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munity values, over and above the primary role as a traffic artery.
proposals upon cultural resources and to aid reviewers in evaluating the discussions of cultural resources in environmental statements.
Parts Two and Three of the report are concerned with the second purpose, and include discussions regarding improvements to the public hearing process, a more effective level of communications between the highway department and the community, and suggested techniques for mitigating or minimizing any potential negative impact of a proposed highway facility. While the main thrust of this report is aimed at creating a better working climate and a greater spirit of cooperation among highway planners and preservationists, the techniques presented here are applicable to other activities of DOT, especially airport location and flight path studies, rail and rapid transit line location studies, and the location and design of other transportation facilities.
Cultural resources are sites, structures, objects, and districts significant in history, architecture, archeology, or culture. Although the definitions necessarily overlap, cultural resources are frequently defined in categories. The term "cultural resources" includes the following:
Archeological resources-occupation sites, work areas, evidence of farming or hunting and gathering, burials and other funerary remains, artifacts, and structures of all types, usually dating from prehistoric or aboriginal periods, or from historic periods and non-aboriginal activities for which only vestiges remain;
The techniques and procedures outlined in this report are meant to identify the kinds and range of resources that should be considered in all Department of Transportation planning acitivities, as well as suggesting improvements to existing and current procedures, especially the conduct of public hearings required by law. It is important to note here that all of the various studies, inventory processes and funding techniques may not be applicable to every state or region involved in DOT planning activities. We hope this report can serve as a model for the development of effective programs for the consideration (through catalog, inventory or whatever systematic approach) of each state's cultural and historic resources.
Historic resources-sites, districts, structures, objects, or other evidences of human activities that represent facets of the history of nation, state, or locality; places where significant historical or unusual events occurred even though no evidence of the event remains; or places associated with a personality important in history;
First of all, how can we describe such historic and cultural resources? The U.S. Department of the Interior in its 1973 Guidelines for Environmental Impact Statements has adopted certain language for specifying what it means by "historic and cultural properties." According to Interior:
Architectural resources-structures, landscaping, or other human constructions that possess artistic merit, are particularly representative of their class or period, or represent achievements in architecture, engineering, technology, design, or scientific research and development; such resources often are important for their archeological or historical value as well.
In addition, the term cultural resources can include districts, sites, structures, and objects important to an indigenous culture, a subculture, or a community for traditional, spiritual, religious, or magical reasons, as well as places important for the artistic, recreational, or other community activities that take place there.
Cultural resources-resources of historical, archeological, or architectural significance-are fragile, limited, and non-renewable portions of the human environment. In compliance with the National Environmental Policy Act (83 Stat. 852), cultural resources should be discussed in environmental statements, in terms of their existence as environmental resources and in terms of the expected impact upon them of proposed Federal actions. Compilation of supportive data for such discussions is the responsibility of the agency preparing environmental statements. These guidelines are intended to assist Federal agencies in assessing impacts of
Historic District-Maryland's Colonial Annapolis District contains an inventory of 120 Eighteenth Century buildings, many altered, as well as National Landmarks like the Statehouse and Hammond-Harwood House. Streets within the Old Town have been widened and a few street names altered, but the original plan is little changed.
PART ONE-THE HISTORIC AND CULTURAL RESOURCES INVENTORY
1. RESPONSIBILITY FOR THE INVENTORY
A thorough inventory of the existing historic resources of any given study area is prerequisite to any meaningful program of historic preservation. In this manual, the term "historic site" is meant to include all "districts, sites, buildings and objects significant in American history, architecture, archeology and culture." If such sites are to be considered in the highway decision making process, they must be brought to the attention of the planners, and their location, size, use, condition and relative importance must be recorded and mapped.
In some instances, especially in urban areas, historic or architectural inventories will have been completed (Savannah, Charleston, Annapolis, Boston). If professionally competent and acceptable to state and local preservation agencies, such inventories should be used as the basis for additional inventory work specifically developed to identify potential problem areas regarding preservation and highway planning. In most cases, however, historic or architectural inventories will either not exist or be of limited value. Many earlier architectural inventories are now out of date, were initially too limited in coverage, geographically or in kinds of items inventoried, or were primarily limited to the so-called landmark structures, the very best of a community. To rectify this situation and to provide a broader range of architectural, archeological and historic inputs, it will be necessary in almost every case at least partially to inventory all areas that may be affected by highway planning activities.
An exception to this is the project now being completed by each federal agency, with the cooperation of the individual State Historic Preservation Officers, to "locate, inventory, and nominate to the Secretary of the Interior all sites, buildings, districts and objects under their jurisdiction or control that appear to qualify for listing on the National Register of Historic Places," under Executive Order 11593 (Appendix B) or a specific site proposed for other federal action. In the case of sites remaining above ground and in view, i.e., historic sites, structures and buildings of architectural or cultural significance and other visible remains, the inventory work can be divided into two phases, the pre-corridor selection phase and the preliminary route selection phase.
With regard to archeological surveys, inventory work is normally separated into two phases. The first is a research and preliminary field reconnaissance study aimed at simply identifying archeological sites and corresponds in time to the pre-corridor selection phase of the highway planning process. The second part of an archeological survey, corresponding to the pre-design phase, is concerned with field testing the previously identified sites to determine their significance and relative value, and to estimate salvage costs for sites which might be demolished by highway right-of-way or material pit construction. Each of the various stages of these two types of inventories are discussed in later sections of this chapter.
