Appendix 1 to Part 801 - Identification of Properties: General
36:3.0.6.1.2.0.1.9.3 :
Appendix 1 to Part 801 - Identification of Properties: General A.
Introduction
Because of the high probability of locating properties which are
listed in the National Register or which meet the Criteria for
listing in many older city downtowns, this appendix is designed to
serve as guidance for UDAG applicants in identifying such
properties. This appendix sets forth guidance for applicants and
does not set a fixed or inflexible standard for identification
efforts.
B. Role of the State Historic Preservation Officer
In any effort to locate National Register properties or
properties which meet the Criteria, the State Historic Preservation
Officer is a key source of information and advice. The State
Historic Preservation Officer will be of vital assistance to the
applicant. The State Historic Preservation Officer can provide
information on known properties and on studies which have taken
place in and around the project area. Early contact should be made
with the State Historic Preservation Officer for recommendations
about how to identify historic properties. For UDAG projects,
identification of National Register properties and properties which
meet the Criteria is the responsibility of the applicant. The
extent of the identification effort should be made with the advice
of the State Historic Preservation Officer. The State Historic
Preservation Officer can be a knowledgeable source of information
regarding cases wherein the need for a survey of historic
properties is appropriate, recommended type and method of a survey
and the boundaries of any such survey. Due consideration should be
given to the nature of the project and its impacts, the likelihood
of historic properties being affected and the state of existing
knowledge regarding historic properties in the area of the
project's potential environmental impact.
C. Levels of Identification
1. The area of the project's potential environmental impact
consists of two distinct subareas: that which will be disturbed
directly (generally the construction site and its immediate
environs) and that which will experience indirect effects. Within
the area of indirect impact, impacts will be induced as a result of
carrying the project out. Historic and cultural properties subject
to effect must be identified in both subareas, and the level of
effort necessary in each may vary. The level of effort needed is
also affected by the stage of planning and the quality of
pre-existing information. Obviously, if the area of potential
environmental impact has already been fully and intensively studied
before project planning begins, there is no need to duplicate this
effort. The State Historic Preservation Officer should be contacted
for information on previous studies. If the area has not been
previously intensively studied, identification efforts generally
fall into three levels:
a. Overview Study: This level of study is normally
conducted as a part of general planning and is useful at an early
stage in project formulation. It is designed to obtain a general
understanding of an area's historic and cultural properties in
consultation with the State Historic Preservation Officer, by:
(1) Assessing the extent to which the area has been previously
subjected to study;
(2) Locating properties previously recorded;
(3) Assessing the probability that properties eligible for the
National Register will be found if the area is closely inspected,
and
(4) Determining the need, if any, for further investigation.
An overview study includes study of pertinent records (local
histories, building inventories, architectural reports,
archeological survey reports, etc.), and usually some minor
on-the-ground inspection.
b. Identification Study: An identification study attempts
to specifically identify and record all properties in an area that
may meet the criteria for listing in the National Register. In
conducting the study, the applicant should seek the advice of the
State Historic Preservation Officer regarding pertinent background
data. A thorough on-the-ground inspection of the subject area by
qualified personnel should be undertaken. For very large areas, or
areas with uncertain boundaries, such a study may focus on
representative sample areas, from which generalizations may be made
about the whole.
c. Definition and Evaluation Study: If an overview and/or
an identification study have indicated the presence or probable
presence of properties that may meet the National Register Criteria
but has not documented them sufficiently to allow a determination
to be made about their eligibility, a definition and evaluation
study is necessary. Such a study is directed at specific
potentially eligible properties or at areas known or suspected to
contain such properties. It includes an intensive on-the-ground
inspection and related studies as necessary, conducted by qualified
personnel, and provides sufficient information to apply the
National Register's “Criteria for Evaluation” (36 CFR 60.6).
2. An overview study will normally be needed to provide basic
information for planning in the area of potential environmental
impact. Unless this study indicates clearly that no further
identification efforts are needed (e.g., by demonstrating that the
entire area has already been intensively inspected with negative
results, or by demonstrating that no potentially significant
buildings have ever been built there and there is virtually no
potential for archeological resources), and identification study
will probably be needed within the area of potential environmental
impact. This study may show that there are no potentially eligible
properties within the area, or may show that only a few such
properties exist and document them sufficiently to permit a
determination of eligibility to be made in accordance with 36 CFR
part 60. Alternatively, the study may indicate that potentially
eligible properties exist in the area, but may not document them to
the standards of 36 CFR part 60. Should this occur, a definition
and evaluation study is necessary for those properties falling
within the project's area of direct effect and for those properties
subject to indirect effects. If a property falls within the general
area of indirect effect, but no indirect effects are actually
anticipated on the property in question, a definition and
evaluation study will normally be superfluous.
