
300 S. Rio Grande Street
Salt Lake City, Utah  84101
Phone: 801-245-7242
Fax: 801-533-3503

Not sure whom to contact?
Contact any of the above individuals and we will work to get you going in the right direction.