Ideally, architectural and historic inventory data should be available on a statewide basis before any highway or other planning is started, but it is recognized that complete, thoroughly documented statewide inventories of historic and cultural sites of national state or local significance will not be available for some time. Therefore, most inventory work will of necessity be carried out in direct response to requests for information regarding a specific set of alternative highway corridor locations.
While the Department of Transportation recognizes that much inventory work will be in direct response to proposed new highway construction, it strongly urges that advance inventories can be com pleted whenever and wherever possible. Areas that should be studied first as part of a continuing inventory process include existing interstate highways, U.S. and state primary routes and most secondary routes, especially segments of these facilities that serve expanding areas or are most likely to be upgraded in the near future. These types of highways are subject to the greatest amount of change through federally aided projects-widenings,
State nominations, submitted by the State Historic Preservation Officer and approved by a State Board of Review, comprise the largest number of entries to the National Register. (Other ways of placing a property on the National Register include prior listing by the Park Service as a National Historic Landmark, by virtue of the property being one of the historical or archeological units of the National Park System and nominations required under Executive Order 11593, Protection and Enhancement of the Cultural Environment (see Appendix B)). Because of the vast scale of the Register program and its recency, in most states only the most important and best known properties have been recommended to date. This is likely to continue for some time to come, and to be effective the National Register listings must be supplemented to recognize the great number of buildings and sites of less than national significance that contribute to the architectural and cultural importance and character of a community. In addition, the inventory should take into account indigenous local building types, patterns of settlement, unique or important landforms and natural features and other conditions. While the inventory techniques presented in this manual are aimed at establishing consistency in methodology, criteria and reporting and recording techniques, it is obvious that each inventory will have to be modified and structured to meet the local situation. An historic resources inven. tory for a proposed interstate highway project in New Mexico will yield far different data than an inventory in Rhode Island.
*The Museum of New Mexico, under contract to the New Mexico State Highway Commission, has completed a systematic inventory of archeological sites located within 1000 feet of the center line of all interstate, primary and most secondary highways in the State. The results of the statewide "Highway Cultural Inventory" which listed 696 sites, have been incorporated into long-range planning by the Planning Division of the New Mexico State Highway Commission. Such an inventory cannot be funded by every state highway agency and this point must be determined in each state.
The recommended inventory criteria presented in this manual are sufficiently flexible to allow for such regional differences. Provisions are also made to permit the inclusion of items identified during subsequent field surveys or construction activities. Experience has shown that an architectural-historic inventory is never complete, since new information and physical evidences are continually being uncovered. And in some cases, especially with regard to archeological sites, significant findings are often made during the actual survey and construction phases. On such occurrences the state highway department concerned with the project should instruct all contractors to immediately stop work in the affected area until proper inspection, recording, photography, and if called for, salvage operations have been completed.
t The National Register of Historic Places is a record maintained by the National Park Service, U.S. Department of the Interior of structures, sites, areas and objects significant in American history, architecture, archeology and culture. It includes historical areas in the National Park System, National Historic Landmarks, and properties of state and local significance nominated by the states and approved by the National Park Service. A list of properties included in the National Register is published annually in the Federal Register. Additions and revisions are published periodically in the Federal Register and are available biannually in a published version from the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. (Grants for Historic Preservation, a HUD Guide, August 1970). See Appendix A, Federal Register, February 28, 1973, Part II.
B. The State Historic Preservation Agency and the
State Historic Preservation Officer
While the U.S. Department of Transportation funds up to 90% of all Federal-aid highway projects, all planning and construction activities are carried out by the individual state highway departments. The preparation of the Historic and Cultural Resources Inventory should be a function of the highway planning process, yet few state highway departments will be staffed to undertake such a specialized inventory; others cannot legally do so under their own state laws controlling the expenditure of state highway funds. It is anticipated that the actual inventory work will be completed by staff members of state agencies other than the state highway departments or by outside consultants.
Because many states have state preservation agencies of one form or another already functioning, where possible it is recommended that the actual inventory be completed for the state highway department by the staff of the SHPA, or its consultants, under the direction of the SHPO. The role of the SHPO is further amplified by the requirements of DOT Policy and Procedure Memorandum 90-1, which specifies that highway sections involving historic sites on the National Register of Historic Places shall be coordinated with the State Historic Preservation Officer and representatives of the Advisory Council on Historic Preservation.
The recently published Guidelines for State Historic Preservation Legislation states the "the fundamental responsibility for preservation activities is assigned to a State Historic Preservation Agency (SHPA), though it is recognized that the administrative structure of certain states may require the assignment of these functions to one or more related agencies." The guidelines also recommend the creation of a new position of director of the SHPA called the State Historic Preservation Officer (SHPO) who will assume the responsibilities of state liaison, a position established as a result of the National Historic Preservation Act of 1966. As originally envisioned, the SHPO is the state official responsible for administering state activities with respect to the National Register of Historic Places, and is charged with the responsibility of consulting with any Federal agency whose proposed undertaking would affect a property on the Register.
The SHPO is appointed by the governor, and in most cases reports directly to him, which affords direct involvement by the state's highest officer in critical situations. This will provide an added safeguard to the preservationist, in that many highway departments are not under the direct control of the governor, especially insofar as budgetary activities. As mentioned, the SHPO should direct and coordinate the Historic and Cultural Resources Inventory, using staff or consultants to the SHPA. The name of the agency is of no concern, nor is the status of the surveyor-the key to a competent inventory being its completion by a permanent state agency using qualified professional staff.