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2020_9_8_Meeting
Agenda Heritage Preservation Commission City Of Edina, Minnesota Virtual Meeting This meeting will be held electronically using Webex software. The meeting will be streamed live on the City’s YouTube channel, YouTube.com/EdinaTV or you can listen to the meeting via telephone by calling 1-415-655-0001, access code 133 897 6583. Tuesday, September 8, 2020 7:00 PM I.Call To Order II.Roll Call III.Approval Of Meeting Agenda IV.Approval Of Meeting Minutes A.Minutes: August 17, 2020 Heritage Preservation Commission V.Sketch Plans A.4634 Edgebrook Sketch Plan VI.Reports/Recommendations A.4100 W 76th Street B.4630 Drexel Ave COA C.2021 HPC Work Plan D.Biographical Sketch-S. S. Thorpe VII.Special Recognitions And Presentations A.Preservation Basics VIII.Chair And Member Comments A.Lonnquist CCD Survey Summary IX.Sta6 Comments A.Preserve MN-State Preservation Conference X.Adjournment The City of Edina wants all residents to be comfortable being part of the public process. If you need assistance in the way of hearing ampli:cation, an interpreter, large-print documents or something else, please call 952-927-8861 72 hours in advance of the meeting. Date: September 8, 2020 Agenda Item #: IV.A. To:Heritage Preservation Commission Item Type: Minutes From:Emily Bodeker, Assistant City Planner Item Activity: Subject:Minutes: August 17, 2020 Heritage Preservation Commission Action CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: Approve the August 17, 2020 Heritage Preservation Commission meeting minutes. INTRODUCTION: ATTACHMENTS: Description August 17, 2020 Heritage Preservation Commission minutes Draft Minutes☒ Approved Minutes☐ Approved Date: Minutes City of Edina, Minnesota Heritage Preservation Commission VIRTUAL MEETING Monday, August 17, 2020 I. Call To Order Chair Schilling called the meeting to order at 7:02 p.m. II. Roll Call Answering roll call were members Pollock, Cundy, Birdman, Widmoyer, Everson, Hassenstab and Chair Schilling. Emily Bodeker, staff liaison, was also in attendance. III. Approval of Meeting Agenda Motion made by Pollock seconded by Widmoyer to approve the meeting agenda as presented. All voted aye. The motion carried. IV. Approval of Meeting Minutes Motion made by Pollock seconded by Widmoyer to approve the meeting minutes from the virtual July 14, 2020 meeting. All voted aye. The motion carried. V. Special Recognitions and Presentations A. Wooddale Bridge Sketch Plan Engineering Director, Chad Millner and Jeff Johnson from SEH introduced the HPC to the Wooddale Bridge and provided background on the potential future project. The HPC discussed the bridge and asked questions about the timing of the project and the safety of the bridge and provided feedback and comments on the information presented. B. 4630 Drexel Sketch Plan Scot Busyn of Great Neighborhood Homes introduced a proposed project at 4630 Drexel Avenue. The project included an addition and changes to the street facing facades. The addition would require a rear yard setback variance. The Commission gave feedback on the position of the garage and the scale of the front entry. VI. Reports/Recommendations A. COA Update: 4504 Arden Avenue Draft Minutes☒ Approved Minutes☐ Approved Date: Liaison Bodeker explained the update to the COA that was previously approved at 4504 Arden Avenue. The previous COA that was approved was conditioned to the proposed garage meeting the setback requirements (including the overhangs and eaves). The applicant chose to resubmit the garage elevations to the Heritage Preservation Commission that didn’t have any overhangs. Motion by Birdman seconded by Cundy to approve the updated COA at 4504 Arden Avenue. All voted aye. The motion carried. B. 2021 Work Plan Discussion The Commission reviewed the draft 2021 work plan and decided which commissioners would work on which work plan items in 2021. The commission will review a final draft of the 2021 work plan in September. VII. Chair and Member Comments: The Commission expressed a desire to follow up on the upcoming inspection of the Wooddale Bridge. VIII. Staff Comments: None. IX. Adjournment Motion by Birdman seconded by Pollock to adjourn the Heritage Preservation Commission meeting at 9:30 p.m. All voted aye. The motion carried. Respectfully submitted, Emily BodekerEmily BodekerEmily BodekerEmily Bodeker Date: September 8, 2020 Agenda Item #: V.A. To:Heritage Preservation Commission Item Type: Other From:Emily Bodeker, Assistant City Planner Item Activity: Subject:4634 Edgebrook Sketch Plan Discussion CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: INTRODUCTION: ATTACHMENTS: Description 4634 Edgebrook Pl Sketch Plan Submittal Edgebrook Edina, Minnesota MI N N E H A H A C R E E K Δ Δ ED G E B R O O K P L A C E 36'-838"10' - 0 "Screen PorchOfficeNookPowderAnteFront PorchFormalPowderFrontStoopEntryLiving RoomStairsDiningOfficeKitchenMud RoomSideStoopPantryRearPowderSun RoomGarageLockersTerraceMainHallOfficeAnteRear StoopGarageStorageGarageStairs42'-73 4" 29'-218" Garden Shed 12' - 0 "20'-0"Main Level with Site Plan 3/32nd inch scale Main Level Plan 1/8th inch scale Screen Porch Office Nook PowderAnte Front Porch FormalPowder FrontStoop Entry Living Room Stairs Dining Office Kitchen Mud Room SideStoop Pantry RearPowder Sun Room Garage 15'-0"17'-914"8'-5"26 30 6'-8"6'-6"7'-912"11'-0"6'-8"24" d. cubbiesLockers5'-1014"6'-8" 28 24 5'-1"6'-10"12'-1112"11'-0"8'-012"7'-112"11'-1112"13'-712" 23'-912" 5'-0"4'-6"3'-1114"10'-0"4'-612"11'-434"6'-612"Down x R23'-312"35'-1"36 c.o.36 c.o.5'-0"5'-1" 28 c.o. 46 c.o. 46 c.o. 46 c.o.5'-0"Terrace 28 20'-912"4'-214" 3783 6'-6" 20'-6"31'-8"20'-6"13'-2"11'-6"8'-6"7'-0"Pair of28 doors 28 30 36 26 28 8'-6"13'-0" 15'-912" 48" Ø table 27'-212"1'-8"flushhearth "Isokern"Magnum 42"w/ gas log 1'- 8 " flu s hhea r t h 50 opng Eq.Eq. "Isokern"Magnum 36"w/ gas log 28 15'-1"10'-0"24" d. wndw seat & storage4'-3"MainHall Tv Up 18 RPair of30 doors room layout ? appliances ?60" range w/ hood10'-0" w. x 8'-0" h. o.h. door w/perimeter weatherstrippingEqual Equal 5'-6"door ?16'-134"Open to abv.& below2'-0"4'-0"Bar area OfficeAnte 7'-912"5'-914"Rear StoopDown grill 24" frzr36" ref. 36" sink 4'-912"Trash /recycle D.w. 16'-7" GarageStorageDown 30 StackedW/D 30 11'-6"9'-612"4'-0"3'-6"GarageStairs wndw layout ? 18" d. cabs 6'-712" 46 c.o. 28 dualaction Prepsink 30 Preliminary Front Elevation 1/8th inch scale Preliminary Back Elevation 1/8th inch scale Preliminary Left Elevation 1/8th inch scale Preliminary Right Elevation 1/8th inch scale 2021 Xref .\Site.dwg1/8” = 1’0” Street and Existing Comparison No Scale Preliminary Front Rendering Preliminary Entry Rendering Preliminary Side Entry Rendering Preliminary Front Rendering Date: September 8, 2020 Agenda Item #: VI.A. To:Heritage Preservation Commission Item Type: Report and Recommendation From:Stephanie Hawkinson, Affordable Housing Manager Item Activity: Subject:4100 W 76th Street Action CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: Motion to approve the proposed plans for memorializing the cultural history of 4100 W 76th Street. INTRODUCTION: ATTACHMENTS: Description SHPO Final Determination Letter Approved Plans MINNESOTA STATE HISTORIC PRESERVATION OFFICE 50 Sherburne Avenue ▪ Administration Building 203 ▪ Saint Paul, Minnesota 55155 ▪ 651-201-3287 mn.gov/admin/shpo ▪ mnshpo@state.mn.us AN EQUAL OPPORTUNITY AND SERVICE PROVIDER September 2, 2020 VIA E-MAIL Ms. Jennifer Wille Minnesota Housing Finance Agency 400 Wabasha Street North, Suite 400 Saint Paul MN 55012 RE: Demolition of Former Flyte Tyme Studios and Construction of “The Sound on 76th” Apartment Building at 4100 West 76th Street Edina, Hennepin County SHPO Number: 2020-0912 Dear Ms. Wille, We last wrote to you on February 21, 2020, a letter in which our office provided comments in response to your agency’s historic property identification efforts, pertaining to the former Flyte Tyme Studios eligibility for listing in the National Register of Historic Places, and Section 106 finding of effect for the above-referenced federal undertaking. As you know, our office reviewed the report titled “Flyte Tyme Studios (formerly Twin City Biscuit Co.) Building Historic Evaluation, 4100 West 76th Street, Edina, Minnesota” (Summit Envirosolutions, January 2019) which was provided by your agency as part of the Section 106 review. After reviewing the evaluation report, our office concurred with the consultant’s finding that Flyte Tyme Studios (SHPO Inventory Number HE-EDC-00661) is ineligible for listing in the National Register of Historic Places (National Register), despite the property’s likely significance under Criterion A for events contributing to the broad patterns of the music industry, and likely significance under Criterion B for its association with James “Jimmy Jam” Harris and Terry Lewis, both of whom have made substantial contributions to the Minneapolis Sound and the music industry as a whole. Since there were no other identified historic properties within an assumed area of potential effect, our office determined that no historic properties would be affected by the proposed federal undertaking. On August 17-18 and August 24, 2020, our office received via e-mail, several letters and supporting documentation from individuals and organizations interested in the historic significance of the former Flyte Tyme Studios building and the proposed demolition as part of this federal undertaking. The following letters, except for Stonebridge Learning LLC, were addressed to Stephanie Hawkinson, City of Edina, and Amy Spong, Deputy State Historic Preservation Officer: • Memorandum dated August 17, 2020 and August 24th follow-up “Jimmy Jam and Terry Lewis, 1988-2003” historic context document from Kristen Zschomler, Sound History LLC; • Letter dated August 17, 2020 from Barbara Howard, Director of Heritage Preservation, Stonebridge Learning LLC; • Memorandum dated August 17, 2020 from Charlene Roise, Historian; • Letter dated August 18, 2020 from Katherine Haun Schuring, Advocacy Committee Chair, Preserve Minneapolis; and • Letter dated August 18, 2020 from Todd Wright, Acting Executive Director, on behalf of the Rethos: Places Reimagined Staff & Board of Directors. Most of the letters are from Historians and Architectural Historians who meet the Secretary of the Interior’s Professional Qualification Standards and provide narrative analyses of the January 2019 Summit Envirosolutions evaluation as well as the individuals’ own historic context documentation and re-evaluation of Flyte Tyme Studios. On August 19, 2020 our office provided written notices via email, with courtesy copy to David Nuccio, U.S. Department of Housing & Urban Development, alerting your agency that our office had received new information regarding the historic significance of the Flyte Tyme Studios building from credible interested parties. As part of our notification to your agency, we forwarded all five letters to you that day as well. Successive email communications among our office, your agency, and HUD, in the days following, indicated that our office would proceed with a full evaluation of the new information regarding the historic significance of Flyte Thyme Studios and provide you with an updated opinion regarding eligibility for listing in the National Register. Our review and analysis of the new information is complete, and our comments and conclusion are provided herein. Evaluation of New Information Flyte Tyme Studios faces two principal challenges to its listing in the National Register. First, although Jimmy Jam and Terry Lewis are plainly significant individuals as defined in National Register Bulletin 15: How to Apply the National Register Criteria for Evaluation, which states that “properties may be eligible for the National Register if they are associated with the lives of persons significant in our past,” the bulletin continues: Properties associated with living persons are usually not eligible for inclusion in the National Register. Sufficient time must have elapsed to assess both the person’s field of endeavor and his/her contribution to that field. Generally, the person’s active participation in the endeavor must be finished for this perspective to emerge. Both Jimmy Jam and Terry Lewis continue to be a part of the music industry today. The second challenge to Flyte Tyme Studio’s listing in the National Register is that it has achieved significance within the last fifty years. Again, National Register Bulletin 15: How to Apply the National Register Criteria for Evaluation states: Fifty years is a general estimate of the time needed to evaluate significance. This consideration guards against the listing of properties of passing contemporary interest and ensures that the National Register is a list of truly historic places. The additional documentation on Flyte Tyme Studios submitted to our office August 17-18 and 24, 2020 rightly notes that a property that is less than fifty years old can be determined eligible for listing in the National Register if it can be demonstrated that the property is “exceptionally significant.” For example, Sound 80, a studio in south Minneapolis, was recently listed in the National Register. The events that made Sound 80 historically significant ended in 1981, which is thirty-nine years ago. For Sound 80, both MN SHPO and the National Park Service concluded that a thirty-nine-year historical perspective was enough to evaluate Sound 80 as exceptionally significant and worthy of a National Register listing. The additional documentation recently submitted to our office stresses that Flyte Tyme Studios also meets the exceptional significance standard. Further, the additional documentation questions the analysis in the original evaluation study of Flyte Tyme Studios, believing its focus too narrow, based on research that is lacking, and in some instances is simply incorrect. While it is true that the additional documentation offers information that was not presented in the original eligibility study for Flyte Tyme Studios, it is also true that Flyte Tyme Studios still faces the challenges mentioned above. And unlike Sound 80, where the events that make the property historically significant ended thirty-nine years ago, the events that make Flyte Tyme Studios historically significant ended in 2003, only seventeen years ago. It is the very limited historical perspective, coupled with the convention that properties associated with living persons are usually not listed in the National Register, that convinces our office that it is unlikely Flyte Tyme Studios would be found exceptionally significant at this moment in time and placed in the National Register. This belief is reinforced by the National Park Service, which recently concluded the same regarding Flyte Tyme Studios’ eligibility. Therefore, based upon our review and consideration of the new information submitted to our office by qualified parties with an interest in this property and the proposed federal undertaking, it is our opinion that the February 2020 determination of Flyte Tyme Studios as not eligible for listing in the National Register remains valid. Please feel free to contact me at (651) 201-3290 or sarah.beimers@state.mn.us if you would like to discuss the comments provided in this letter. Sincerely, Sarah J. Beimers Environmental Review Program Manager Cc via email: David Nuccio, Field Environmental Officer in MN and WI, HUD Nancy Boone, Federal Preservation Officer, HUD Stephanie Hawkinson, Affordable Housing Development Manager, City of Edina Sarah Harris and Leslie Roering, Aeon Angela Christy, Faegre Drinker Biddle & Reath LLP Kristen Zschomler, Sound History LLC Barbara Howard, Stonebridge Learning LLC Katherine Haun Schuring, Preserve Minneapolis Todd Wright, Rethos Charlene Roise Ribbed Vertical Fiber Cement Panel Mother of PearlVertical Fiber Cement PanelWhiteBrick - DarkFiberglass windows w/ painted window shroudsWood slat facadeEDINA, MN / 05.21.2019 / 18-00154100 W 76th St7PERSPECTIVEEDINA, MN / 08.01.2019 / 18-0015 4100 W 76th St Date: September 8, 2020 Agenda Item #: VI.B. To:Heritage Preservation Commission Item Type: Report and Recommendation From:Emily Bodeker, Assistant City Planner Item Activity: Subject:4630 Drexel Ave COA Action CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: Approve the certificate of appropriateness request at 4630 Drexel Avenue. INTRODUCTION: The subject property, 4630 Drexel Avenue is located on the north west corner of Drexel Avenue and Country Club Road. The home built in 1924 is a Mediterranean style. The Certificate of Appropriateness request entails an addition to the home that is visible from Country Club Road, Wooddale Lane and Drexel Avenue. The project also includes changes to multiple street facing facades. ATTACHMENTS: Description Staff Report Applicant Submittal Consultant Vogel Memo Aerial Map September 8, 2020 Heritage Preservation Commission Emily Bodeker, Assistant City Planner COA: 4630 Drexel Avenue-Changes/Addition to Street Facing Facades Information / Background: The subject property, 4630 Drexel Avenue is located on the north west corner of Drexel Avenue and Country Club Road. The home built in 1924 is a Mediterranean style. The Certificate of Appropriateness request entails an addition to the home that is visible from Country Club Road, Wooddale Lane and Drexel Avenue. The project also includes changes to multiple street facing facades. The proposed project would also require a variance from the Planning Commission. The proposed addition requires a 15-foot rear yard setback variance from the 25-foot rear yard setback requirement. The variance request is scheduled to be heard by the Planning Commission at the September 23rd Planning Commission meeting. Primary Issues: The proposed additions will be visible from both street facades of the subject property which is why the proposed project requires a Certificate of Appropriateness. The District plan of treatment recommends rehabilitation as the most appropriate treatment for historic homes in the Country Club District. The general standards outlined in the plan of treatment allow for the construction of structural additions provided the new work is architecturally compatible with the historic house and other historic homes in the neighborhood. Preservation Consultant Robert Vogel’s Comments: “I have reviewed the plans and other information provided in relation to the Certificate of Appropriateness (COA) application for renovation of the house located at 4630 Drexel Avenue in the Country Club District. A COA was approved in 2019 for a similar renovation project involving the STAFF REPORT Page 2 same house, but little or no work was apparently done. The applicant has modified the project to reflect changes in the floor plan, building mass and organization, while retaining the most important Spanish Colonial Revival style architectural elements on the two street-facing facades. The subject property is not individually eligible for designation as an Edina Heritage Landmark; however, it is considered a contributing heritage preservation resource in the Country Club Heritage Landmark District. COAs are required for new construction (including building additions) under city code section 36-722. The application notes that a zoning variance may be required for the new attached garage. These kinds of encroachments on setback requirements are not considered heritage resource management issues and therefore should not affect design review decisions for COAs. When the house at 4630 Drexel Avenue was built in 1924, the deed restrictions imposed by the developer included dimensional standards for front and side yard setbacks and lot coverage, but did not proscribe rear yard setbacks. It is also worth noting that the proposed additions and façade alterations would have complied with all of the architectural standards contained in the original Thorpe Bros. deed restrictions. Based on the plans presented, the proposed additions and alterations appear to meet the general standards for rehabilitation projects referenced in the district plan of treatment. The new construction has been designed to be compatible with the original house and consistent with the size, scale and massing of nearby historic houses and streetscapes; the attached garage and second-story rear addition are also typical of the broad pattern of post-1945 development in the surrounding neighborhood. If they were to be removed in the future, the new additions would leave the essential form and integrity of the property unimpaired. No primary historic character defining Spanish Colonial Revival style architectural features will be removed and the changes to the street facing facades (on the Drexel Avenue and Country Club Road elevations) should not detract from the property’s historic character or adversely affect the district’s sense of time and place. In my professional opinion, the proposed work is an appropriate rehabilitation treatment and the subject property will continue to contribute to the historical significance of the Country Club District after the work is completed. I recommend approval of the COA.” Staff Recommendation & Findings: Staff concurs with Consultant Vogel’s evaluation of the proposed plans for 4630 Drexel Avenue, also recommending approval of the Certificate of Appropriateness request. Findings supporting the recommendation include: • The information provided supporting the subject Certificate of Appropriateness is consistent with the Country Club District Plan of Treatment. Conditions for approval: • Any changes to the proposed plans would require review from the Heritage Preservation Commission. • The proposed addition would not detract with the historic character of the house. 