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ELECTRONIC CODE OF FEDERAL REGULATIONS
e-CFR Data is current as of August 21, 2014
Title 36 → Chapter I → Part 61
Title 36: Parks, Forests, and Public Property
PART 61—PROCEDURES FOR STATE, TRIBAL, AND LOCAL GOVERNMENT HISTORIC
PRESERVATION PROGRAMS
Contents
§61.1 Authorization.
§61.2 Definitions.
§61.3 Implementation of this part.
§61.4 State programs.
§61.5 Grants to State programs.
§61.6 Certified local government programs.
§61.7 Subgrants to certified local governments.
§61.8 Tribal programs. [Reserved]
§61.9 Grants to tribal programs. [Reserved]
§61.10 Waiver.
§61.11 Information collection.
AUTHORITY : 16 U.S.C. 470 et seq.
SOURCE: 64 FR 11742, Mar. 9, 1999, unless otherwise noted.

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§61.1 Authorization.
The National Historic Preservation Act of 1966, as amended (16 U.S.C. 470 et seq.):
(a) Requires the Secretary of the Interior (Secretary) to promulgate regulations for:
(1) Approving and overseeing State historic preservation programs;
(2) Certifying local governments to carry out the purposes of the Act;
(3) Ensuring that applicable State Historic Preservation Officers (SHPOs) allocate to certified local
governments (CLGs) a share of grants that the SHPOs receive under the Act; and
(4) Assisting Indian tribes in preserving their particular “historic properties” (as defined by the Act);
(b) Directs the Secretary to administer a program of grants-in-aid to States and Indian tribes for
historic preservation projects and programs that the Secretary has approved; and
(c) Requires the Secretary to make available information concerning professional standards,
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methods, and techniques for the preservation of “historic properties” (as defined by the Act) and the
administration of historic preservation programs.
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§61.2 Definitions.
As used in this part:
(a) All terms that the National Historic Preservation Act of 1966, as amended, defines have the
same meaning in the regulations in this part that the statute provides; see especially sections 101(a)(1)
(A), 101(b), 101(c)(4), 108, and 301.
(b) Act means the National Historic Preservation Act of 1966, as amended, (16 U.S.C. 470 et
seq.).
(c) Chief elected local official means the elected head of a local government.
(d) The Secretary's Standards means only the “Standards” portions and not the “Guidelines”
portions of “the Secretary of the Interior's Standards and Guidelines for Archeology and Historic
Preservation.” The Secretary's Standards provide broad national principles of archeological and historic
preservation practices and methods. “The Secretary of the Interior's Standards and Guidelines for
Archeology and Historic Preservation” also contains “the Secretary's Guidelines” which provide broad
national guidance on how to apply “the Secretary's Standards.”
(e) State historic preservation program or State program means a State government organization
or program meeting the requirements that section 101(b) of the Act specifies.
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§61.3 Implementation of this part.
(a) National Park Service policy of management by exception. The National Park Service (NPS)
will administer the regulations in this part in such a way (and where feasible) as to:
(1) Limit the use of direct Federal management review procedures to high risk situations, to new
programs, or to activities that are appropriate for the Federal Government to oversee;
(2) Presume that State, tribal, and local government historic preservation officials manage their
programs in an accountable way unless situations indicate the contrary; and
(3) Rely to the maximum extent feasible on State, tribal, and local government systems of financial
and program management that meet Federal standards. At the discretion of the Secretary, each State,
tribal, and local government may substitute its own fiscal audit and management systems for the
Secretary's comparable fiscal audit and management requirements, so long as the State, tribal, or
local government system establishes and maintains accounting standards substantially similar to
Federal standards and provides for independent peer review.
(b) The Secretary's Standards. NPS will use the Secretary's Standards as technical performance
standards for matters covered by this part. NPS may also use as technical performance standards (for
matters covered by this part) additional guidance that NPS identifies and provides from time to time
after appropriate consultation and notice.
(c) Each State historic preservation program staff member, State Historic Preservation Review
Board (Review Board) member, and certified local government (CLG) historic preservation review
commission (Commission) member whom the Secretary has approved as meeting “the Secretary's
(Historic Preservation) Professional Qualifications Standards” will retain that status, regardless of
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subsequent revisions to those Standards, until such time as that individual no longer works in that
program, or serves on that Review Board, or serves on that Commission with which that individual was
affiliated as of the date of that individual's approval.