Appendix 2 to Part 801 - Special Procedures for Identification and Consideration of Archeological Properties in an Urban Context
36:3.0.6.1.2.0.1.9.4 :
Appendix 2 to Part 801 - Special Procedures for Identification and
Consideration of Archeological Properties in an Urban Context
A. Archeological sites in urban contexts are often difficult to
identify and evaluate in advance of construction because they are
sealed beneath modern buildings and structures. Prehistoric and
historic sites within cities may be important both to science and
to an understanding of each city's history, however, and should be
considered in project planning. Special methods can be used to
ensure effective and efficient consideration and treatment of
archeological sites in UDAG projects.
1. If it is not practical to physically determine the existence
or nonexistence of archeological sites in the project area, the
probability or improbability of their existence can be determined,
in most cases, through study of:
a. Information on the pre-urban natural environment, which would
have had an effect on the location of prehistoric sites;
b. Information from surrounding areas and general literature
concerning the location of prehistoric sites;
c. State and local historic property registers or
inventories;
d. Archeological survey reports;
e. Historic maps, atlases, tax records, photographs, and other
sources of information on the locations of earlier structures;
f. Information on discoveries of prehistoric or historic
material during previous construction, land levelling, or
excavation, and
g. Some minor on-the-ground inspection.
2. Should the study of sources such as those listed in section
(1)(a) above reveal that the following conditions exist, it should
be concluded that a significant likelihood exists that
archeological sites which meet the National Register Criteria exist
on the project site:
a. Discoveries of prehistoric or historic material remains have
been reliably reported on or immediately adjacent to the project
site, and these are determined by the State Historic Preservation
Officer or other archeological authority to meet the Criteria for
the National Register because of their potential value for public
interpretation or the study of significant scientific or historical
research problems; or
b. Historical or ethnographic data, or discoveries of material,
indicate that a property of potential cultural value to the
community or some segment of the community (e.g., a cemetery) lies
or lay within the project site; or
c. The pre-urbanization environment of the project site would
have been conducive to prehistoric occupation, or historic
buildings or occupation sites are documented to have existed within
the project site in earlier times, and such sites or buildings are
determined by the State Historic Preservation Officer or other
archeological authority to meet the Criteria of the National
Register because of their potential value for public interpretation
or the study of significant scientific or historical research
questions, and
d. The recent history of the project site has not included
extensive and intensive ground disturbance (grading, blasting,
cellar digging, etc.) in the location, or extending to the depth at
which the remains of significant sites, buildings, or other
features would be expected.
B. Where review of sources of information such as those listed
in section (1)(a) above reveals no significant likelihood that
archeological resources which meet the National Register Criteria
exist on the project site, no further review is required with
respect to archeology provided the State Historic Preservation
Officer concurs.
C. Where review of sources of information such as those listed
in section (1)(a) above, reveals that archeological resources which
meet the National Register Criteria are likely to exist on the
project site, but these resources are so deeply buried that the
project will not intrude upon them, or they are in a portion of the
project site that will not be disturbed, a determination of “No
Effect” is appropriate in accordance with § 801.3(c)(2)(i).
D. Where review of sources of information such as those listed
in section (1)(a) above, reveals that archeological resources which
meet the Criteria exist or are likely to exist on the project site,
and that the project is likely to disturb them, a determination of
“No Adverse Effect” may be made in accordance with §
801.3(c)(2)(ii) if:
1. The applicant and/or developer is committed to fund a
professionally supervised and planned pre-construction testing
program, and to modification of the project in consultation with
the State Historic Preservation Officer to protect or incorporate
within the project the archeological resources discovered with a
minimum of damage to them, or if:
2. The applicant and/or developer is committed to fund a
professionally supervised and planned archeological salvage
program, coordinated with site clearing and construction, following
the standards of the Secretary of the Interior issued pursuant to
the Archeological and Historic Preservation Act (16 U.S.C. 469) and
the applicant finds that this program negates the adverse effect,
in accordance with the standards set forth in section X of the
Council's “Supplementary Guidance for Review of Proposals for
Treatment of Archeological Properties” (45 FR 78808).
E. When archeological sites included in the National Register or
which meet the Criteria are found to exist on the project site or
in the area of the project's environmental impact, and where the
project is likely to disturb such resources, and where the adverse
effect of such disturbance cannot be negated by archeological
salvage, a determination of “Adverse Effect” is appropriate in
accordance with § 801.3(a)(2)(iii).