4630 Drexel Avenue Refresh and Addition COA Submittal John and Cathy Wolf Narrative We are looking to refresh the residence of 4630 Drexel Ave and bring the design & construction into today's living. We want to achieve this while carrying forward the historic Spanish Colonial elements of the existing home. We are incorporating elements from the Spanish Colonial style including two story wall heights, white stucco wall finish, compound low pitched gable roofs with gable corbel details, maintaining the street facing chimney, arched windows/openings, and metal balconies/railings. We accomplished this through the support & guidance given by adjacent neighbors' letters and they are all anxious for us to get started on this project. Our goal is to refresh this house and add value to the community that will create a beautiful new home that we and the neighborhood will enjoy for years to come! We were previously granted a COA for this project in January, 2019. After spending more time looking at the approved plans, we realized there were a few changes we wanted to make. The new plan is a better floor plan for how we live. The new plans are also an improvement for us and the neighborhood in the following ways: 1.We realized that the new garage/upper level addition of the old plan was too massive, blocked significant sunlight into the home and blocked all views of our children playing in the driveway/yard area. 4630 Drexel Avenue fronts the main entrance to the Country Club District. The intersection of Drexel/Country Club Road/Wooddale Avenue is sometimes referred to as “spaghetti junction.” There are 6 flows of traffic coming to this one intersection (Drexel Northbound and Southbound, Country Club East and Westbound, Wooddale North and Southbound). Adjacent to 4630 Drexel there are 5 stop signs, 1 yield sign, 2 keep right signs, 1 do not enter sign, 4 bike route signs, 8 driveways and 2 traffic islands). By pulling the mass of the new addition back, the new plan allows better views of our children outside and in the side yard (which is the only “back yard” of this property). This new plan will make the new home safer for our family. It is also a better plan for preventing car headlights from shining into our sleeping areas. 2. The new plan pulls the mass of the rear 2 story addition further away from the street than the old plan. This makes the new home look less massive from Country Club Road and has better articulation than the old plan. The garage addition on the old plan was 32’ from the Country Club Road setback. The garage on the new plan will be approximately 58’ from the Country Club Road setback. As shown on the site plan, this will hide the garage in the rear. The new garage will also be blocked from view by the wing wall of the new addition and a row of trees. It is worth noting that street-facing attached garages are very common in the District (38 out of the 68 corner lots-see attachment). This new garage addition will require a 15’ rear lot line setback variance from the Planning Commission as it is 10’ from the rear lot line. The adjacent attached garage at 4625 Wooddale is 5.3 from their rear lot line so this is a condition existing in the area and other corner lots in the District (5 other corner lot homes in Country Club adjacent to busy traffic islands have attached street-facing garages less than 25’ from the rear for line - see attachment). 3. The new plan is more in character with the existing home. It is a more modest vernacular house that maintains more of the existing design elements. The two story addition on the west end is less massive looking from the street. We feel this will be a better fit for the District than the previous plan. 4. The new plan eliminates the non-conforming 8’ setback on the north side of the home. 5. The old plan had 2 steps down from the foyer to the dining room/kitchen area. The new plan lowers the foyer to create one level floor with no sunken areas 6. The new plan has a covered entry over the front door. After feedback at the sketch plan review, we made the covered entry shallower and narrower (from 8’ x 12’ to 4’ x 11’). This is a common element on Spanish Colonial/Mediterranean homes in the District such as these examples: Comparing East/Drexel Avenue Elevations (existing, old plan, new plan) Comparing South/Country Club Road Elevations (existing, old plan, new plan) Comparing West /Facing 4625 Wooddale Garage Elevations (existing, old plan, new plan) Comparing North /Facing 4626 Drexel Elevations (existing, old plan, new plan) Existing Streetscapes ExitExisting Front Facing Drexel ExitExisting Front Country Club Road ExitExisting View From in front of 4626 Drexel ExitExisting Front Country Club Road Towards 4625 Wooddale Existing Streetscapes ExitExisting View House to West 4625 Wooddale ExitExisting View House to North 4626 Drexel ExitExisting House to North 4626 Drexel ExitExisting Double Lot Between 4630 and 4626 Drexel Existing Streetscapes ExitView North of 4630 Drexel ExitView House to West 4625 Wooddale ExitExisting View House to West 4625 Wooddale ExitExisting View House to West 4625 Wooddale Comparing Streetscapes Old Plan to New Plan (Drexel View) Comparing Streetscapes Old Plan to New Plan (Country Club View) Existing Home Site Plan Old Home Plan Site Plan New Home Plan Site Plan New First Floor Plan New Second Floor Plan Materials Brava Tile, Decra Tile, Clay Tile, Asphalt Roofing Options Fine Texture Stucco Black Satin Metal Railing Marvin Ebony-Clad Exterior Windows Black Painted Steel Garage Doors Corner Lot Homes in Country Club District with Street Facing Garages < 25' from Rear Lot Line Other Homes in Country Club District with Street Facing Attached Garages (excludes Sunnyside Road West of Browndale as all homes have front facing attached garages) 4203 Country Club Road Address Garage Faces Approx. Garage Setback from Rear Lot Line Comments 4205 Country Club Road 4621 Edina Blvd.Country Club Road ~ 9.4' Adjacent to busy Country Club District Entrance Intersection 4207 Country Club Road 4601 Browndale Avenue Bridge Street 4209 Country Club Road 4501 Arden Avenue Sunnyside Road ~ 5' Adjacent to busy Country Club District Entrance Intersection 4215 Country Club Road 4632 Arden Avenue Country Club Road 4221 Country Club Road 4901 Bruce Avenue Country Club Road 4225 Country Club Road 4600 Arden Avenue Bridge Street 4229 Country Club Road 4530 Arden Avenue Bridge Street 4625 Country Club Road 4501 Arden Avenue Sunnyside Road 4305 Country Club Road 4500 Arden Sunnyside Road 4409 Country Club Road 4530 Bruce Avenue Bridge Street 4083 Sunnyside Road 4531 Bruce Avenue Bridge Street 4501 Casco Avenue 4634 Bruce Avenue Sunnyside Road 4503 Drexel Avenue 4900 Bruce Avenue Country Club Road 4512 Drexel Avenue 4901 Bruce Avenue Country Club Road 4616 Drexel Avenue 4638 Casco Avenue Country Club Road 4622 Drexel Avenue 4600 Casco Avenue Bridge Street 4305 Country Club Road 4531 Casco Avenue Bridge Street 4405 Country Club Road 4532 Casco Avenue Bridge Street 4409 Country Club Road 4501 Casco Avenue Sunnyside Road 4624 Wooddale Avenue 4500 Casco Avenue Sunnyside Road 4610 Wooddale Avenue 4501 Drexel Avenue Sunnyside Road ~10' Adjacent to busy Country Club District Entrance Intersection 4606 Wooddale Avenue 4527 Drexel Avenue Bridge Street 4603 Wooddale Avenue 4600 Drexel Avenue Bridge Street 4519 Wooddale Avenue 4633 Drexel Avenue Country Club Road 4612 Edina Blvd 4625 Woodale Avenue Country Club Road ~ 5' Adjacent to busy Country Club District Entrance Intersection 4517 Moorland Avenue 4601 Wooddale Avenue Bridge Street ~ 8' Adjacent to busy Country Club District Entrance Intersection 4615 Moorland Avenue 4523 Wooddale Avenue Bridge Street 4606 Moorland Avenue 4519 Edina Blvd Bridge Street 4506 Sunnyside Road 4601 Edina Blvd Bridge Street ~ 4' Adjacent to busy Country Club District Entrance Intersection 4510 Sunnyside Road 4624 Moorland Avenue Country Club Road 4513 Browndale Avenue 4600 Moorland Avenue Bridge Street 4520 Browndale Avenue 4516 Moorland Aveniue Bridge Street 4604 Browndale Avenue 4517 Moorland Avenue Bridge Street 4614 Edgebrook Place 4500 Moorland Avenue Sunnyside Road 4618 Edgebrook Place 4601 Browndale Avenue Bridge Street ` 10' Adjacent to busy Country Club District Entrance Intersection 4622 Edgebrook Place 4640 Edghebrook Place Browndale Avenue 4626 Edgebrook Place 4629 Browndale Avenue Country Club Road 4630 Edgebrook Place 4218 Sunnyside Road Wooddale Avenue 4634 Edgebrook Place 4638 Edgebrook Place 38 of 68 corner lots in Country Club have attached street facing garages 4619 Browndale Avenue 4901 Browndale Avenue 4905 Browndale Avenue 4909 Browndale Avenue Survey of Street Facing Attached Garages in CC 28"24"36"24"42"54"10"20"16"18"8"XXXXXXXXXXXXXXXXXXXX XXXXXXXXXX S SSSS SSS SSSSSSSSSSSSSSSSSSSSSSSSS SSSSSSSSSSSSSTE2"TOP=895.75BOT=895.25895.50896.00INFILTRATION BASINSTORAGE (895.25-895.75)=75 CFOPTIONAL UNLESS REQUIREDBY CITY.DIRECT DOWNSPOUTDRAINAGE TO INFILTRATIONBASIN, COORD. W/LANDSCAPERINSTALL SILT FENCEDOWNGRADE OF ALLEXCAVATION.INSTALL TREE PROTECTIONFENCING AROUND ALL TREESTO REMAIN, COORD. W/PROPERTY OWNER, TYP.COORD. ALL TREE REMOVALSW/ OWNER PRIOR TOCONSTRUCTION.ROCK CONSTRUCTIONENTRANCEAVOID COMPACTION OF SOILS INOR NEAR INFILTRATION BASIN.CONTRACTOR TO PROVIDE INLETPROTECTION AT ALLDOWNSTREAM CATCH BASINSCONTRACTOR TO PROVIDE INLETPROTECTION AT ALLDOWNSTREAM CATCH BASINSSTORMWATER, SEDIMENT & EROSION CONTROL CONTACT:CATHY WOLF (HOMEOWNER)4630 DREXEL AVEEDINA, MN 55424612-819-5100SCOTT BUSYNGREAT NEIGHBORHOOD HOMES3939 W. 50TH ST., SUITE 103AEDINA, MN 55424952-807-876501" = 10'-0"10'-0"5'-0"NDENOTES SILT FENCE/GRADING LIMITNOTES:SEE SURVEY, BY HARRY S. JOHNSON CO. INC., DATED 08/17/2020 FOR PROPOSED ELEVATIONS & GRADES.DRAINAGE PATTERNS SHALL BE CONSTRUCTED ACCORDING TO GRADING PLAN.PROPOSED IMPERVIOUS AREA IS GREATER THAN EXISTING. THE PROPOSED INCREASE IN IMPERVIOUSAREA IS 566 SF. AN OPTIONAL RAINGARDEN/DEPRESSION IN THE FRONT YARD WILL STORE 75 CF OFSTORMWATER RUNOFF FROM THE IMPERVIOUS SURFACES. NO STORMWATER STORAGE IS REQUIREDPER EDINA ENGINEERING POLICY SP-003.RUNOFF RATES TO ADJACENT PROPERTIES WILL NOT INCREASE.SOILS ASSUMED TO BE TYPE B SOILS WITH AN INFILTRATION RATE OF 0.45 IN/HR.DENOTES INLETPROTECTION DEVICE,PROPOSEDCONSTRUCTION SEQUENCING1.INSTALLATION OF SILT FENCE OR BIO-ROLL AROUND SITE2.DEMOLITION OF EXISTING STRUCTURES IF ANY.3.CLEAR AND GRUB.4.CONSTRUCT NEW STRUCTURE5.WHEN ALL CONSTRUCTION ACTIVITY IS COMPLETE AND THESITE IS STABILIZED BY EITHER SEED OR SOD/LANDSCAPING, REMOVESILT FENCE AND RESEED ANY AREAS DISTURBED BY THE REMOVAL.EROSION PREVENTIONTHE CONTRACTOR IS RESPONSIBLE FOR PLANING FOR ANDIMPLEMENTING APPROPRIATE CONSTRUCTION PHASING,VEGETATIVE BUFFER STRIPS, HORIZONTAL SLOPE GRADING, ANDOTHER CONSTRUCTION PRACTICES THAT MINIMIZE EROSION.ALL EXPOSED SOIL AREAS MUST BE STABILIZED AS SOON ASPOSSIBLE TO LIMIT SOIL EROSION BUT IN NO CASE LATER THAN 14DAYS AFTER THE CONSTRUCTION ACTIVITY IN THAT PORTION OF THESITE HAS TEMPORARILY OR PERMANENTLY CEASED.THE NORMAL WETTED PERIMETER OF ANY TEMPORARY ORPERMANENT DRAINAGE DITCH OR SWALE THAT DRAINS WATER FROMANY PORTION OF THE CONSTRUCTION SITE, OR DIVERTS WATERAROUND THE SITE, MUST BE STABILIZED WITHIN 20 LINEAL FEETFROM THE PROPERTY EDGE, OR FROM THE POINT OF DISCHARGEINTO ANY SURFACE WATER. STABILIZATION OF THE LAST 20 LINEALFEET MUST BE COMPLETED WITHIN 24 HOURS AFTER CONNECTINGTO A SURFACE WATER.STABILIZATION OF THE REMAINING PORTIONS OF ANY TEMPORARYOR PERMANENT DITCHES OR SWALES MUST BE COMPLETE WITHIN 14DAYS AFTER CONNECTING TO A SURFACE WATER ANDCONSTRUCTION IN THAT PORTION OF THE DITCH HAS TEMPORARILYOR PERMANENTLY CEASED.TEMPORARY OR PERMANENT DITCHES OR SWALES THAT ARE BEINGUSED AS A SEDIMENT CONTAINMENT SYSTEM (WITH PROPERLYDESIGNED ROCK DITCH CHECKS, BIO ROLLS, SILT DIKES ETC.) DONOT NEED TO BE STABILIZED. THESE AREAS MUST BE STABILIZEDWITHIN 24 HOURS AFTER NO LONGER BEING USED AS A SEDIMENTCONTAINMENT SYSTEM.PIPE OUTLETS MUST BE PROVIDED WITH TEMPORARY ORPERMANENT ENERGY DISSIPATION WITHIN 24 HOURS AFTERCONNECTION TO A SURFACE WATER.SEDIMENT CONTROLSEDIMENT CONTROL PRACTICES MUST MINIMIZE SEDIMENT FROMENTERING SURFACE WATERS, INCLUDING CURB AND GUTTERSYSTEMS AND STORM SEWER INLETS.SEDIMENT CONTROL PRACTICES MUST BE ESTABLISHED ON ALLDOWN GRADIENT PERIMETERS BEFORE ANY UPGRADIENT LANDDISTURBING ACTIVITIES BEGIN. THESE PRACTICES SHALL REMAIN INPLACE UNTIL FINAL STABILIZATION HAS BEEN ESTABLISHED.ALL STORM DRAIN INLETS MUST BE PROTECTED BY APPROPRIATEBMPS DURING CONSTRUCTION UNTIL ALL SOURCES WITH POTENTIALFOR DISCHARGING TO THE INLET HAVE BEEN STABILIZED.TEMPORARY SOIL STOCKPILES MUST HAVE SILT FENCE OR OTHEREFFECTIVE SEDIMENT CONTROLS, AND CANNOT BE PLACED INSURFACE WATERS, INCLUDING STORMWATER CONVEYANCES SUCHAS CURB AND GUTTER SYSTEMS, OR CONDUITS AND DITCHESUNLESS THERE IS A BYPASS IN PLACE FOR THE STORMWATER.VEHICLE TRACKING OF SEDIMENT FROM THE CONSTRUCTION SITEMUST BE MINIMIZED BY A ROCK CONSTRUCTION ENTRANCE. STREETSWEEPING MUST BE USED IF THE ROCK ENTRANCE IS NOTADEQUATE TO PREVENT SEDIMENT FROM BEING TRACKED ONTO THESTREET.TEMPORARY DE-WATERING- DEWATERING OR BASIN DRAINING (E.G.,PUMPED DISCHARGES, TRENCH/DITCH CUTS FOR DRAINAGE)RELATED TO THE CONSTRUCTION ACTIVITY THAT MAY HAVE TURBIDOR SEDIMENT LADEN DISCHARGE WATER MUST BE DISCHARGED TOA TEMPORARY OR PERMANENT SEDIMENTATION BASIN ON THEPROJECT SITE WHENEVER POSSIBLE. IF THE WATER CANNOT BEDISCHARGED TO A SEDIMENTATION BASIN PRIOR TO ENTERING THESURFACE WATER, IT MUST BE TREATED WITH THE APPROPRIATEBMP'S SUCH THAT THE DISCHARGE DOES NOT ADVERSELY AFFECTTHE RECEIVING WATER, DOWNSTREAM LANDOWNERS OR WETLANDS.THE CONTRACTOR MUST ENSURE THAT DISCHARGE POINTS AREADEQUATELY PROTECTED FROM EROSION AND SCOUR. THEDISCHARGE MUST BE DISPERSED OVER NATURAL ROCK RIPRAP,SAND BAGS, PLASTIC SHEATHING OR OTHER ACCEPTED ENERGYDISSIPATION MEASURES. ADEQUATE SEDIMENTATION CONTROLMEASURES ARE REQUIRED FOR DISCHARGE WATER THAT CONTAINSSUSPENDED SOLIDS.FILTER BACKWASH WATERS MUST BE HAULED AWAY FOR DISPOSAL,RETURNED TO THE BEGINNING OF THE TREATMENT PROCESS, ORINCORPORATE INTO THE SITE IN A MANNER THAT DOES NOT CAUSEEROSION. DISCHARGE OF THE BACKWASH WATER TO SANITARYSEWER IS ALLOWED WITH PERMISSION OF THE SANITARY SEWERAUTHORITYSOIL COMPACTION PRECAUTIONSTHE PERMITEE MUST MINIMIZE SOIL COMPACTION AND, UNLESSINFEASIBLE, PRESERVE TOPSOIL. MINIMIZING SOIL COMPACTION ISNOT REQUIRED WHERE THE FUNCTION OF THE SPECIFIC AREA OFTHE SITE DICTATES THAT IT BE COMPACTED. METHODS FORMINIMIZING COMPACTION INCLUDE THE USE OF TRACKEDEQUIPMENT, AND STAYING OFF OF AREAS TO BE LEFTUN-COMPACTED. METHODS TO PRESERVE TOPSOIL INCLUDESTRIPPING AND STOCKPILING TOPSOIL PRIOR TO GRADING OREXCAVATION OPERATIONSINSPECTIONS AND MAINTENANCETHE CONTRACTOR IS RESPONSIBLE AT ALL TIMES FOR THEMAINTENANCE AND PROPER OPERATION OF EROSION AND SEDIMENTCONTROL FACILITIES. THE CONTRACTOR SHALL AT A MINIMUM,INSPECT, MAINTAIN AND REPAIR ALL DISTURBED SURFACES AND ALLEROSION AND SEDIMENT CONTROL FACILITIES AND SOILSTABILIZATION MEASURES.BASED ON INSPECTION RESULTS THE CONTRACTOR MAY AND SHALLMODIFY THE EROSION AND SEDIMENT CONTROL PLAN IN ORDER TOPREVENT POLLUTANTS FROM LEAVING THE SITE VIA STORM WATERRUNOFF.POLLUTION PREVENTIONCONCRETE WASHOUT - SHALL OCCUR OFF-SITEHAZARDOUS WASTE STORAGE AND HANDLING - OIL, GASOLINE, PAINTAND ANY HAZARDOUS SUBSTANCES MUST BE PROPERLY STORED,INCLUDING SECONDARY CONTAINMENT, TO PREVENT SPILLS, LEAKSOR OTHER DISCHARGE. RESTRICTED ACCESS TO STORAGE AREASMUST BE PROVIDED TO PREVENT VANDALISM. STORAGE ANDDISPOSAL OF HAZARDOUS WASTE MUST BE IN COMPLIANCE WITHMPCA REGULATIONS.STORMWATERFINAL GRADING OF THE LOT SHALL PROMOTE SHEET DRAINING ANDAVOID CONCENTRATION OF STORM WATER FLOWS.FINAL GRADING SHALL MAINTAIN THE EXISTING STORM WATERDRAINAGE PATTERNS TO THE EXTENT POSSIBLE AND PRACTICAL ASTO NOT CAUSE ANY DAMAGE TO ADJACENT PROPERTIES.SEDIMENT AND EROSION CONTROL NOTESIMPERVIOUS CALCULATIONS:TOTAL SITE AREA = 13,160 SFEXISTING IMPERVIOUS SURFACE = 4,109 SFPROPOSED IMPERVIOUS SURFACE = 4,675 SFDENOTES TREEPROTECTION DEVICE,PROPOSEDREVISION SUMMARYDATEDESCRIPTIONC1.0 EROSIONCONTROL &STORMWATERMANAGEMENT PLAN............ISSUE/SUBMITTAL SUMMARYDATEDESCRIPTION4630 DREXEL AVE EDINA, MN 55424 4630 DREXEL AVE, EDINA, MN 55424 CATHY WOLF PROJECT ..................01/28/19CITY SUBMITTAL08/21/20CITY SUBMITTAL....96*5657+6'56.17+52#4-/0CivilSiteGroup.comMatt Pavek Pat Sarver763-213-3944 952-250-200344263Matthew R. PavekLICENSE NO.DATEI HEREBY CERTIFY THAT THIS PLAN,SPECIFICATION, OR REPORT WASPREPARED BY ME OR UNDER MY DIRECTSUPERVISION AND THAT I AM A DULYLICENSED PROFESSIONAL ENGINEERUNDER THE LAWS OF THE STATE OFMINNESOTA.01/28/19PROJECT NO.: 19032COPYRIGHT 2019 CIVIL SITE GROUP INC.cGOPHER STATE ONE CALLWWW.GOPHERSTATEONECALL.ORG(800) 252-1166 TOLL FREE(651) 454-0002 LOCALLEGEND:PROP. 1.0' CONTOUR ELEVATION INTERVALEX. 1' CONTOUR ELEVATION INTERVALSPOT GRADE ELEVATION (GUTTER/FLOW LINEUNLESS OTHERWISE NOTED)ALL SPECIFIED EROSION AND SEDIMENT CONTROL PRACTICES,AND MEASURES CONTAINED IN THIS SWPPP ARE THE MINIMUMREQUIREMENTS. ADDITIONAL PRACTICES MAY BE REQUIREDDURING THE COURSE OF CONSTRUCTION.DENOTES ROOF DRAINAGE ARROW,EXISTING AND PROPOSEDDENOTES GROUNDDRAINAGE ARROW,PROPOSEDDENOTES STABILIZED CONSTRUCTIONENTRANCE, PROPOSEDPROPOSED 0.25' INFILTRATION BASIN CONTOUR REVISION SUMMARYDATEDESCRIPTIONC2.0DETAILS............ISSUE/SUBMITTAL SUMMARYDATEDESCRIPTION4630 DREXEL AVE EDINA, MN 55424 4630 DREXEL AVE, EDINA, MN 55424 CATHY WOLF PROJECT ..................01/28/19CITY SUBMITTAL08/21/20CITY SUBMITTAL....96*5657+6'56.17+52#4-/0CivilSiteGroup.comMatt Pavek Pat Sarver763-213-3944 952-250-200344263Matthew R. PavekLICENSE NO.DATEI HEREBY CERTIFY THAT THIS PLAN,SPECIFICATION, OR REPORT WASPREPARED BY ME OR UNDER MY DIRECTSUPERVISION AND THAT I AM A DULYLICENSED PROFESSIONAL ENGINEERUNDER THE LAWS OF THE STATE OFMINNESOTA.01/28/19PROJECT NO.: 19032COPYRIGHT 2019 CIVIL SITE GROUP INC.cOVERFLOW AT TOP OFFILTER ASSEMBLYOVERFLOW IS 12 OF THE CURBBOX HEIGHTHIGH-FLOW FABRICFILTER ASSEMBLY DIAMETER, 6"ON-GRADE 10" AT LOW POINTEXISTING CURB, PLATE, BOX,AND GRATENOTES:1. REPLACE INLET GRATE UPON COMPLETE INSTALLATION OF INLET PROTECTION FABRIC.2. CONTRACTOR SHALL REMOVE ALL ACCUMULATED SEDIMENT AND DEBRIS FROM THE SURFACE OF THE SYSTEMAFTER EACH STORM EVENT AND AT THE COMPLETION OF THE CONTRACT.3. REFERENCE APPLE VALLEY STANDARD PLATE ERO-4C.CURB INLET FILTERN T S1FILTER FABRIC WITH WIRE SUPPORT NETAS SPECIFIED.METAL POST ASSPECIFIED.FILTER FABRIC AS SPECIFIED SECURETO WIRE SUPPORT NET WITH METALCLIPS 12"O.C.SUPPORT NET: 12 GAUGE 4" x 4"WIRE HOOKED ONTOPREFORMED CHANNELS ONPOSTS AS SPECIFIED.EXISTING GROUNDSURFACECARRY WIRE SUPPORT NETDOWN INTO TRENCHDIRECTION OF FLOWANCHOR FABRIC WITHSOIL, TAMP BACKFILLMETAL POSTS 8'-0" O.C.MAX.24"24"24"MIN.6"6"SEDIMENT FENCEN T S2DLTREE PROTECTIONN T S25'FURNISH A AND INSTALL TEMPORARY FENCE AT THE TREE'S DRIP LINE OR CONSTRUCTION LIMITS ASSHOWN ON PLAN, PRIOR TO ANY CONSTRUCTION. WHERE POSSIBLE PLACE FENCE 25' BEYOND DRIPLINE. PLACE TREE PROTECTION SIGN ON POSTS, ONE PER INDIVIDUAL TREE (FACING CONSTRUCTIONACTIVITY), OR ONE EVERY 100' LF ALONG A GROVE OR MULTI-TREE PROTECTION AREA.4FILTER FABRIC AS SPECIFIEDEXISTING GROUNDSURFACEDIRECTION OF FLOWWOODEN STAKES 1/2"X2"X16" MIN. PLACED 10' O.C.WHEN INSTALLED ON GROUND. IF INSTALLED ONPVMT. PROVIDE SANDBAGS BEHIND AND ON TOP ATMIN. 