(d) You may obtain publications and other information mentioned in this part by contacting:
Heritage Preservation Services, National Center for Cultural Resource Stewardship and Partnership
Programs, National Park Service, 1849 C Street NW (NC Suite 200), Washington, D.C. 20240 or via
the National Park Service Home Page for cultural programs at http://www.cr.nps.gov.
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§61.4 State programs.
(a) For a State to participate in the program that this part describes, the Governor must appoint
and designate a State Historic Preservation Officer (SHPO) to administer the State historic
preservation program.
(b) It is the responsibility of the SHPO to carry out the duties and activities that section 101 (b)(3)
of the Act describes. In performing those duties and activities:
(1) The SHPO must carry out a historic preservation planning process that includes the
development and implementation of a comprehensive statewide historic preservation plan that provides
guidance for effective decision making about historic property preservation throughout the State.
(2) The SHPO, in addition to surveying and maintaining inventories of historic properties, may also
obtain:
(i) Comparative data valuable in determining the National Register eligibility of properties;
(ii) Information on properties that may become eligible for the National Register of Historic Places
with the passage of time; and/or
(iii) Information on the absence of historic properties for use in planning for public and private
development projects.
(3) The SHPO must provide for adequate public participation in the State historic preservation
program as a whole.
(i) As part of the process of recommending a property to the National Register, the SHPO must
comply with the consultation and notification procedures contained in 36 CFR part 60.
(ii) The SHPO may authorize other persons or entities to fulfill the notice requirements in 36 CFR
part 60 pursuant to the Secretary's written guidance.
(iii) The SHPO also may authorize the historic preservation review commission (Commission) of a
certified local government (CLG) to act in place of the State Historic Preservation Review Board
(Review Board) for the purpose of considering National Register nominations within its jurisdiction,
provided that the Commission both meets the professional qualifications required for the Review Board
when considering such nominations and otherwise follows the Secretary's written guidance.
(iv) In accordance with the Secretary's written guidance and with the consent of both the property
owners in a nomination and the chief elected local official, the Review Board (or the Commission acting
in its place) may consider the nomination without a face-to-face meeting.
(4) The SHPO may carry out all or any part of his or her responsibilities by contract or cooperative
agreement with any qualified nonprofit organization, educational institution, or otherwise pursuant to
State law. However, the SHPO may not delegate the responsibility for compliance with the Act or with
grant assistance terms and conditions.
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(c) The Secretary will consider individual SHPO proposals for programs that, for a specified
period, include fewer duties than those section 101(b)(3) of the Act specifies, if a different approach
would better serve an appropriate balance of historic property, customer or constituent, and historic
preservation needs.
(d) Procedures for review and approval of State historic preservation programs. (1) In accordance
with the Act, the Secretary will evaluate each State program for consistency with the Act periodically,
but not less often than every four years. If the Secretary determines that it meets the program
requirements of paragraphs (a), (b), (e) and (f) of this section, he or she will approve the State program
as set forth in this section.
(2) The Secretary may use on-site and/or off-site inquiries to perform such evaluation. The
Secretary will provide the SHPO with a timely report containing written findings and analyses that
highlight the strengths and weaknesses of the State program.
(3) Approval method. (i) If the Secretary determines that a State program is consistent with the
Act, the report will include notice that the State program's approved status continues.
(ii) If the Secretary determines that a State program has major aspects not consistent with the Act,
the report will include notice of deficiencies along with required actions for correcting them. Unless
circumstances warrant immediate action, the Secretary will provide a specified period to allow the
SHPO either to correct the deficiencies or to present for Secretarial approval a justifiable plan and
timetable for correcting the deficiencies. During this period, the SHPO has the opportunity to request
that the Secretary reconsider any findings and required actions.
(iii) The Secretary will provide timely notice of continued approved State program status to a
SHPO successfully resolving deficiencies. Once the Secretary renews a State program's approved
status, he or she generally will not review the program until the next regular evaluation period. However,
if the Secretary deems it necessary, he or she may conduct a review more often.
(iv) The Secretary will provide timely notice of the revocation of a program's approved status to any
SHPO whose program has deficiencies that warrant immediate action or that remain uncorrected after
the expiration of the period specified pursuant to paragraph (d)(3)(ii) of this section. The Secretary will
then initiate financial suspension and other actions in accordance with the Act, applicable regulatory
requirements, and related guidance that the National Park Service issues.
(e) The SHPO must appoint or employ a professionally qualified staff.
(1) Except as approved pursuant to paragraph (e)(2) of this section, the staff must include at a
minimum, one individual meeting “the Secretary's (Historic Preservation) Professional Qualifications
Standards” for history, one individual meeting “the Secretary's (Historic Preservation) Professional
Qualifications Standards” for historic or prehistoric archeology, and one individual meeting “the
Secretary's (Historic Preservation) Professional Qualifications Standards” for architectural history. “The
Secretary's (Historic Preservation) Professional Qualifications Standards” and related guidance are
part of the larger “Secretary of the Interior's Standards and Guidelines for Archeology and Historic
Preservation.” The SHPO may determine that additional professional staff members representing the
required or other disciplines are necessary to administer the State program in accordance with the Act.
(2) The Secretary will consider proposals from a SHPO for a minimum required staff composition
that differs from the requirement that paragraph (e)(1) of this section specifies, if the proposal
addresses better an appropriate balance of historic property, customer or constituent, and historic
preservation needs in that State.
(3) When a staff position that paragraph (e)(1) of this section requires becomes vacant, the SHPO
must fill the vacancy in a timely manner. In the interim, the SHPO must ensure that appropriately
qualified individuals address technical matters. A vacancy in a required position that persists for more
than six months is cause for review, comment, and appropriate action by the Secretary.
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(f) Unless State law provides for a different method of appointment, the SHPO must appoint an
adequate and qualified State historic preservation Review Board (Review Board).
(1) All Review Board members must have demonstrated competence, interest, or knowledge in
historic preservation. A majority of Review Board members must meet “the Secretary of the Interior's
(Historic Preservation) Professional Qualifications Standards” which are part of the larger “Secretary's
Standards and Guidelines for Archeology and Historic Preservation.” The members meeting “the
Secretary's (Historic Preservation) Professional Qualifications Standards” must include at a minimum,
one individual meeting “the Secretary's (Historic Preservation) Professional Qualifications Standards”
for history, one individual meeting “the Secretary's (Historic Preservation) Professional Qualifications
Standards” for prehistoric archeology or historic archeology, and one individual meeting “the
Secretary's (Historic Preservation) Professional Qualifications Standards” for architectural history. One
person may meet the Standards for more than one required discipline. The other Review Board
members, if any, who comprise the majority that meets “the Secretary's (Historic Preservation)
Professional Qualifications Standards” may represent, subject to the SHPO's selection, any of the
disciplines that those “Standards” describe.
(2) The Secretary will consider proposals from a SHPO for a minimum required Review Board
composition that differs from the requirement that paragraph (f)(1) of this section specifies, if the
proposal addresses better an appropriate balance of historic property, customer or constituent, and
historic preservation needs in that State.
(3) When a required Review Board position becomes vacant, the SHPO must fill the vacancy in a
timely manner. In the interim, the SHPO must ensure that the Review Board has access to advice from
appropriately qualified individuals. A lapse of more than one year in filling the vacancy is cause for
review, comment, and appropriate action by the Secretary.
(4) The Review Board must meet as often as is necessary to complete its work in a timely fashion
but no less often than once a year.
(5) The Review Board must adopt written procedures governing its operations consistent with the
provisions of this section and related guidance that the National Park Service issues.
(6) Review Board responsibilities include, but are not limited to, the following:
(i) Providing advice to the SHPO on the full range of Historic Preservation Fund-supported
activities, that section 101 (b)(3) of the Act describes;
(ii) Reviewing and making recommendations on National Register nomination proposals;
(iii) Participating in the review of appeals to National Register nominations; and
(iv) Performing such other duties as may be appropriate.
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§61.5 Grants to State programs.
(a) Each State with an approved State program is eligible for grants-in-aid from the Historic
Preservation Fund (HPF).
(b) The National Park Service (NPS) will administer HPF matching grants-in-aid in accordance
with the Act, OMB Circular A-133 and 43 CFR part 12, and related guidance that NPS issues. Failure
by a State program to meet these requirements is cause for comment and appropriate action by the
Secretary.
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§61.6 Certified local government programs.
(a) Each approved State program must provide a mechanism for certification (by the State Historic
Preservation Officer and the Secretary) of local governments to carry out the purposes of the Act.
(b) Each State Historic Preservation Officer (SHPO) must follow procedures that the Secretary
approves for the certification of local governments. Each SHPO also must follow procedures for
removal of certified local government (CLG) status for cause. A SHPO must submit any proposed
amendment to its procedures to the Secretary for approval. The Secretary will act on each proposal in
a timely fashion generally within 45 days of receipt.