10' O.C.8" MIN.SEDIMENT BIO-ROLL / COMPOST FILTER LOGN T SFILLER AS SPECIFIEDNOTE:1. COMPOST FILTER LOGS (BIO ROLLS) SHALL BE FILTREXX EROSION CONTROL SOXX OR APPROVED EQUAL.2. COMPOST FILLER TO BE MADE FROM A COMPOST BLEND 30%-40% GRADE 2 (SPEC 3890) AND 60%-70%PARTIALLY DECOMPOSED WOOD CHIPS, PER MNDOT SPEC 3897.3. FILTER FABRIC SHALL BE GEOTEXTILE KNITTED MATERIAL WITH MAX. OPENINGS OF 3/8".4. IF MULTIPLE ROLLS NEEDED, OVERLAP BY MIN. 12" AT ENDS AND STAKE.5. SILT SHALL BE REMOVED ONCE IT REACHES 80% OF THE HEIGHT OF THE ROLL OR AS DEEMED NECESSARYBY SITE CONTRACTOR TO MAINTAIN PROPER FUNCTION.FILL UPSTREAM BASE EDGE WITH2" OF DIRT OR COMPOST TOEMBED ROLL.3STABILIZED CONSTRUCTION ACCESS24' (MIN)NOTES:1.PROVIDE APPROPRIATE TRANSITION BETWEEN STABILIZED CONSTRUCTION ENTRANCE AND UNDISTURBEDROADWAY.2.THE ENTRANCE SHALL BE MAINTAINED IN A CONDITION WHICH WILL PREVENT TRACKING OR FLOWING OF SEDIMENTONTO UNDISTURBED ROADWAY. THIS MAY REQUIRE PERIODIC TOP DRESSING WITH ADDITIONAL STONE OR ADDINGSTONE TO THE LENGTH OF THE ENTRANCE.3.REPAIR AND CLEANOUT MEASURES USED TO TRAP SEDIMENT.4.ALL SEDIMENT SPILLED, DROPPED, WASHED, OR TRACKED ONTO UNDISTURBED ROADWAY SHALL BE REMOVED ASDIRECTED BY THE ENGINEER.5.FINAL LOCATION AND INSTALLATION SHALL BE COORDINATED WITH THE CITY PRIOR TO CONSTRUCTION ACTIVITIES.6.CRUSHED STONE SHALL BE 1-1/2" DIA. CLOSE GRADED, AND IN ACCORDANCE TO MNDOT SECTION 2118.EXISTING UNDISTURBED ROADWAY35' RPROFILE6" MIN CRUSHED STONE75' MINIMUMPLANFINISHEDGRADETO CONSTRUCTION AREA35' REXISTINGUNDISTURBEDROADWAYN T S30' FROM EDGE OF ROADTO FRONT OF SPEED BUMPGEOTEXTILE FILTERFABRIC4" HIGH, 18" WIDESPEED BUMPTO CONSTRUCTIONAREA5INFILTRATION BASINN T SGRASS PRE-TREATMENT STRIPUNDISTURBED, UNCOMPACTED INSITU SOILSHREDDED HARDWOOD MULCH IN BASIN (3"-6" DEPTH)MIN. PLANTING MEDIUM DEPTH 24" WITH A WELL BLENDED MIXTURE(BY VOLUME):70% HOMOGENOUS CONSTRUCTION SAND 30% ORGANIC LEAF COMPOST, MNDOT GRADE 2D123PLANT MATERIAL:SOD / LAWNGRASS PRE-TREATMENT STRIP3:1 MAX. SLOPE6"CROSS-SECTION LINEPLANT MATERIAL:SOD / LAWN3H:1L MAX.SEE GRADING PLAN FOR DEPTHCONSTRUCTION SEQUENCING 1.INSTALL SILT FENCE AND/OR OR OTHER APPROPRIATE TEMPORARY EROSIONCONTROL DEVICES TO PREVENT SEDIMENT FROM LEAVING OR ENTERING THEPRACTICE DURING CONSTRUCTION.2.ALL DOWN-GRADIENT PERIMETER SEDIMENT CONTROL BMP'S MUST BE IN PLACEBEFORE ANY UP GRADIENT LAND DISTURBING ACTIVITY BEGINS.3.PERFORM CONTINUOUS INSPECTIONS OF EROSION CONTROL PRACTICES.4.INSTALL UTILITIES (WATER, SANITARY SEWER, ELECTRIC, PHONE, FIBER OPTIC, ETC)PRIOR TO SETTING FINAL GRADE OF BIORETENTION DEVICE.5.ROUGH GRADE THE SITE. IF BIORETENTION AREAS ARE BEING USED ASTEMPORARY SEDIMENT BASINS LEAVE A MINIMUM OF 3 FEET OF COVER OVER THEPRACTICE TO PROTECT THE UNDERLYING SOILS FROM CLOGGING.6.PERFORM ALL OTHER SITE IMPROVEMENTS.7.SEED AND MULCH ALL AREAS AFTER DISTURBANCE.8.CONSTRUCT BIORETENTION DEVICE UPON STABILIZATION OF CONTRIBUTINGDRAINAGE AREA.9.IMPLEMENT TEMPORARY AND PERMENATE EROSION CONTROL PRACTICES.10.PLANT AND MULCH BIORETENTION DEVICE - SEE PLANT SCHEDULE AND LANDSCAPE11.REMOVE TEMPORARY EROSION CONTROL DEVICES AFTER THE CONTRIBUTINGDRAINAGE AREA IS ADEQUATELY VEGETATED.GENERAL NOTES4.IN THE EVENT THAT SEDIMENT IS INTRODUCED INTO THE BMP DURING ORIMMEDIATELY FOLLOWING EXCAVATION, THIS MATERIAL SHALL BE REMOVED FROMTHE PRACTICE PRIOR TO CONTINUING CONSTRUCTION.5.GRADING OF BIORETENTION DEVICES SHALL BE ACCOMPLISHED USINGLOW-COMPACTION EARTH-MOVING EQUIPMENT TO PREVENT COMPACTION OFUNDERLYING SOILS.6.ALL SUB MATERIALS BELOW THE SPECIFIED BIORETENTION DEPTH (ELEVATION)SHALL BE UNDISTURBED, UNLESS OTHERWISE NOTED.7.REMOVE TEMPORARY EROSION CONTROL DEVICES AFTER THE CONTRIBUTINGDRAINAGE AREA IS ADEQUATELY VEGETATED.TYPICAL PLAN VIEWTYPICAL SECTION VIEW6 Page 1 of 1 MEMORANDUM TO: Emily Bodeker, Assistant City Planner FROM: Robert Vogel, Preservation Planning Consultant DATE: August 31, 2020 SUBJECT: COA for 4630 Drexel Avenue I have reviewed the plans and other information provided in relation to the Certificate of Appropriateness (COA) application for renovation of the house located at 4630 Drexel Avenue in the Country Club District. A COA was approved in 2019 for a similar renovation project involving the same house, but little or no work was apparently done. The applicant has modified the project to reflect changes in the floor plan, building mass and organization, while retaining the most important Spanish Colonial Revival style architectural elements on the two street-facing facades. The subject property is not individually eligible for designation as an Edina Heritage Landmark; however, it is considered a contributing heritage preservation resource in the Country Club Heritage Landmark District. COAs are required for new construction (including building additions) under city code section 36-722. The application notes that a zoning variance may be required for the new attached garage. These kinds of encroachments on setback requirements are not considered heritage resource management issues and therefore should not affect design review decisions for COAs. When the house at 4630 Drexel Avenue was built in 1924, the deed restrictions imposed by the developer included dimensional standards for front and side yard setbacks and lot coverage, but did not proscribe rear yard setbacks. It is also worth noting that the proposed additions and façade alterations would have complied with all of the architectural standards contained in the original Thorpe Bros. deed restrictions. Based on the plans presented, the proposed additions and alterations appear to meet the general standards for rehabilitation projects referenced in the district plan of treatment. The new construction has been designed to be compatible with the original house and consistent with the size, scale and massing of nearby historic houses and streetscapes; the attached garage and second- story rear addition are also typical of the broad pattern of post-1945 development in the surrounding neighborhood. If they were to be removed in the future, the new additions would leave the essential form and integrity of the property unimpaired. No primary historic character defining Spanish Colonial Revival style architectural features will be removed and the changes to the street facing facades (on the Drexel Avenue and Country Club Road elevations) should not detract from the property’s historic character or adversely affect the district’s sense of time and place. In my professional opinion, the proposed work is an appropriate rehabilitation treatment and the subject property will continue to contribute to the historical significance of the Country Club District after the work is completed. I recommend approval of the COA. Edina, Hennepin, MetroGIS, Edina, Hennepin, MetroGIS | © WSB & Associates2013, © WSB & Associates 2013 4630 Drexel Ave August 31, 2020 1 in = 50 ft / Date: September 8, 2020 Agenda Item #: VI.C. To:Heritage Preservation Commission Item Type: Report and Recommendation From:Emily Bodeker, Assistant City Planner Item Activity: Subject:2021 HPC Work Plan Action CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: Approve the 2021 Work Plan to be submitted to City Council. INTRODUCTION: ATTACHMENTS: Description 2021 Work Plan Commission Work Plan Instructions Updated 2020.06.25 Instructions: Each section with a white background should be filled out. Do not fill out council charge. Scott will complete this section with his proposed charge to the Council. Liaisons are responsible for completing the budget and staff support columns. At the end of each quarter give brief description over status of initiatives List initiatives in order of priority Initiative Type: Project – This is a new or continued initiative. Annual / On-going: – Initiative that is on the work plan every year. Event - Event or awards coordinated by the commission (not City staff). Timeline: SEPT MEETINGS: Commissionapproves proposed work plan. Plans due to MJ September 25.OCT 6 WORK SESSION:Chairs present proposed work plan to Council. Chairs present.NOV 4 WORK SESSION: City Manager presents staff proposed revisions. Liaisons present.DEC 1 COUNCIL MEETING: City Manager incorporates council feedback and submits final draft for approval.JAN 1: Commissionofficially starts implementing work plans. Commission: Heritage Preservation Commission 2021 Annual Work Plan Proposal Initiative # 1 Initiative Type ☐☐☐☐ Project ☒☒☒☒ Ongoing / Annual ☐☐☐☐ Event Council Charge ☐☐☐☐ 1 (Study & Report) ☐☐☐☐ 2 (Review & Comment) ☐☐☐☐ 3 (Review & Recommend) ☐☐☐☐ 4 (Review & Decide) Review and decide on Certificates of Appropriateness (COA) applications for changes to heritage landmark designated properties. Deliverable: Grant COAs for heritage landmark designated properties Leads N/A-all Commission Target Completion Date Continual/Ongoing Budget Required: Are there funds available for this project? If there are not funds available, explain the impact of Council approving this initiative. No additional funds required Staff Support Required: How many hours of support by the staff liaison? Communications / marketing support? Pre-Application meeting with staff liaison and application review time/report from Staff Liaison and Consultant Vogel. Liaison Comments: No Comment-no proposed change. City Manager Comments: Progress Report: Q1: Q2: Q3: Q4: Initiative # 2 Initiative Type ☒☒☒☒ Project ☐☐☐☐ Ongoing / Annual ☐☐☐☐ Event Council Charge ☐☐☐☐ 1 (Study & Report) ☐☐☐☐ 2 (Review & Comment) ☐☐☐☐ 3 (Review & Recommend) ☐☐☐☐ 4 (Review & Decide) Create a virtual walk/tour of the City’s Historic Landmark properties to celebrate Preservation Month (May) Deliverable: -Virtual Walking Tour Leads Darrah Widmoyer Annie Schilling Rachel Pollock Target Completion Date May Budget Required: Are there funds available for this project? If there are not funds available, explain the impact of Council approving this initiative. No additional budget required. Staff Support Required: How many hours of support by the staff liaison? Communications / marketing support? 8 hours with GIS Specialist and time to help inform the community of the virtual tour with marketing and communications support. Liaison Comments: Staff supports this initiative. The virtual walk in 2020 was well received by the public and I believe this will help increase awareness of the City’s Landmark Properties. City Manager Comments: Progress Report: Q1: Q2: Q3: Q4: Initiative # 3 Initiative Type ☐☐☐☐ Project ☒☒☒☒ Ongoing / Annual ☐☐☐☐ Event Council Charge ☐☐☐☐ 1 (Study & Report) ☐☐☐☐ 2 (Review & Comment) ☐☐☐☐ 3 (Review & Recommend) ☐☐☐☐ 4 (Review & Decide) Award the 2021 Heritage Preservation Award during Preservation Month in May. Deliverable: Award the 2021 Heritage Award Leads Bob Cundy Mark Hassenstab Target Completion Date May 2021 Budget Required: Are there funds available for this project? If there are not funds available, explain the impact of Council approving this initiative. No additional funds required, funds for the plaque and poster printing costs comes from the Planning Budget Staff Support Required: How many hours of support by the staff liaison? Communications / marketing support? Preservation month poster asking for nominations for the award/marketing requesting nominations Liaison Comments: N/A City Manager Comments: Progress Report: Q1: Q2: Q3: Q4: Initiative # 4 Initiative Type ☐☐☐☐ Project ☒☒☒☒ Ongoing / Annual ☐☐☐☐ Event Council Charge ☐☐☐☐ 1 (Study & Report) ☐☐☐☐ 2 (Review & Comment) ☐☐☐☐ 3 (Review & Recommend) ☐☐☐☐ 4 (Review & Decide) Educate owners and Designate properties as Edina Heritage Landmarks Deliverable: • Educate owners and invite owners of determined eligible properties as Edina Heritage Landmarks and recommend to Planning Commission and City Council • Create Resources to give to property owners with benefits and reasons to consider designating their properties Leads: Jane Lonnquist Mark Hassenstab Rachel Pollock Target Completion Date Continual/Ongoing Budget Required: Are there funds available for this project? If there are not funds available, explain the impact of Council approving this initiative. No funds are anticipated to be required outside of printing costs depending on what resources are created Staff Support Required: How many hours of support by the staff liaison? Communications / marketing support? Depending on what educational materials are decided on, potentially some marketing/design and marketing services. Staff and Liaison Vogel will also support this item and help gather information to share with property owners. Liaison Comments: This is a continued item that remains on the HPC work plan every year. City Manager Comments: Progress Report: Q1: Q2: Q3: Q4: Initiative # 5 Initiative Type ☐☐☐☐ Project ☒☒☒☒ Ongoing / Annual ☐☐☐☐ Event Council Charge ☐☐☐☐ 1 (Study & Report) ☐☐☐☐ 2 (Review & Comment) ☐☐☐☐ 3 (Review & Recommend) ☐☐☐☐ 4 (Review & Decide) Add properties to the Heritage Preservation eligible landmark list Deliverable: The addition of properties to the City’s eligible landmark list Leads Michael Birdman Thomas Everson Target Completion Date Continual/Ongoing Budget Required: Are there funds available for this project? If there are not funds available, explain the impact of Council approving this initiative. No funds required Staff Support Required: How many hours of support by the staff liaison? Communications / marketing support? Liaison and Consultant Vogel will support this initiative by Liaison Comments: This is a continued item that remains on the HPC work plan every year. City Manager Comments: Progress Report: Q1: Q2: Q3: Q4: Parking Lot: (These items have been considered by the BC, but not proposed as part of this year’s work plan. If the BC decides they would like to work on them in the current year, it would need to be approved by Council.) -Additional virtual tours (teaming up with different commissions on topics ex: Parks, HRRC, etc. ) Proposed Month for Joint Work Session (one time per year, up to 30 minutes): ☐ Mar ☐ April ☐ May ☐ June ☐ July ☐ Aug ☐ Sept ☐ Oct ☐ Nov Date: September 8, 2020 Agenda Item #: VI.D. To:Heritage Preservation Commission Item Type: Report and Recommendation From:Emily Bodeker, Assistant City Planner Item Activity: Subject:Biographical Sketch-S. S. Thorpe Action CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: Approve the biographical sketch of S. S. Thorpe as a supplementary historic context statement for the heritage landmark designation for the Country Club District. INTRODUCTION: When the Country Club District was designated an Edina Heritage Landmark in 2003, the city council directed the Heritage Preservation Board (now the HP C) to conduct a resurvey of the district every 10 years. In 2019 the resurvey was made part of the HPC’s 2020 work plan. One of the objectives of the survey was development of a more complete and fully documented biography of Samuel S. Thorpe, the district’s original developer. ATTACHMENTS: Description Vogel Memo-June SS Thorpe Biographical Sketch MEMORANDUM TO: Heritage Preservation Commission FROM: Robert Vogel, Preservation Planning Consultant DATE: June 3, 2020 SUBJECT: Biographical Sketch of S. S. Thorpe When the Country Club District was designated an Edina Heritage Landmark in 2003, the city council directed the Heritage Preservation Board (now the HPC) to conduct a resurvey of the district every 10 years. In 2019 the resurvey was made part of the HPC’s 2020 work plan. One of the objectives of the survey was development of a more complete and fully documented biography of Samuel S. Thorpe, the district’s original developer. I submit for your perusal a biographical sketch of Thorpe that is intended to be placed on file with the Country Club District heritage landmark registration documents. This information can also be used in educating the public about Thorpe’s role in the development of the Country Club District. 1 SAMUEL SKIDMORE THORPE (1864-1936) By Robert C. Vogel Preservation Planning Consultant Edina Heritage Preservation Commission February 24, 2020 (revised August 28, 2020) The purpose of the following biographical overview is to present the basic facts of the subject’s life and major accomplishments as they relate to his association with the Edina Country Club District. The narrative is organized chronologically and the information presented has been verified by research in primary sources. It is not intended to be a comprehensive or “official” biography—the goal was to supplement, rather than supplant, the biographical information contained in the historic context statement prepared at the time the district was originally nominated to the National Register of Historic Places. To this end, every effort was made to avoid opinions and judgments based solely on secondary sources or anecdotal information. Any errors of fact or interpretation are the sole responsibility of the author. Samuel Skidmore Thorpe was born on April 20, 1864 in Red Wing, Minnesota. His parents were Rev. Samuel R. Thorpe (1820-1864), a Methodist clergyman who had immigrated to Minnesota from upstate New York ca. 1853, and Caroline (Emery) Thorpe (1831-1919). The Rev. Thorpe was a member of the faculty at Hamline University, which was located in Red Wing during 1854-1869 (re-established at St. Paul in 1880). Thorpe junior attended local schools and was briefly employed as a farm laborer. After the family moved to Minneapolis, he found work as a newsboy, Western Union messenger and bank clerk, and for two years he clerked in a ladies hat store (West & Brant, described in city directories as a “Combination Hat Store,” 37 South Washington Avenue). In 1892 Thorpe purchased an interest in the newly incorporated Carter, Rittenberg & Hanlian Co., a manufacturer and wholesaler of millinery goods founded by Henry Carter, Oscar Rittenberg and Louis A. Hainlin. For several years Thorpe lived nearby, at 92 South 12th Street, with his widowed mother and his twin brother James Ruggles Thorpe (1864- 1928). In 1885 Samuel and James established a real estate firm specializing in loans, fire insurance, and property management, which they operated in partnership with Arthur W. Armatage, a fire insurance underwriter, who was identified as the president of the “Thorpe Bros. and Armatage Agency” in city directories. According to a biographical sketch published in 1923, the Thorpe brothers earned over $70,000 (equivalent to $1.8 million in 2020) during their 2 first two years in business, which enabled them to take time off to attend the College of New Jersey (modern-day Princeton University), where they matriculated with the class of 1889. After leaving Princeton they returned to the real estate field in Minneapolis. By the time it was incorporated in 1900 as Thorpe Brothers & Company, the firm was one of the leading real estate brokers and developers in Minneapolis, with a reputation for “everlasting hustle” and “strong eastern connections.” The Thorpe brothers’ partnership lasted about fifteen years, until James retired and relocated to Denver, Colorado. Samuel Thorpe played a pivotal role in the development of the modern real estate industry. He was a founding member of the Minneapolis Real Estate Exchange, which was established in 1887, and was the driving force behind its reorganization in 1892 as the Minneapolis Real Estate Board (now the Greater Minneapolis Area Board of Realtors). Thorpe served as the Board’s president in 1904-05, by which time he had earned a national reputation as a tireless advocate for professional ethics and a tireless advocate for progressive community development, zoning and land use planning. In 1908 he helped establish the National Association of Real Estate Exchanges (now the National Association of Realtors) and later served as its president. Thorpe Brothers Real Estate Company (the name was later changed to “Thorpe Brothers Realty Company”) was originally located at 258 Hennepin Avenue but later moved to a suite of offices in the Andrus Building at 512 Nicollet Avenue, on what it today known as the Nicollet Mall. By the late 1890s, Thorpe Bros. may have been the largest real estate brokerage in Minneapolis, dealing in residential and commercial properties, mortgages, loans and rental property management. During the early 1900s the Thorpes became heavily invested in farmland, marketing thousands of acres in Minnesota, the Dakotas, Michigan and Mississippi. The company also had a stake in more than seventy residential subdivisions and numerous large commercial developments. The centerpiece of the Thorpe commercial real estate portfolio was the Plymouth Building in downtown Minneapolis, a twelve-story high-rise commercial property built in 1910 at the corner of South 6th Street and Hennepin Avenue. Thorpe Bros. were the agents of the building’s original owner, John E. Andrus of Yonkers, New York (Sam Thorpe’s father-in-law) and ownership of the property remained in the Thorpe family until 2002. The building is listed in the National Register of Historic Places. The eight-story Thorpe Building at 3 521 Marquette Avenue, built in 1924, was also a downtown landmark for many years, until it was demolished to make way for a parking ramp. Sam Thorpe had diverse business interests in addition to real estate. For example, he played an important role in the effort to improve navigation on the Upper Mississippi River and served as president of the Upper Mississippi Valley Barge Line Company after it was organized by a group of Twin Cities businessmen in 1925. One of the company’s first towboats was named in his honor: launched in 1927, the 162-foot paddle-wheeler (later renamed the “George M. Verity”) survives today as a National Historic Landmark, permanently dry-docked in Keokuk, Iowa. Thorpe was a member of syndicates formed to acquire various business ventures in manufacturing, transportation and communications, and was a high-profile community booster. In his private life Thorpe was a pillar of Minneapolis high society and an enthusiastic club man, as well as an avid gardener and art collector. In 1922 Thorpe Bros. began planning for development of an “exclusive and select” residential subdivision in the village of Edina. The company purchased a 300 acre tract of farmland along Minnehaha Creek from the estates of Henry F. Brown and George W. and Sarah Baird. (The original plat of survey for “Thrope’s Country Club” bears the date September 15, 1922, but the subdivision was later vacated and then re-platted as “Edina Country Club” on April 12, 1924.) The project was undoubtedly inspired by the Country Club District in suburban Kansas City, Missouri, whose visionary developer, J. C. Nichols (1880-1950), was reportedly a personal friend of Thorpe’s. Thorpe reportedly invested more than $1,000,000 dollars (equivalent to $14.8 million in 2020) in underground utilities, paved streets and other amenities before the first lots in the Edina Country Club development were put on the market in June, 1924. His vision of a master-planned community (where, according to Thorpe, “one could be proud to live, proud of your homes, and of your neighbor’s home as well”) included architectural and land use controls which were implemented through restrictive covenants. Although municipal zoning did not exist at the time the subdivision was laid out, the Country Club was one of the first communities in the nation to adopt the land use planning standards contained in the model zoning ordinance issued by the U.S. Department of Commerce in 1924 (although the Village of Edina did not adopt its first land use zoning ordinance until 1930, when the state legislature authorized statutory municipalities to adopt zoning ordinances). Sam Thorpe is believed to have personally approved the plans for every home built in the district until 1930, 4 when Thorpe Bros. delegated responsibility for enforcement of the architectural controls to a private homeowners’ association, the Country Club Association, which had been formed on November 30, 1925. Thorpe Bros. stopped requiring deed restrictions on lot sales after July 1, 1944, by which time 507 homes had been built in the district. The original covenants did not expire until 1964. Sam Thorpe reportedly considered the Country Club development to have been the highpoint of his real estate career. Thorpe later came under scrutiny for his restrictive covenants, which effectively “redlined” the Country Club District by excluding African Americans, Jews, and other minorities from owning or renting property. The covenants, which took the form of private contracts, included the following stipulation: “No lot shall ever be sold, conveyed, leased or rented to any person other than of the white of Caucasian race, except such as many be serving as domestics for the owner or tenant of said lot, while said owner or tenant is residing thereon.” The deed restrictions “ran with the land” and remained in effect until 1944. This kind of racial segregation was not mandated by any municipal ordinance or zoning code and homeowners were required to enforce their covenants through civil action. Thorpe did not invent restrictive covenants, which were common practice in real estate development during the late nineteenth and early twentieth centuries, and there is no clear evidence to show he was a virulent racist or anti-Semite. Viewed in historic context, the Country Club deed restrictions reflected the standards of practice in land use planning and the real estate industry at the time the district was established. Notwithstanding state and federal laws prohibiting discrimination in housing based on race, religion and ethnicity, social enforcement of the ownership restrictions imposed by the developer during the 1920s- 1940s made it exceedingly difficult for non-whites, Jews and other minorities to purchase homes in the district, which remained a predominantly white suburban enclave for generations after the covenants expired. (After the U.S, Supreme Court declared racial zoning unconstitutional in 1917, restrictive covenants became the preferred method for developers to create “whites only” subdivisions; in 1948 the court held that racially restrictive covenants were not legally enforceable, although it was not until 1968 that the practice was explicitly prohibited by the Fair Housing Act.) Thorpe married Margaret Palmer Andrus (1876-1935) in Yonkers, New York on October 3, 1899. She was the daughter of John Emory Andrus (1841-1934) and Julia Marie Dyckman (1847-1909). Andrus, who made his fortune in pharmaceuticals and real estate, was one of the 5 wealthiest men in the United States and had extensive investments in Minnesota. The couple returned to Minneapolis and took up residence in the Thorpe family home at 92 South 12th Street, but later moved to 1106 Mount Curve Avenue in the Kenwood neighborhood, where they raised their four children: Andrus (1900-1963), James Ruggles (1903-1978), Julia (1904-1995), and Samuel S., Jr. (1907-1979). Margaret passed away on October 19, 1935. On October 5, 1936, Samuel Skidmore Thorpe died “while sitting in a chair at his home,” aged 72. He was buried in the Thorpe family plot in Lakewood Cemetery. After his death, the presidency of Thorpe Bros. Real Estate passed to his son, James, who managed the family business until his retirement in 1968. Bibliography The Crier. 1930-1940. On file at the Edina Historical Society. [Monthly newspaper published for residents of the Country Club District] Davison’s Minneapolis City Directory. Vol. XLVIII. Minneapolis: Minneapolis Directory Company, 1920. “Fine Houses Rise in Edina, Once ‘Seat’ of Flour Milling Industry.” Minneapolis Journal, October 3, 1926. Hesterman, Paul D. From Settlement to Suburb: The History of Edina, Minnesota. Edina Historical Society, 1988. [Country Club District, pp. 39-72] “Homesites in the Country Club District,” Minneapolis Journal, October 3, 1926. Minneapolis Area Association of Realtors. “Our History: One Hundred Years Of Service to Members And Community . . .” http://www.mplsrealtor.com/inside_centennial.asps “Minneapolis Real Estate Board Elects New Officers,” Minneapolis Tribune, January 14, 1904. Morrill, George P. Multimillionaire Straphanger: A Life of John Emery Andrus. Middletown, CT: Wesleyan University Press, 1971. Morse-Kahn, Deborah. Chapters in the City History: Edina. City of Edina, 1998. [Country Club District, pp. 90-98] National Association of Realtors. “Samuel S. Thorpe.” Presidents of the National Association of Realtors. Chicago, 1980. http://www.nar.realtor/samuel-s-thorpe “Samuel Thorpe, ‘Father’ of Barge Service, Dead,” Winona Republican Herald, October 6, 1936. 6 Scott, William W. and Jeffrey A. Hess. History and Architecture of Edina, Minnesota. City of Edina, 1891. [Country Club District, pp. 63-68] Shutter, Marion D., ed. History of Minneapolis, Gateway to the Northwest. 3 vols. Chicago: S, J, Clark Pub. Co., 1923. [S. S. Thorpe biographical sketch in Vol. II, pp. 15-16] Smith, Scott D. “Thorpes sell Plymouth Building.” Minneapolis/St. Paul Business Journal, January 6, 2003. http://www.bizjournals.com/twincities/stories/2003/01/06.html Spaeth, Lynne VanBrocklin. “Country Club District, Edina, Minnesota.” National Register of Historic Places nomination form, October, 1980. On file at the State Historic Preservation Office, St. Paul. Thorpe Bros. Announcing Thorpe Bros. Minnehaha Grove Addition. For Sale by Thorpe Bros. Minneapolis, 1923. [4 page brochure] Thorpe Bros. Country Club District. Minneapolis, 1924. [16 page brochure. illustrated] Thorpe Bros. Helping to Write Minneapolis History: Eighteen Eighty-Five to Nineteen Forty- Five. Minneapolis, 1945. Thorpe Bros. Map of Minneapolis. Compliments of Thorpe Bros., Inc. Minneapolis, 1940. [Includes Country Club District] “Thorpe’s Country Club District,” Minneapolis Tribune, Sunday, June 20, 1926. [Illustrated with photographs of new houses.] Village of Edina. Council minutes, 1920-1935. City Clerk’s office, Edina City Hall. “Your Home-Search Ends Where Town and Country Meet,” Minneapolis Tribune, June 8, 1924. Date: September 8, 2020 Agenda Item #: VII.A. To:Heritage Preservation Commission Item Type: Other From:Emily Bodeker, Assistant City Planner Item Activity: Subject:Preservation Basics Discussion CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: None. INTRODUCTION: Consultant Vogel will present at the meeting. Attached is the MN State Training Manual for HPCs and the National Register Bulletin, "Guidelines for Local Surveys: A Basis for Preservation Planning." Other Resources: www.mn.gov/admin/shpo/ www.nps.gov/subjects/nationalregister/publications.htm Heritage Preservation Comp P lan Chapter City Code Chapter 36, Article IX- Edina Heritage Landmarks City Code Chapter 2, Article III, Division 5 Heritage Preservation Commission ATTACHMENTS: Description MN State Training Manual for HPCs National Register Bulletin-Part 1 National Register Bulletin-Part 2 Heritage Preservation CommissionTraining Manual state of minnesota Final: august 30, 2016 Table of Contents Final: August 30, 2016ii acknowledgements Many people provided invaluable assistance on this project. The following individuals contributed to the development of the tutorial: City of stillwater: abbi Jo Wittman, City Planner City of eden Prairie: lori Creamer, Planning Technician City of mankato: Mark Konz, Planning Coordinator Courtney Kramlinger, Planning assistant mnHs’s Heritage Preservation Department Michael Koop, Certified local government Coordinator Winter & Company noré Winter Julie Husband Marcia Klopf Harry Brennan Christopher Ball Betsy Shears Finally, thanks goes to all those members of heritage preservation commissions who dedicate countless hours of service to their community. grassroots preservation ef- forts rely heavily on the dedication of local preservationists who are actively involved in local government activities. Those qualified individuals who serve on local HPCs play a critical role in the protection and enhancement of the state’s historic resources, and without their service, much of our heritage would be lost. This project has been financed in part with funds provided by the State of Minnesota from the arts and Cultural Heritage Fund of the Clean Water, land and legacy amendment to the Minnesota Constitution, through the Minnesota Historical Society. Special thanks to the partner communities in this project: Stillwater, Eden Prairie and Mankato. Minnesota Statewide Heritage Commission Training Manual Final: August 30, 2016 iii taBLe oF Contents introduction.................................................................................1 Chapter 1: Why are We Here?....................................................7 a. introduction..........................................................................................................8 B. Why Do We Preserve Historic resources?.............................................................8 C. What Does Preservation Mean?..............................................................................9 D. What is a Historic Property?..................................................................................10 E. What are Our goals for Preservation?..................................................................11 F. How Did We get Here?..........................................................................................13 g. role of the Commission.......................................................................................20 H.Preservation Benefits.....................................................................................21 i. Preservation incentives .........................................................................................25 Chapter 2: Legal Foundations.................................................39 a. legal Basis..........................................................................................................40 B. How Do We Find What is Historically Significant?....................................................45 C. Tools used to identify Historic Properties.................................................................45 D. How Do We Officially recognize Properties of Historic Significance?........................50 E. How Does the national register of Historic Places (nrHP) Designation Work?...........51 F. How Does local Designation Work?.....................................................................52 g. What legal issues May Be raised?..........................................................................53 Chapter 3: Designating Properties.........................................57 a. Designating Historic Properties..............................................................................58 B. inventories...........................................................................................................61 C. Types of Historic Properties...................................................................................63 D. Significance and integrity.......................................................................................65 E. Defining Districts and using Boundaries.................................................................70 Chapter 4: treatment of Historic Properties...........................73 a. Determining What’s important to Preserve..............................................................74 B. Basic Preservation Principles................................................................................76 C. alternative Treatments for a Historic Property........................................................77 D. applying These Principles.....................................................................................80 Table of Contents Final: August 30, 2016iv Chapter 5: nuts and Bolts for Commissions..........................85 a. roles of the Players...............................................................................................86 B. Policy Base for Preservation....................................................................................93 C. Design guidelines ................................................................................................95 D. Defensible Decision-Making..................................................................................99 Chapter 6: Project review.....................................................101 a. What is the HPC’s Scope of authority?...................................................................102 B. When is Design approval required?......................................................................103 C. What are the Steps in the review? .........................................................................104 D. Citing Design guidelines .......................................................................................109 E. Potential actions..................................................................................................110 Chapter 7: special Legal issues............................................111 a. Economic Hardship..............................................................................................112 B. Demolition by neglect..........................................................................................116 C. Enforcement.......................................................................................................120 Chapter 8: Frequent Design issues......................................121 a. Substitute Materials.............................................................................................122 B. Sustainability and “green” issues........................................................................127 C. Windows on Historic Buildings..............................................................................134 D. new additions to Historic Buildings.......................................................................139 E. new Construction in Historic Districts...................................................................143 Chapter 9: Where Do We go From Here?................................145 a. Current Trends....................................................................................................146 B. Keep Challenges in Perspective.........................................................................149 C. reaching Out......................................................................................................150 D. Your Work is Valued!..........................................................................................151 E. Thank You for Your Service!...............................................................................151 glossary..................................................................................153 additional credit is given to those communities that were interviewed and/or researched during the project. These include the following: anoka, Belview, Carver, Duluth, Edina, Excelsior, Hastings, Henderson, lanesboro, litchfield, Minneapolis, new ulm, red Wing, rochester, St. Cloud, St. Paul, Wabasha and Winona. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 1 introDuCtion Welcome! Heritage Preservation Commissions (HPCs), serving as part of local governments across the state, play invaluable roles in promoting the active, respectful use of historic resources and districts. they help to preserve the records of our heritage and to promote livable, vital places throughout the state. as of September 2016, Minnesota had 57 municipal, town- ship and county jurisdictions with HPCs established under state enabling legislation. Of these, 21 are located within the greater Minneapolis-St. Paul metropolitan area. Many other commissions are concentrated in the river valleys and communities in the southern portion of the state, but others can be found in all parts of Minnesota. The commu- nities in which commissions operate vary greatly in terms of their size, demographics, financial capacity, regulatory framework and the resources of the built environment that they work to protect. They also vary to some degree in the ways in which the commissions operate, in terms of the basic tools they use, including their ordinances, surveys and design guidelines. Even so, there are many similari- ties and lessons learned that can be shared. This manual is a reference and training resource for Min- nesota’s Heritage Preservation Commissions, their staff, elected officials and others who are interested in how historic preservation operates at the local government Introduction Final: August 30, 20162 level. it offers an overview of the key components of a preservation program that commissions use in executing their duties. it is published in the interest of enhancing the performance of preservation work of local governments and to help others understand how to support these programs. The manual introduces a foundation of basic preserva- tion principles, operating procedures and practical advice that will help new commissioners understand the realm in which they will operate; at the same time, it will help experienced commissioners refine their skills regarding basic concepts, common terminology and core principles of preservation practice. it also provides an insight into local preservation systems for elected officials and mem- bers of other boards (such as planning commissions) who are interested in how HPCs operate. Zoning and building code officers, community development directors and Main Street managers will also benefit from the material, since their duties often bring them into contact with HPCs. user notes Some important notes when using this guide: The terms “Historic Pres- ervation Commission” and “Heritage Preservation Commission” are used interchangeably- under- standing the title for each body will vary depending on the local ordinances in each jurisdiction. although this tutorial pro- vides legal explanations and cites legal authorities, it should not be relied on as a source of legal ad- vice. Members and staff of historic preservation commissions are advised to obtain legal opinions from their county or municipal attorneys should questions arise. in addition to this training tutorial, the Minnesota Historical Society provides a full range of materials to assist local commissions in doing their jobs. refer to www.mnhs.org for a list of publications and video materials. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 3 about the manual organization The manual is designed to be informative, while covering a wide range of material. it serves as a companion piece to an online tutorial for heritage preservation commission- ers, which provides a more abbreviated introduction to the same topics. it first presents an overview of how the preservation movement evolved in the united States and within Minnesota. Then, it introduces the basic components of a program, including the legal basis for preservation, the ways in which historic resources are identified and then officially designated. it then addresses the ways in which meetings should be conducted, including design review. later chapters then return to legal and design topics, to explore some of the more frequently occurring questions related to these areas. Both the manual and the online tutorial follow the same organizational structure. They also are designed in modular formats that can be built upon over time as further topics are introduced. readers will note that some topics appear in more than one chapter, resulting in some repetition. This is intentional. it reflects the integrated nature of the various components that are associated with operating a preservation pro- gram at the local level. While many related elements are grouped under one broad section within a single chapter, others appear in more than one place. For example, the use of historic resource surveys is discussed in the section related to identifying resources, but also in the sections addressing designation, design review and legal issues. in each of those locations the treatment of that topic var- ies somewhat, in that it is tailored to the broader topic at hand. in this way, a user who is only reading one chapter for a specific topic will see its relationship to other material presented elsewhere in the training materials. user notes Photographs throughout this manual are not always captioned, but show a wide variety of historic resource types, historic documents and public meetings re- garding historic resources, from a range of communi- ties across the state of Minnesota. Introduction Final: August 30, 20164 the need for training materials Continuing education is the foundation of a strong heritage preservation commission. not only must commissioners be equipped to fulfill their statutory roles in a responsive and sensitive way, they must also provide leadership for the historic preservation movement at the local level. in order for commissions to effectively carry out their legislative functions and serve as preservation advocates, they must be viewed as credible, trustworthy and valuable. They must be able to operate in a professional manner and answer basic questions about preservation theory and operations. The also must demonstrate sound decision-making to maintain public trust and confidence. For these reasons, ongoing training is needed on a variety of topics, from preservation basics to more advanced technical issues. The manual and the on-line training course are provided in response to these needs. Moreover, as the field of historic preservation is always evolving, commission members must constantly pursue educational opportunities that enable them to continue to fulfill their duties faithfully and capably. informed commis- sioners render more impartial and consistent decisions. They also serve as stronger advocates for local heritage and ultimately bring credit to their commission and to the preservation movement in general. HPCs may struggle with technical issues related to pro- gram activities as well as questions of how to operate efficiently, sometimes with limited staff and short dead- lines. They also seek to build a broader base of support by expanding their understanding of operating principles and procedures among the community at large. They also sometimes are challenged with what may appear to be conflicting policies with other local regulations that may create tension between historic preservation and broader community planning objectives. all new commissioners are strongly encouraged to com- plete the course, while more experienced commissioners may use the tutorial as a refresher on specific topics. Com- missioners, both new and old, can benefit from training on a variety of topics, from preservation basics to more Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 5 advanced technical issues, to carry out their legislative functions and to serve as effective preservation advo- cates. This requires that commissioners possess a depth of knowledge that enables them to explain to others the importance of heritage preservation. How the training materials Were Developed Critical concepts, legal terminology and preservation prin- ciples that commissioners must know were identified by commissioners and staff with “on the ground” insight and incorporated into the training curriculum. Stillwater, Eden Prairie and Mankato functioned as the partner communi- ties, providing information and common experiences of Heritage Preservation Commissions that helped to inform this process and the subsequent materials. Planning staff from these three communities were also key leaders in this process. Excelsior, red Wing, St. Paul and Minneapolis were interviewed in this process. Finally, numerous com- munities throughout the state of Minnesota functioned as research communities in which information was collected from their websites and staff to gain a better understanding of how historic preservation works in individual communi- ties throughout the state. Funding For this Project This project has been financed in part with funds provided by the State of Minnesota from the Heritage Partnership Program arts and Cultural Heritage Fund of the Clean Water, land and legacy amendment to the Minnesota Constitution, through the Minnesota Historical Society. The program’s goal is to build capacity of eligible ap- plicants to preserve and enhance access to Minnesota’s history and cultural resources by supporting the creation and development of sustainable, history-based partner- ships through the state. This project was also completed in partnership with the communities of Stillwater, Eden Prairie and Mankato. note: links in this document are interactive. You may click on the link to be redirected to the website provided. However, in some cases these weblinks may be broken. Titles of the web- links are intended to assist in searching for the docu- ments if the link provided is inactive. Introduction Final: August 30, 20166 Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 7 CHaPter 1: WHy are We Here? a starting Question Let’s say you’ve just been invited to apply for a seat on the Heritage Preservation Commission in your community. you are certainly interested, but you need more information: • What is this all about? • What does “preservation” mean? • and what is the role of a preservation commis- sioner? this chapter answers those questions, provides an overview of some basic terms related to the move- ment and outlines the reasons that communities operate preservation programs. WeLCome! Welcome to the Minne- sota Statewide Training Program! in this Chapter: a. introduction B. Why Do We Preserve Historic resources? C. What Does Preservation Mean? D. What is a Historic Property? E. What are Our goals for Preservation? F. How Did We get Here? g. role of the Commission H. Preservation Benefits i. Preservation incentives Preservation commissioners serve an essential role in pro- moting preservation and use of historic resources throughout Minnesota. Chapter 1: Why Are We Here? Final: August 30, 20168 a. introduction With Heritage so rich in 1966, a Special Committee on Historic Preservation for the u.S. Conference of Mayors explored the issue of heritage conservation in america. Their report, titled With Heritage So Rich, sparked adoption of the national Historic Preservation act that year. in its introduction, author Sidney Hyman set forth fundamental reasons for preservation that remain just as valid today: “What we want to conserve, therefore, is the evi- dence of individual talent and tradition, of liberty and union among successive generations of Ameri- cans. We want the signs of where we came from and how we got to where we are, the thoughts we had along the way, and what we did to express the thoughts in action. We want to know the trails that were walked, the battles that were fought, the tools that were made. We want to know the beautiful or useful things that were built and the originality that was shown, the adaptations that were made and the grace-notes to life that were sounded. We want to know the experiments in community living that were tried and the lessons that were taught by a brave failure as well as by a brave success.” B. Why Do We Preserve Historic resources? We preserve historic resources for these reasons: • Preservation honors our diverse heritage. • Preservation supports sound community planning and development. • Preservation maintains community character and sup- ports livability. • Preservation supports sustainability in our communi- ties. • Preservation keeps historic resources for the benefit of future generations • Preservation supports economic development Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 9 C. What Does Historic Preservation mean? While we all talk about “preservation,” we don’t often define it. Fundamentally, preservation means keeping historic properties and places in active use while accommodating appropriate improvements to sustain their viability and character. it also means keeping historic resources for the benefit of future generations. That is, while maintaining properties in active use is the immediate objective, this is in part a means of assuring that these resources will be available for others to enjoy in the future. Preservation is also about managing change, not freezing historic properties or districts in time. it is not simply about maintaining a historic appearance, but about maintaining authenticity, where possible. in addition to maintaining the historic appearance, this means that preserving original materials and craftsmanship of historic properties is also of extreme importance. Historic preservation encompasses the breadth of activi- ties aimed at preserving national heritage as represented by a wide variety of cultural resources. Preservation can include: acquisition, development and adaptive use of historic properties; comprehensive planning; research of historic contexts; survey, inventory, evaluation and designation of historic properties; management, including treatments such as preservation, stabilization, rehabilita- tion, restoration and reconstruction; and education and interpretation. Preservation also is about being “green.” For a more de- tailed description about preservation and green building, see Chapter 8. minnesota Preservation PLan refer to the Minnesota Preservation Plan for more information on preserva- tion goals for 2012-2017. http://www.mnhs.org/ shpo/planning/docs_ pdfs/preservation- plan_2012-2017.pdf Before Chapter 1: Why Are We Here? Final: August 30, 201610 D. What is a Historic Property? in preservation terms, a “property” may be a prehistoric or historic site, building, structure, district or object that has been determined to have historic significance, by applying criteria that are adopted by the governing body. generally a historic property is one that is associated with an activity or person of importance in the community’s history, or that represents a noteworthy designer, or a type of building construction that is important in the area’s history. More information about historic properties, significance and integrity can be found in Chapter 2. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 11 e. What are our goals For Preservation? national Historic Preservation act of 1966 goals for preservation are outlined in the national Historic Preservation act of 1966. While crafted for federal agen- cies, they also reflect objectives for local governments in Minnesota. as stated in the preamble of the nHPa: “The Congress finds and declares that — (1) the spirit and direction of the Nation are founded upon and reflected in its historic heritage; (2) the historical and cultural foundations of the Nation should be preserved as a living part of our community life and development in order to give a sense of orientation to the American people; (3) historic properties significant to the Nation’s heritage are being lost or substantially altered, often inadvertently, with increasing frequency; (4) the preservation of this irreplaceable heritage is in the public interest so that its vital legacy of cultural, educational, aesthetic, inspirational, economic, and en- ergy benefits will be maintained and enriched for future generations of Americans; (5) in the face of ever-increasing extensions of urban centers, highways, and residential, commercial, and industrial developments, the present governmental and nongovernmental historic preservation programs and activities are inadequate to insure future generations a genuine opportunity to appreciate and enjoy the rich heritage of our Nation; (6) the increased knowledge of our historic resources, the establishment of better means of identifying and administering them, and the encouragement of their preservation will improve the planning and execution of Federal and federally assisted projects and will assist economic growth and development...” Chapter 1: Why Are We Here? Final: August 30, 201612 minnesota Preservation Plan goals The Minnesota Statewide Historic Preservation Plan pro- vides the overall framework for the historic preservation goals of all of Minnesota’s preservation partners. With the preservation community united in its stewardship of Minnesota’s resources, several goals are outlined in the document: 1. Create statewide awareness of and appreciation for the value of Minnesota’s historic resources. 2. Encourage integration of historic preservation at all levels of planning. 3. Expand the statewide network of organizations and individuals engaged in historic preservation. 4. Promote historic preservation as an economic development tool and provide economic incentives that encourage it. 5. identify, evaluate and designate significant historic and archaeological resources. 6. Encourage appropriate management and treatment of historic resources. 7. Preserve the places that matter: increase the identification, designation and protection of Minnesota’s historic and archaeological resources. 8. Promote preservation’s economic benefits: Strengthen the connections between historic preservation, community economic vitality and sustainability. 9. Educate, educate, educate: Build a foundation for effective preservation education and activism. 