(c) When a SHPO approves a local government certification request in accordance with the State
program's National Park Service (NPS)-approved certification process, the SHPO must prepare a
written certification agreement between the SHPO and the local government. The certification
agreement must list the specific responsibilities of the local government when certified. The SHPO
must submit to the Secretary the written certification agreement and any additional information as is
necessary for the Secretary to certify the local government pursuant to the Act and this part. If the
Secretary does not disapprove the proposed certification within 15 working days of receipt, the
Secretary has certified the local government.
(d) Beyond the minimum responsibilities set out in the Act for all CLGs, the SHPO may make
additional delegations of responsibility to individual CLGs. However, these delegations may not include
the SHPO's overall responsibility derived from the Act or where law or regulation specifies.
(e) The SHPO must ensure that each local government satisfies the following minimum
requirements as conditions for certification. Each CLG must:
(1) Enforce appropriate State or local legislation for the designation and protection of historic
properties. The State procedures must define what constitutes appropriate legislation, as long as:
(i) Designation provisions in such legislation include the identification and registration of properties
for protection that meet criteria established by the State or the locality for significant historic and
prehistoric resources within the jurisdiction of the local government;
(ii) Protection provisions in such legislation include a local review process under State or local law
for proposed demolitions of, changes to, or other action that may affect historic properties as
paragraph (e)(1)(i) of this section describes; and
(iii) The legislation otherwise is consistent with the Act.
(2) Establish by State or local law and maintain an adequate and qualified historic preservation
review commission (Commission). All Commission members must have a demonstrated interest,
competence, or knowledge in historic preservation. Unless State or local legislation provides for a
different method of appointment, the chief elected local official must appoint all Commission members.
(i) The State procedures must encourage certified local governments to include individuals who
meet “the Secretary's (Historic Preservation) Professional Qualifications Standards” among the
membership of the Commission, to the extent that such individuals are available in the community.
(ii) The State procedures may specify the minimum number of Commission members who must
meet “the Secretary's (Historic Preservation) Professional Qualifications Standards.” The State
procedures may also specify which, if any, disciplines the Commission's membership must include
from among those disciplines that the Standards describe. Membership requirements set by the State
procedures for Commissions must be cognizant of the needs and functions of Commissions in the
State and subject to the availability of such professionals in the community concerned.
(iii) Provided that the Commission is otherwise adequate and qualified to carry out the
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responsibilities delegated to it, the SHPO may certify a local government without the minimum number
or types of disciplines established in State procedures, if the local government can demonstrate that it
has made a reasonable effort to fill those positions, or that an alternative composition of the
Commission best meets the needs of the Commission and of the local government.
(iv) The SHPO must make available to each Commission orientation materials and training
designed to provide a working knowledge of the roles and operations of Federal, State, and local
historic preservation programs, and historic preservation in general.
(3) Maintain a system for the survey and inventory of historic properties. The SHPO must ensure
that such systems and the data that they produce are capable of integration into and are compatible
with statewide inventories and (when and as appropriate) with State and local planning processes.
(4) Provide for adequate public participation in the local historic preservation program as a whole.
The SHPO must provide each CLG with appropriate guidance on mechanisms to ensure adequate
public participation in the local historic preservation program including the process for evaluating
properties for nomination to the National Register of Historic Places.
(5) Satisfactorily perform the responsibilities delegated to it under the Act. The SHPO must
monitor and evaluate the performance of each CLG according to written standards and procedures that
the SHPO establishes. If a SHPO's evaluation of a CLG's performance indicates that such
performance is inadequate, the SHPO must suggest in writing ways to improve performance. If, after a
period of time that the SHPO stipulates, the SHPO determines that the CLG has not improved its
performance sufficiently, the SHPO may recommend that the Secretary decertify the local government.
If the Secretary does not object within 30 working days of receipt, the Secretary has approved the
decertification.
(f) Effects of certification include:
(1) Inclusion in the process of nominating properties to the National Register of Historic Places in
accordance with sections 101 (c)(2)(A) and (c)(2)(B) of the Act. The SHPO may delegate to a CLG any
of the responsibilities of the SHPO and the Review Board in processing National Register nominations
as specified in 36 CFR part 60 (see also §61.4(b)(3)), except for the authority to nominate properties
directly to the National Register. A CLG may make nominations directly to NPS only when the State
does not have an approved program pursuant to §61.4.
(2) Eligibility to apply for a portion of the State's annual Historic Preservation Fund (HPF) grant
award. Each State must transfer at least 10 percent of its annual HPF grant award to CLGs for historic
preservation projects and programs in accordance with the Act and as §61.7 specifies.