10. increase diversity in Minnesota’s historic preservation community: include participants who reflect the breadth of the state’s racial/ethnic groups, geography, income levels and ages. 11. lead the way: Develop leaders at all levels to strengthen Minnesota’s preservation network. minnesota Preservation PLan refer to page 24 of the Minnesota Preservation Plan for more information on preservation goals and strategies for 2012-2017. http://www.mnhs.org/ shpo/planning/docs_ pdfs/preservation- plan_2012-2017.pdf Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 13 F. How Did We get Here? Historic preservation activities are undertaken by a broad and interconnected web of federal, state, and local agen- cies both in the governmental and private sectors. This network evolved from a small group of private organiza- tions dedicated to the preservation of individual properties and expanded into a larger system of government protec- tors and local advocates. active preservation of historic resources has a longstanding heritage in america. it is a time-proven tool. This section summarizes some of the events in the pres- ervation movement that have led us to the current state, beginning with early actions at the local level and then progressing to state and federal ones leading up to the adoption of the national Historic Preservation act and sub- sequent related laws, including the federal tax credit act. Private Preservation organizations Early preservation activities focused on individual proper- ties within a city or region. Such efforts include: 1853: mount vernon Ladies’ association Created by ann Pamela Cunningham to save the home of george Washington, the Mount Vernon ladies’ associa- tion of the union served as a model for other preservation projects and organizations that have followed 1910: society for Preservation of new england an- tiquities Established to preserve individual properties of notewor- thy significance, focusing on Boston and other cities in new England 1975: rivertown restorations Founded in 1975 by Stillwater citizens with the concern about the loss of Stillwater’s historic structures, city heri- tage and architecture 1981: Preservation alliance of minnesota Formed in 1981 by citizens concerned with the long-term protection of historic places Chapter 1: Why Are We Here? Final: August 30, 201614 early Local Preservation ordinances and actions in the united states and in minnesota While private associations were forming to preserve in- dividual properties of historic value, no local government had passed a regulation requiring preservation of local landmarks, and indeed districts, until Charleston, SC enacted its first ordinance in 1931. These local designa- tions came about from a long-term growing concern that we were losing historic properties that are of importance to us. in the 1970s, several governments in Minnesota adopted ordinances that established local preservation commissions and provided for designating and protecting historic properties. 1931: Charleston, sC The first local preservation ordinance in america 1936: vieux Carré, new orleans Established by the state legislature to protect the French Quarter 1936: Boston, ma also established by the state legislature, becoming the 15th local preservation act 1969: state of minnesota Minnesota State Historic Preservation Office created by state statute 1972: minneapolis, mn Heritage Preservation Ordinance 1976: saint Paul, mn Heritage Preservation Commission created by city ordi- nance 1981: Faribault, mn Heritage Preservation Ordinance 1985: Faribault, mn Minnesota’s first Certified local government Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 15 state Level activity Officials soon recognized the need for a state-chartered office to promote preservation. Early preservation efforts by the state were actions on a case-by-case basis as a result of citizen advocacy to save specific resources. section 471.193 “municipal Heritage Preservation” of the minnesota statutes The legal foundation for preservation programs in most local governments in Minnesota is established in Section 471.193 of the Minnesota Statutes which deals with a host of matters related to planning and zoning, includ- ing historic preservation. it provides the legal foundation for authorizing local governing bodies to engage in a comprehensive program of historic preservation, and to promote the use and conservation of historic properties for the education, inspiration, pleasure and enrichment of the citizens of the state. Section 471.193 defines that commissions may address these actions: • Survey and Designation • Construction • alteration • Demolition • Other duties that may be delegated by the governing body minnesota environmental rights act The Minnesota Environmental right act (MEra) provides the right to protect “natural resources,” which includes historic resources. This act enables persons or govern- ments with the right to sue in order to prevent action that may harm protected resources. 2016: 57 Heritage Preservation Commissions in minnesota • 44 are Certified local governments For more inFormation: For more information and links to Federal and State preservation legislation visit: Minnesota SHPO: Preser- vation Legislation http://www.mnhs.org/shpo/ review/legislation.php minnesota HistoriCaL soCiety as its fifth official act, Min- nesota Territory’s pioneer legislature established the Minnesota Historical Soci- ety in 1849. Chapter 1: Why Are We Here? Final: August 30, 201616 Key Preservation Players in minnesota governmental Private sector national Level national Park Service (nPS) - national register of Historic Places national Trust for Historic Preservation advisory Council on Historic Preservation - Section 106 compliance national alliance for Preservation Commissions state Level Minnesota State Historic Preservation Office - identify, evaluate, register and pro- tect Minnesota’s historic properties - Develop local history organizations and activities - assist government agencies in his- toric preservation responsibilities Minnesota Historical Society Minnesota Office of the State archaeologist Preservation alliance of Minnesota Local Level local Heritage Preservation Commissions Historical Societies local advocacy Organizations Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 17 Federal Preservation activity Over the years, many federal actions have contributed to the preservation movement, while others sometimes created threats to older and historic properties. Some key dates are: 1889: goodman Point Cabinet order This Department of the interior order withdrew the area surrounding goodman Point Pueblo (Hovenweep national Monument, Montezuma County, Colorado) from home- steading. This was the first federal action to protect ar- chaeological resources in the united States of america. http://www.nps.gov/hove/planyourvisit/goodman.htm 1906: american antiquities act (16 u.s.C. 431-433) This law protects archaeological and paleontological resources on federal land from appropriation, injury or destruction. it establishes a permit system and penalties, orders collections placed in museums, enables rule mak- ing and authorizes the creation of national Monuments. http://www.nps.gov/history/local-law/anti1906.htm 1935: national Historic sites act The national Historic Sites act of 1935 established the national Historic landmarks (nHl) program and authorized the Secretary of the interior to administer it. The program recognizes nationally significant buildings, sites and ob- jects that represent the prehistory and history of the united States and to encourage their long-range preservation. 1949: Housing act of 1949 and the 1954 Housing act Title One of the Housing act of 1949 kick-started the “urban renewal” program that would reshape american cities. The act provided federal funding to cities to cover the cost of acquiring areas of cities perceived to be “slums”. This increased pressure to demolish older properties, including those of historic significance. The Housing act of 1954 established urban renewal, which encouraged demoli- tion of older neighborhoods to construct new housing by among other things, providing FHa-backed mortgages. Chapter 1: Why Are We Here? Final: August 30, 201618 1956: Federal aid Highway act Popularly known as the national interstate and Defense Highways act, the legislation empowered state and fed- eral governments to acquire rights-of-way for highways throughout america, often impacting older neighborhoods. 1966: national Historic Preservation act in 1966, Congress passed the national Historic Preserva- tion act which created the national register of Historic Places, established grant programs for restoration proj- ects and survey activity, and required review of federally funded, licensed and permitted projects for impacts on historic properties. The act also provided that each state, tribe and territory should establish a State Historic Pres- ervation Officer to help administer the law in their indi- vidual jurisdictions, and the advisory Council on Historic Preservation to serve as a presidential and congressional advisor on historic preservation matters. 1969: national environmental Policy act While this legislation focused on ecology and biological resources, it came to influence procedures used to identify, designate and protect historic resources as well, and when some states adopted their own state level equivalents, they sometimes included cultural resources. 1976: tax reform act Provides for tax incentives to encourage preservation of commercial historic resources and a 60-month accelerated depreciation of certain rehabilitation costs for certified historic properties as well as a deduction for preservation easements. 1976: american revolution Bicentennial The Bicentennial spurred new interest in history and historic properties. This period saw a surge in local governments establishing preservation commissions. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 19 1979: archaeological resources Protection act (Public Law 96-95 as amended, 16 u.s.C. 470aa-mm): This law defines archaeological resources, improves law enforcement, increases criminal penalties for harm or destruction of resources and allows for civil penalties. it also encourages increased cooperation between the public, professional archaeologists, and government authorities. http://www.nps.gov/history/local-law/FHPL_ ArchRsrcsProt.pdf 1980: Certified Local government Program The Certified local government Program (Clg) is a preservation partnership between local, state and national governments focused on promoting historic preservation at the grass roots level. Established as an amendment to the national Historic Preservation act, the program is jointly administered by the national Park Service (nPS) and the SHPOs in each state, with each local community working through a certification process to become rec- ognized as a Clg. Clgs then become an active partner in the Federal Historic Preservation Program and the opportunities it provides. 2006: Preserve america summit Held in new Orleans, this gathered leaders from across the nation to chart a strategy for preservation efforts nationwide. 2016: 50th anniversary of the national Historic Pres- ervation act Chapter 1: Why Are We Here? Final: August 30, 201620 g. role of the Commission How do local commissions fit into the state’s heritage preservation system? Clearly, local governments were pivotal in creating the preservation movement, and thus commissioners play a crucial role in promoting good stew- ardship and the active use of historic properties. The official roles and responsibilities are defined in local ordinances, but in general, commissions help to identify historic resources by sponsoring surveys and then pro- moting their recognition by publishing inventories of the resource results. They often will then work to have some of these resources designated as official landmarks and districts through local ordinances. Once properties are designated, alterations and improvements are reviewed for appropriateness by the commissions. in addition to these formal administrative and regulatory roles, commissions work to promote good stewardship by sponsoring educational programs that build awareness of heritage and enhance skills in rehabilitation techniques. Other commission activities may include managing a markers program, presenting awards for meritorious pres- ervation work and staging special events that highlight historic resources. Commissions also build partnerships with other allied groups and individuals, such as the Main Street program, economic development offices and local historical societ- ies to promote appreciation of historic resources and to encourage their continued use. More information about commission roles, partnerships and specific programs are included throughout this manual. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 21 H. Preservation Benefits Minnesota’s historic resources provide tangible links to the past, which enriches our sense of identity and the value of place. They also contribute to several key community objectives including economic development, environmental sustainability and livability. Other benefits are less tangible, but nonetheless valuable. The scale and texture in the detail of historic buildings enrich our communities. Experiencing historic buildings also fosters civic pride, and in turn encourages citizen involvement in the community. This promotes improvement of personal property, and active engagement in our cities and towns. it is a means of fostering good citizenship. The state’s historic resources are essential components of Minnesota’s identity. They enhance quality of life, eco- nomic vitality and environmental sustainability. investment in these assets ensures that the social, cultural and eco- nomic attraction of the state is maintained and enhanced. Economic Benefits The economic benefits of investing in historic properties is well-documented. Because historic properties are finite and cannot be replaced, they can be precious commodi- ties. Preservation therefore adds value to property. Other benefits center on rehabilitation projects and on the income generated by heritage tourism. Historic rehabilitation Projects Direct and indirect economic benefits accrue from reha- bilitation projects. Direct impact refers to the actual pur- chases of labor and materials, while indirect impact can be defined as expenditures associated with the project, such as manufacturing labor. These can be added to create the “total” impact. Preservation projects are generally more labor intensive, with up to 70% of the total project budget being spent on labor, as opposed to 50% when compared to new construction. This means that more of the money invested in the project will stay in the local economy and not be used towards materials and other costs manufac- tured or sourced outside the community. Furthermore, a rehabilitation project will provide functional, distinctive and affordable space for new and existing small businesses. Chapter 1: Why Are We Here? Final: August 30, 201622 This is especially relevant to the local economy where many local businesses operate in historic buildings. Heritage tourism Heritage tourism is another benefit of investment in his- toric preservation, as people are attracted to the cultural heritage sites within Minnesota. These resources provide visitors a glimpse into history and its contribution to state and national history. Cultural heritage tourism means trav- eling to experience the places that authentically represent the stories and people of the past and present. it includes cultural, historic, and natural resources. Heritage tourists spend more dollars on travel than other tourists. Heritage tourism also stimulates employment in hotels, bed and breakfasts, motels, retail stores, restaurants and other service businesses. Explore Minnesota provides more details: http://www.exploreminnesota.com/index.aspx economic vitality Historic preservation is a key factor in maintaining and enhancing local economies. The revitalization of Main Street has played a large role in preserving and reinvigo- rating historic downtowns and neighborhood commercial districts. The variety of strategies taken on by the Main Street Program have earned it a reputation as one of the most powerful economic revitalization tools in the nation, with over $65.6 billion in reinvestment; 126,476 new busi- nesses; and 260,011 buildings rehabilitated since 1980. Environmental Benefits Sustainable development and the conservation of re- sources are inherent central principles of historic pres- ervation. Sensitive stewardship of the existing building stock reduces our environmental impact. Preserving and adapting a historic structure is sound environmental policy in all respects. in basic terms, re-using a build- ing preserves the energy and resources invested in its construction, and removes the need for producing new construction materials. embodied energy Embodied energy is defined as the amount of energy included to create the original building and its compo- nents. Preserving a historic structure retains this energy. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 23 investment studies confirm that the loss of embodied energy associated with the replacement of an existing, unimproved building would take three decades or more to recoup from the reduced operating energy costs in a new building. Wood, stone, brick, and glass all manifest the energy investment of their creation and the energy invested in building construction. if demolished, this in- vestment in embodied energy is lost and significant new energy demands are required to replace it. in addition, according to the Environmental Protection agency, building debris constitutes around a third of all waste generated in the country. This can be reduced significantly if historic structures are retained rather than demolished. sustainable Building materials Historic building construction with the durable traditional materials of wood, stone, and brick were built for longevity, in a manner that allows for repairs to be conducted easily. The sustainable nature of historic construction is best illustrated by the design and construction of a window. Historic windows can be repaired through reglazing and the patching and splicing of wood elements. Contempo- rary windows are often difficult to repair, with replace- ment as the only option. if a seal is disturbed in a vinyl window, the best approach is to replace that particular window, rather then repair the part, as is the case for a historic wood window. Older windows were built with well seasoned wood from stronger, durable, weather resistant old growth forests. Building energy savings Energy savings are not usually achieved by replacing original building fabric with contemporary alternatives. repair and weatherstripping or insulation of the original elements is more energy efficient and much less expen- sive. as much as 50% of the energy lost from a house is from air infiltration through the attic, uninsulated walls, and around the windows and door cavities, and not through the glazing of windows and doors. Proper caulking and insulation around windows and doors, combined with add- ing insulation in attic space, will save energy at a higher rate than by replacing single paned wood windows with double or tripled paned alternatives. Chapter 1: Why Are We Here? Final: August 30, 201624 as governments across the state develop more focused sustainability programs, the environmental benefits of preserving historic building materials will become even more important. it is essential that preservation advocates actively participate in policy development along these lines. smart growth Historic preservation supports Smart growth principles. it reduces the demand for creating new building materials, and “recycles” existing materials in place. in addition, historic neighborhoods and downtowns are pedestrian, bicycle and transit-friendly, reducing the need for auto- mobile trips. Frequently developed with a mix of densities and uses, these neighborhoods and communities offer residents the option to walk or take transit to work, school, shop or play. Historic communities can provide needed housing for all income levels. Without developing new infrastructure, historic properties may be rehabilitated and updated at lower costs than building in new suburban tracts. Through new businesses, shops, and housing in existing buildings, the local tax base is enhanced while the use of existing infrastructure is maximized. Livability Benefits all of these benefits add up to an enhanced quality of life for residents. This equates to a livability factor that is highly valued. living in walkable neighborhoods with convenient goods and services are often qualities of his- toric downtowns and older neighborhoods. Building strong Communities Designation of local historic districts stabilizes and strengthens neighborhoods by protecting their character, typically enhancing property values as a result. Preserva- tion programs also foster community pride, learning and creativity, thus making historic neighborhoods desirable places to live and work. Beyond protecting history and improving aesthetics, preservation also creates cultural vitality and defines community identity, which helps com- munities attract visitors and engage volunteers. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 25 i. Preservation incentives Many incentives exist for preservation of historic prop- erties. Many of these are financial while some focus on providing technical assistance. a variety of incentives are presented below. Federal Financial incentives and Programs One of the ways the federal government encourages the preservation of historic buildings is through federal tax laws that benefit qualifying historic preservation projects. a project may qualify for a 20-percent investment tax credit if: • it involves rehabilitation of a certified historic building used for income-producing purposes; • The rehabilitation work follows the Secretary of the interior’s Standards for rehabilitation; and • The project receives preliminary and final approval from the national Park Service. Property owners, developers and architects must apply for the tax credit through the Minnesota SHPO and are encouraged to work with SHPO staff to ensure that appropri- ate rehabilitation measures are followed. The SHPO then passes its recommendations on to the nPS for approval. Certified Local government Program (CLg) Clg status enables the local government to apply for federal matching grants to preserve historic properties. This local- state-federal partnership encourages the integration of historic preservation into local government policy. Low-income Housing tax Credit The Tax reform act of 1986 allows for the acquisition and rehabilitation of low-income housing by providing dif- ferent levels of tax credit depending on the scope of the project and any other federal funding involved. Property owners have 15 years to bring the project into compli- ance by making some or all units available on an income restricted basis. The Minnesota Historical So- ciety provides information on tax credits for historic structure rehabilitation and more on their website. For more inFormation: More information regarding incentives for the preserva- tion of historic properties can be found at: http://www.mnhs.org/ shpo/grants/ Chapter 1: Why Are We Here? Final: August 30, 201626 new markets tax Credits The Community Development Financial institution of the u.S. Department of the Treasury offers the new Markets Tax Credits incentive, as authorized by the Community renewal Tax relief act of 2000. 39% credit is available for investment in Community Development Entities. state Programs minnesota Historical and Cultural Heritage grants The Minnesota Historical and Cultural grants program is funded by Minnesota’s arts and Cultural Heritage Fund. The program’s goals are to preserve and enhance access to Minnesota’s cultural and historical resources and to support projects of enduring value for the cause of history and historic preservation across the state. Application for the Minnesota Historic Structure Rehabilitation Tax Credit. A description of the tax credit and all relevant forms can be found at the MNHS SHPO site: http://www.mnhs.org/shpo/ grants/mnhistoricstructurereha- bilitationstatetaxcredit.php Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 27 a funding match is not required at any level in the Min- nesota Historical & Cultural Heritage grants program. Match, however, is always encouraged; in fact, it is listed as an additional criterion for evaluating grant applications. Demonstrated match is one indicator of local buy-in and commitment to a project. a match also demonstrates a community’s investment in seeing a project through to completion. minnesota Historic structure rehabilitation state tax Credits The Minnesota Historic Structure rehabilitation Tax Credit offers a 20% state tax credit for qualified historic rehabili- tations, and parallels the existing federal rehabilitation tax credit. it also offers project investors an option of a grant in lieu of a credit, whichever option best suits a developer’s tax situation, in order to maximize the efficiency of the public dollars assisting the project. The program requires an application with the State Historic Preservation Office before project work begins. The current sunset date for the program is 2021. state Capital Projects grants-in-aid The purpose is to support historic preservation construction projects for publicly owned buildings. There is typically one funding opportunity each fiscal year in the summer/fall, dependent on legislative funding. Matching funds must be matched at least 1 to 1 and may be cash, in-kind and/or donated services or materials contributed to the project. State funds may not be used as a match. applicants are local or county governmental units eligible to receive state bond funds as defined in Minnesota Statutes 16a.695. State agencies or organizations primarily funded by the State of Minnesota are not eligible. The property for which funds are being requested must be publicly owned and must be listed in the national register of Historic Places, or have been determined to be eligible for listing in the national register by the State Historic Preservation Office. Heritage Partnership Program The Heritage Partnership Program, funded by the arts & Cultural Heritage Fund of the Clean Water, land and legacy amendment to the Minnesota Constitution. The program’s goal is to build the capacity of eligible applicants Chapter 1: Why Are We Here? Final: August 30, 201628 to preserve and enhance access to Minnesota’s history and cultural resources by supporting the creation and development of sustainable, history-based partnerships throughout the state. Historic recognition grants Program The Historic recognition grants Program from the State’s arts and Cultural Heritage Fund will support history-related projects with a focus on commemoration of Minnesota’s role in the american Civil War. small Cities Development Program (Department of employment and economic Development - DeeD) The Small Cities Development Program helps cities and counties with funding for housing, public infrastructure and commercial rehabilitation projects. The project must meet one of three federal objectives to qualify: benefit people of low and moderate incomes, eliminate slum and blight conditions or eliminate an urgent threat to public health or safety. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 29 Local Programs Little Falls, minnesota little Falls operates a Heritage Preservation Commission loan/grant as part of the mission to preserve, protect and perpetuate the historic, cultural and aesthetic interests and values of the City. The low interest loan/grant fund has was also established to safeguard and enhance the sites and structures within these areas. in order to equitably administer these loan/grant funds from limited financial resources, the City has established a low interest loan/ grant policy. information on the policy can be obtained from City Hall. mankato, minnesota The City of Mankato offers forgivable and low interest loans for rehabilitation to commercial and residential properties within targeted areas. The targeted areas contain some of Mankato’s oldest structures. For commercial rehabilitation, the City offers 0% interest and deferred loans which are forgiven after 10 years of ownership. it is a 50% match program. The City also offers low interest loans which require a 1/3 match by use of a revolving loan fund. The City of Mankato has also used Community Development Block grant Funds (CDBg) for commercial rehabilitation in the past and may continue to do so in the future. The City of Mankato also provides a residential rehabili- tation program for owner-occupied and rental residential rehabilitation for 0% interest and deferred loans which are forgiven after 10 years of ownership. a 0% or 20% match Chapter 1: Why Are We Here? Final: August 30, 201630 may be required, depending on the household income. The rehabilitation must benefit low-to-moderate income households. CDBg funds are used for this program. albert Lea, minnesota The City of albert lea offers the Broadway ridge renewal grant that will provide financial assistance to historic com- mercial property owners interested in facade improvements for the purpose of preserving the architectural character unique to albert lea. Eligible projects must be located in the national Commercial Historic Districts and grant money must be used to finance facade improvements. This program is a matching grant with varying amounts of money based on the size of the building and project. Chaska, minnesota Chaska maintains two local financial incentives for pres- ervation: • initial architectural Feasibility grant: up to $500 avail- able from the City of Chaska Economic Development authority to evaluate and develop design recommen- dations for appropriate treatment of historic buildings • Storefront rehabilitation loans: a revolving loan fund of up to $50,000 (depending on the size of the historic building) minneapolis, mn The Minneapolis Community Planning and Economic De- velopment Department operates a Facade improvement Matching grant program that works to revitalize and sus- tain the economic vitality of the city’s commercial districts through public/private investments in façade projects for commercial properties. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 31 other Potential incentives Low interest & Zero interest Loan Programs Some communities offer special loan programs to promote rehabilitation. For example, a community may provide 0% interest loan funds to residential and non-residential historic properties. loan funds are repaid to the City only through the sale or transfer of the property. Funds returned to the City are recycled back into the program, providing an ongoing source of dollars for additional projects. exemptions and variances Some local governments may also offer exemptions to some local regulations. Variances for encroachments, including reconstruction of missing historical features are examples. Others may waive parking requirements or permit some uses that otherwise would not be allowed in the particular zone district. technical assistance Some communities offer a small grant to assist in securing professional consultation related to historic buildings. a design assistance program aims to help property owners minimize the impacts of additions, alterations and new construction on neighbors and on the overall character of the historic district. This type of educational program is an educational solution for many of the problems with design compatibility in historic areas. The program enables owners to utilize the expertise of qualified consultants with documented experience in compatible historic design, for new construction and alterations as well as for project planning. The City of Stillwater offers technical assistance in the form of pre-design assistance, which is available to property owners seeking understanding of the local district guidelines. This opportunity helps ensure property owners Chapter 1: Why Are We Here? Final: August 30, 201632 design a project that will not only meet the guidelines but that will fit within the local district. While these meetings are generally held with City staff, the Stillwater HPC will meet with a property owner prior to application submittal to provide feedback and informal recommendations of preliminary design concepts. Main Street programs are also available for technical as- sistance through a competitive national award program. Projects must be in the areas of Strategic Organizational Planning, Fundraising, leadership/Board Development and/or Diversity. This program allows a community to re- ceive technical assistance or training directly from experts from the national Main Street Center. easements Preservation easements on property provide income and estate tax deductions for charitable contributions of partial investments in historic property. in donating an easement, an owner transfers control of designated portions of a property to an eligible easement holding organization. Typically, the exterior envelope is conveyed. as a result, any subsequent maintenance work and alterations are subject to the approval of the easement holder. Donors use incentives available in the federal income tax code, which acknowledge easements as charitable contribu- tions. in some cases, this benefit is combined with other state and local charitable gift incentives. Many owners of income-producing properties join this donation benefit with state and federal tax incentives for rehabilitation of certi- fied historic properties. Owners develop these overall tax strategies with their financial advisors. Easement holding organizations exist locally in some communities, and at the state and national levels. The Preservation alliance of Minnesota is one such organization in the state that operates an easement program. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 33 Local resources that Can Help Local government Websites Many local governments maintain a preservation page on their website. These often contain useful links to assis- tance programs and preservation partner organizations. Local Historical societies Historical societies usually focus on promoting awareness of local heritage, maintaining archives and material col- lections, and operating museums. They often hold records related to historic properties that can be useful in devel- oping rehabilitation plans, historical surveys and tours. statewide resources that Can Help minnesota Historical society The Minnesota Historical Society preserves Minnesota’s past, shares our state’s stories and connects people with history in meaningful ways, for today and for tomorrow. Since 1849, the Minnesota Historical Society has grown to become one of the largest and most prestigious histori- cal societies in the country. it plays an important role in the state of Minnesota’s historic preservation, education and tourism, and provides the public with award-winning programs, exhibitions and events. minnesota office of the state archaeologist The Office of the State archaeologist is one of many governmental organizations with a role to play in protect- ing Minnesota’s archaeological resources. Minnesota’s archaeological professionals work in close cooperation with the state archaeologist. The state archaeologist is the chief public contact for archaeology in Minnesota. included in the state archaeologist’s role is an obligation to promote archaeological education. minnesota archaeological society This private, nonprofit organization is dedicated to the preservation and study of archaeological resources in the upper Midwest. The organization presents slide lectures on current fieldwork and research, offers classes in fieldwork methods and artifact analysis, provides opportunities to Chapter 1: Why Are We Here? Final: August 30, 201634 take part in field projects and opportunities to attend special events such as the Midwest archaeological Conference. Preservation alliance of minnesota The Preservation alliance of Minnesota is a statewide nonprofit organization that works toward the use, reuse and preservation of historic buildings and sites throughout the state. The organization runs a variety of programs in- cluding educational outreach classes and workshops, the Old Home Certified program that is the Minnesota realtor designation that was developed by and is only offered by the organization, professional support to developers, in- vestors, engineers, architects, and business owners, and the Minnesota Main Street Program, just to name a few. Minnesota Main Street is a Main Street america™ Coordi- nating Program and provides local Main Street communities with the training, tools, information and networking they need to reinvigorate their commercial districts. Faribault, Winona and new ulm are just a few of the places benefiting from Main Street’s education and proven preservation- based economic development. national resources that Can Help the national Park service The national Park Service is one of the united States’ leading agencies for history and culture. in addition to preserving important historic sites within national park boundaries, the national Park Service works beyond those boundaries to ensure that everyone’s history is saved. The Cultural resources Stewardship, Partnerships, and Science Directorate provides leadership for the protec- tion and interpretation of the nation’s heritage, guides a national historic preservation program that embraces na- tional parks and heritage resources, engages all american peoples with the places and stories that make up their national identity, and serves as a model for the steward- ship of cultural resources throughout the world. the national trust for Historic Preservation The national Trust for Historic Preservation, a privately funded nonprofit organization, works to save america’s historic places. Based in Washington, D.C. and with a network of regional offices, the Trust works in the field of Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 35 historic preservation throughout the united States. The member-supported organization was founded in 1949 by congressional charter to support the preservation of america’s diverse historic buildings, neighborhoods and heritage through its programs, resources and advocacy. in addition to leading campaigns and advocacy, the national Trust provides a growing educational resource through the Preservation leadership Forum that offers articles, journals, case studies, conferences and train- ing. The national Trust issues the quarterly Preservation magazine and produces the “Preservationnation” blog, which features stories about people and places in the wider preservation movement. The national Trust’s cur- rent work focuses on building sustainable communities through the adaptive reuse of historic spaces; preserving and empowering cultural diversity through protecting sites of cultural significance; advocating for greater stewardship of historic places on public land; and leading innovation in the management of historic properties. advisory Council on Historic Preservation The advisory Council on Historic Preservation (aCHP) is an independent federal agency that promotes the preser- vation, enhancement, and productive use of our nation’s historic resources, and advises the President and Congress on national historic preservation policy. The goal of the national Historic Preservation act (nHPa), which established the aCHP in 1966, is to have federal agencies act as responsible stewards of our nation’s resources when their actions affect historic properties. The aCHP is the only entity with the legal responsibility to encourage federal agencies to factor historic preserva- tion into federal project requirements. as directed by nHPa, the aCHP serves as the primary federal policy advisor to the President and Congress; recommends administrative and legislative improvements for protecting our nation’s heritage; advocates full con- sideration of historic values in federal decision making; and reviews federal programs and policies to promote effectiveness, coordination and consistency with national preservation policies. Chapter 1: Why Are We Here? Final: August 30, 201636 national Conference of state Historic Preservation officers The national Conference of State Historic Preservation Officers (nCSHPO) is the professional association of the State government officials who carry out the national his- toric preservation program as delegates of the Secretary of the interior pursuant to the national Historic Preservation act of 1966, as amended (nHPa) (16 uSC 470). The nHPa provides for the designation of a State Historic Preservation Officer (SHPO) in each state. SHPOs: • locate and record historic resources; • nominate significant historic resources to the national register of Historic Places; • Foster historic preservation programs at