(g) The District of Columbia is exempt from the requirements of this section because there are no
subordinated local governments in the District. If any other jurisdiction that section 301(2) of the Act
defines as a State believes that its political subdivisions lack authorities similar to those of local
governments in other States, and hence cannot satisfy the requirements for local government
certification, it may apply to the Secretary for exemption from the requirements of this section.
(h) Procedures for direct certification by the Secretary where there is no approved State program
pursuant to §61.4. To the extent feasible, the Secretary will ensure that there is consistency and
continuity in the CLG program of a State that does not have an approved State program.
(1) Where there is no approved State program, a local government wishing to become certified
must apply directly to the Secretary.
(2) The application must demonstrate that the local government meets the specifications for
certification set forth in paragraph (e) of this section.
(3) The Secretary will review certification applications under this paragraph (h) and take action in a
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timely fashion generally within 90 days of receipt.
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§61.7 Subgrants to certified local governments.
(a) Each SHPO must transfer at least 10 percent of its annual Historic Preservation Fund (HPF)
grant award to CLGs as subgrants for historic preservation projects and programs in accordance with
the Act. In any year that the annual HPF State grant appropriation exceeds $65,000,000, SHPOs must
transfer one half of the amount over $65,000,000 to CLGs according to procedures that the Secretary
will establish.
(b) Each CLG is eligible to receive funds from the 10 percent (or greater) CLG share of the State's
total annual HPF grant award. However, the SHPO need not award funds to all CLGs.
(c) Each SHPO must maintain and follow a procedure that the Secretary approves for the use and
distribution of funds from the State's annual HPF grant award to CLGs to ensure that no CLG receives
a disproportionate share of the allocation. The procedure will provide a clear basis for the funding
decisions. The SHPO must submit any proposed amendment to its procedure to the Secretary for
approval. The Secretary will respond to such a proposal in a timely fashion generally within 45 days of
receipt.
(d) Each SHPO must notify annually each CLG of its opportunity to apply for HPF funding as well
as what is entailed in the application and project selection process.
(e) Each CLG receiving an HPF grant award from the CLG share is a subgrantee of the State. The
SHPO must ensure that each CLG adheres to all applicable grant conditions and government-wide and
program specific requirements that the National Park Service issues. The SHPO may require specific
uses of funds subgranted to CLGs. CLGs may not apply subgranted HPF monies as matching share
for any other Federal grant.
(f) Where there is no approved State program pursuant to §61.4, the Secretary will determine the
method for allocating funds to CLGs in that State in accordance with the procedures set forth for the
State in this section. To the extent feasible, the Secretary will ensure consistency and continuity in the
funding allocation policy of the CLG program for a State that does not have an approved historic
preservation program.
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§61.8 Tribal programs. [Reserved]
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§61.9 Grants to tribal programs. [Reserved]
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§61.10 Waiver.
The Secretary may waive any of the requirements of the rules in this part that are not mandated by
statute or by other applicable regulations if the Secretary finds, in writing, that the historic preservation
program would benefit from such waiver and the waiver would not compromise the purposes,
conditions, and requirements of the National Historic Preservation Act of 1966, as amended.
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§61.11 Information collection.
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(a) The Office of Management and Budget (OMB) under 44 U.S.C. 3507 et seq., has approved the
collection of information contained in this part. OMB has assigned clearance number 1024-0038 to this
collection of information. The National Park Service (NPS) collects this information as part of the
process for reviewing the procedures and programs of State and local governments participating in the
national historic preservation program and the Historic Preservation Fund grant program. NPS will use
the information to evaluate those programs and procedures for consistency with the National Historic
Preservation Act of 1966, as amended, and compliance with government-wide grant requirements. The
obligation to respond is required to obtain a benefit under these programs. Note that a Federal agency
may not conduct or sponsor, and a person is not required to respond to, a collection of information
unless it displays a currently valid OMB control number. NPS provides no assurance of confidentiality
to respondents with the exception of locational information concerning some properties that
government historic preservation property inventories include. Pursuant to section 304 of the National
Historic Preservation Act of 1966, as amended, NPS tightly controls release of information when such
release could have the potential of damaging those qualities which make a property historic.
(b) We estimate the public reporting burden for the collection of this information to average 14.06
hours per response, including the time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing the collection of information.
Send comments regarding this burden estimate or any other aspect of this collection of information,
including suggestions for reducing the burden, to Ms. Diane M. Cooke, Information Collection Officer,
National Park Service, 1849 C Street NW, Washington, D.C. 20240 and to the Office of Management
and Budget, Office of Information and Regulatory Affairs, Attention: Desk Officer for the Department of
the Interior (1024-0038), Washington, D.C. 20503.
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