the local government level and the creation of preservation ordinances; • Provide funds for preservation activities; • Comment on projects under consideration for the fed- eral historic preservation tax incentive; • review all federal projects for their impact on historic properties in accordance with Section 106 of the act and the regulations of the advisory Council on Historic Preservation; and • Provide technical assistance on rehabilitation projects and other preservation activities to federal agencies, state and local governments, and the private sector. The nCSHPO is a 501(c)(3) corporation registered in the District of Columbia. The nCSHPO acts as a communi- cations vehicle among the SHPOs and their staffs and represents the SHPOs with federal agencies and national preservation organizations. Questions about historic pres- ervation in individual states (i.e. a federal project, listing in the national register of Historic Places, tax incentives) should be directed to the respective state. national alliance of Preservation Commissions The national alliance of Preservation Commissions was founded in 1983 in response to amendments to the na- tional Historic Preservation act of 1966. These amend- ments provided financial assistance to local governments that met requirements of the Certified local government program, including the establishment of a local preserva- Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 37 tion ordinance and commission. naPC provides a forum for commissions to discuss mutual problems and to serve as a national voice representing the particular needs of commissions. naPC provides technical support and manages an in- formation network to help local commissions accomplish their preservation objectives. Programs include a bien- nial FOruM conference and Commission assistance and Mentoring Program (CaMP®). naPC also serves as an advocate at federal, state and local levels of government to promote policies and programs that support preserva- tion commission efforts. Preservation action Preservation action is a 501(c)4 nonprofit organization created in 1974 to serve as the national grassroots lobby for historic preservation. Preservation action seeks to make historic preservation a national priority by advocat- ing to all branches of the federal government for sound preservation policy and programs through a grassroots constituency empowered with information and training and through direct contact with elected representatives. Pres- ervation action is the only national non-profit dedicated exclusively to lobbying for the best preservation policies at the federal level. the archaeological Conservancy The archaeological Conservancy is the only national, non- profit organization that identifies, acquires and preserves the most significant archaeological sites in the united States. Since its beginning in 1980, the Conservancy has now preserved 500 sites across the nation, ranging in age from the earliest habitation sites in north america to a 19th-century frontier army post. Chapter 1: Why Are We Here? Final: August 30, 201638 Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 39 CHaPter 2: LegaL FounDations a starting Question you are a member of your local preservation com- mission, which is considering the designation of the city’s oldest house as a historic landmark. the owner, who objects to the designation, has asked if the city has a right to do so. How do you answer? What is the legal basis for regulations related to preservation? this chapter answers those questions and also pro- vides an overview of some basic procedural require- ments that local commissioners must know in order to operate appropriately. LegaL reFerenCes The national Trust for Historic Preservation main- tains numerous articles and web-pages related to preservation, which are a valuable reference for local commissioners: Glossary of Preservation Law Terms http://www.preservation- nation.org/information- center/law-and-policy/ legal-resources/preserva- tion-law-101/glossary-of- preservation-law-terms. html#.VvBJHGQrJQo Preservation Law 101 http://www.preservation- nation.org/information- center/law-and-policy/ legal-resources/preser- vation-law-101/#.Vz9v- OcrK02 Federal Laws Chart http://www.preservation- nation.org/information- center/law-and-policy/ legal-resources/preserva- tion-law-101/federal-law/ federal-laws.html#.Vz9w- ZucrK01 Other references layperson’s guide to Pres- ervation law: Federal, State, and local laws gov- erning Historic resources a QuiCK ansWer: “Fundamentally, communities do have the right to protect historic properties. However, they must do so within the parameters of laws that affect regulation of property and they must employ accepted operating procedures.” Tom Mayes, Legal Counsel, National Trust for Historic Preservation in this Chapter: a. legal Basis B. How Do We Find What is Historically Significant? C. Tools used to identify Historic Properties D. How Do We Officially recognize Properties of Historic Significance? E. How Does the national register of Historic Places (nrHP) Designation Work? F. How Does local Designation Work? g. What legal issues May Be raised? Chapter 2: Legal Foundations Final: August 30, 201640 a. Legal Basis Community Preservation ordinance The preservation ordinance is the key legal tool that es- tablishes the commission, assigns powers and establishes basic processes for designating properties, conducting design review and engaging in other activities to which it is assigned. Preservation ordinances are among the most powerful tools available to local governments to preserve historic places and to protect their community’s character. Counties and municipalities may designate individual buildings and districts as historic. While these properties may also be listed in or eligible for the national register of Historic Places, local designations are made solely by the local government. rules of Procedure in addition to the ordinance, commissions should adopt rules of procedure. These describe in more detail the steps for conducting business. They may be adopted separately, but sometimes are embedded in the preser- vation ordinance. some typical provisions in rules of procedure are: meetings • Schedule for (e.g., once a month) • attendance requirements (maximum of excused ab- sences) Filing an application Schedule for filing an application in advance of a hearing. Submittal requirements, such as: • Application form • Building permit application • Drawings and specifications of proposed work • Photographs of property and its setting Public notification of a hearing • A sign posted at the site • A published announcement oBjeCtive Criteria: it is important that surveys be conducted in an objec- tive manner, using criteria that have been adopted by the commission. These should be consistent with those employed by the Sec- retary of the interior, but may include other criteria as well. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 41 Process for public comment • At a public hearing • Prior to a public hearing Public hearing process • Receiving applicant’s presentation • Receiving staff comments • Receiving comments from the public • Questions by the commission Decision-making • Requirement of a quorum • Rules for discussion among the commission • Making a motion • Voting • Disposition of the agenda item (by vote) • approval as submitted • approval with modifications indicated at the meeting • Continuation to another meeting • Denial Consent docket in order to expedite decisions and manage meeting time effectively, commissions may assign projects to a “con- sent docket,” in which all items are approved in a single motion in cases where there are no adverse comments by fellow commissioners, staff, or the public. Procedures permit removing an item from the consent docket if there are concerns to address. Pre-application conference a meeting before the formal hearing is a valuable way to assure that a proposal is headed in the right direction. Scheduled with staff, this provides an opportunity to ad- vise applicants before they expend substantial time and money on a design proposal. recording decisions The rules of procedure will also describe the requirements for recording decisions. Most hearings are audio or video recorded to retain a basic record of the proceedings. Writ- ten minutes, including decisions, are usually prepared. For more inFormation: The City of Excelsior’s historic preservation or- dinance provides a model example for other com- munities around Minnesota that are looking to update their historic preserva- tion ordinance or to write a new historic preserva- tion ordinance. To read Excelsior’s full ordinance, visit https://www.muni- code.com/library/mn/ex- celsior/codes/code_of_ Chapter 2: Legal Foundations Final: August 30, 201642 administrative approval The rules of procedure may also define a process for administrative approval and define project types that fall under this category. generally, projects eligible for ad- ministrative review are limited to minor alterations and repairs that replace features in-kind. ex parte communication a key consideration is how to handle communications about a pending application that occur outside the public hearing (ex parte). This may be a casual encounter with the applicant on the street, for example, in which they make a comment about their project. While such com- munication should be avoided, it is not always possible to do so. if an ex parte communication does occur, the rules of procedure usually require that fact to be announced at the hearing, and the commissioner involved may recuse him or herself from participating in a discussion about the property, if there is concern about a conflict of interest. Location of rules of procedure in many cases, the rules of procedure are adopted as a stand-alone document. This facilitates amending it without requiring changes to the preservation ordinance. Even so, some of these procedures may be included in the preservation ordinance. Furthermore, in communities that have adopted a unified development code, in which several “stand-alone” ordinances are consolidated, some procedural requirements that apply to all boards and commissions may be located in separated sections of the development code. uniFieD CoDes: note that in some commu- nities that have adopted a unified development code, the preservation ordinance will be a sub-section. Some standard elements of a preservation ordinance may in fact be located in different parts of the code. Meeting procedures, en- forcement and appeals, for example, may be the same as for other boards and commissions and therefore will be found in a different part of the community's regulations. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 43 Key principles for the ordinance local preservation ordinances vary widely, but the na- tional Trust for Historic Preservation recommends that they comply with these five cardinal land-use principles: 1. an ordinance must promote a valid public purpose. That is, it must in some way advance the public health, safety, morals or general welfare. 2. an ordinance must not be so restrictive as to deprive a property owner of all reasonable economic use of their property. 3. an ordinance must honor a citizen’s constitutional right to “due process.” in other words, fair hearings must be provided and rational procedures must be followed in an ordinance’s administration. 4. an ordinance must comply with relevant state laws. 5. an ordinance must apply with equal force to everyone. That’s called “equal protection” of the law. Chapter 2: Legal Foundations Final: August 30, 201644 Basic elements of a Preservation ordinance 1. statement of Purpose Clearly state its public purpose. 2. Preservation Commission established Describe the qualifications of commission members as well as their terms of office. 3. Commission Powers and Duties Typical duties: to conduct historic surveys, maintain inventories, undertake design review and keep adequate records of actions. 4. Criteria for Designating Historic Properties Establish basic, objective criteria for evaluating significance. 5. Procedures for Designating Historic Landmarks and Districts See “due process” requirements described later in this chapter. 6. reviewable actions and Procedures Describe what types of changes --e.g., demolitions, building/landscape alterations or new construction in historic districts-- are subject to review. 7. standards for review These may be broad standards, which can then be elaborated in more detail in ac- companying design guidelines. 8. economic Hardship include a process and standards for evaluating economic hardship claims. 9. interim Protection Provisions Provide for interim protection for buildings nominated but not yet designated. 10. minimum maintenance (Demolition by neglect) include “affirmative maintenance” provisions to prevent negligence in maintenance. 11. enforcement and Penalties Define penalties for violating the ordinance. 12. appeals Establish a method for appeals by aggrieved parties. State and local laws determine how appeals are made. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 45 B. How Do We Find What is Historically Significant? identifying which properties have historic significance is an initial, and important, step in a local preservation program. Professionals, historians, preservationists and architects work with staff, commission members and advocates to evaluate properties, using adopted standards that are recognized nationally. They employ a variety of research tools to assist them in making those determinations. These nationally-recognized standards are created and maintained by the Secretary of the interior through the national Park Service. C. tools used to identify Historic Properties surveys in a historic resource survey, information is collected about the history and condition of properties in a targeted area. The survey process includes a field inspection, collecting historic information about the physical and cultural history of the property and documenting it in photographs, drawings and maps. additionally, the survey will include a descrip- tion of the key characteristics of individual properties as well as the defining characteristics of groups of buildings. The Minnesota Historical Society and Minnesota SHPO have prepared two manuals, guidelines for History/ar- chitecture Projects in Minnesota and SHPO Manual for archaeological Projects in Minnesota. These documents guide survey projects and ensure that the information gathered is consistent and reliable. CertiFieD LoCaL government status The State Historic Preser- vation Office (SHPO), and the national Park Service, certify local governments to participate in state and federal preservation pro- grams. as a Certified local government (Clg), a com- munity is eligible for special grants and tax incentive programs. Maintenance of Clg status, however, includes specific respon- sibilities. This includes maintaining a system for survey and inventory of historic properties. Cover to the Manual for Historic and Architectural Surveys in Minnesota created by the Minnesota Historical Society MINNESOTA HISTORICAL SOCIETY Manual for Historic and Architectural Surveys in Minnesota ______________________________________________________________________________ Technical Information for Preservation Planning and Historic Property Documentation Heritage Preservation Department Revised July 2016 Chapter 2: Legal Foundations Final: August 30, 201646 inventories an inventory is a catalog of survey information, organized by individual property addresses, that is maintained by a community. it includes those properties identified as having significance, as well as others that have yet to be evaluated, and those that have been evaluated and found to lack historical significance. inventories can be managed at both the state and local level. state Level The Minnesota SHPO runs an ongoing statewide survey program that has recorded more than 70,000 historic structures and approximately 18,000 archaeological sites representing every county in Minnesota. This information, housed at the SHPO offices, is generated by the SHPO, other government agencies, county and local historical societies, educational institutions, research organizations and private property owners. These inventories contain Minnesota’s known archaeologi- cal sites and historic standing structures. The majority of archaeological sites and many historic standing structures have not yet been inventoried; as that work is undertaken, additional properties will be added to SHPO files. For more inFormation: For more information on the survey process for please review: Guidelines for History/ Architecture Projects in Minnesota http://www.mnhs.org/shpo/ survey/docs_pdfs/Histo- ryArchitectureSurveyMan- ualOctober2010.pdf SHPO Manual for Ar- chaeological Projects in Minnesota http://www.mnhs.org/shpo/ survey/archsurvey.pdf note: an inVEnTOrY is distinct from official designation as a historic resource in a historic rEgiSTEr, in that being on the inventory usu- ally does not involve regu- lation of property, whereas official designation as a landmark does. INTENSIVELITERATURE SEARCH AND PHASEI/IIARCHAEOLOGICAL INVESTIGATIONS FOR THEST.CROIXRIVER CROSSING PROJECT,WASHINGTON COUNTY,MINNESOTA S.P. 8217-12; TH: 36 Mn/DOT Agreement No. 86487 OSA License No. 04-027 SHPO Number 2003-3438 Authorized and Sponsored by: Minnesota Department of Transportation and the Federal Highway Administration Prepared by: Michelle M. Terrell, Ph.D., RPA Principal Investigator and Primary Author with a contribution by Julie A. Kloss, M.A. Two Pines Resource Group, LLC 17711 260th Street, Shafer, MN 55074 04-02 May 2005 Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 47 establishing Criteria for Historical Significance Commissions apply a set of formally adopted criteria when evaluating survey information about properties. These are generally consistent with those established by the Secretary of the interior for evaluating eligibility to the national register of Historic Places. Typically, in order to be eligible for listing as a property of historic significance, it must first meet a set of thresh- old criteria related to age and integrity, and then must meet criteria related to significance. Historic significance threshold criteria are: age generally, a property must be 50 years old or older at the time of nomination. There are exceptions to this rule, however, to accommodate significant modern buildings. significance criteria a property must then have significance in one or more categories. Typical categories are: • association with historic events or trends • association with individuals who made a demonstrable and lasting contribution • architectural merit • Potential to yield information that will contribute to a better understanding of our past Historic contexts and themes Historic contexts discuss the patterns and trends that produced individual properties in the community. The core premise is that properties represent interweaving factors in history and did not occur in isolation. These are used in understanding potential significance. Themes group information related to historic resources based on a subject, specific time period or geographic area. The relative importance of individual historic resources is better understood by determining how they fit into a theme. individual historic resources may relate to more than one theme. Chapter 2: Legal Foundations Final: August 30, 201648 integrity a property must retain integrity of: • location • Design • Setting • Materials • Workmanship • Feeling • association it must retain sufficient integrity in many of these aspects to convey its historical, cultural, or architectural significance. Contributing Property This building retains its integrity Although somewhat altered, this building retains sufficient integrity This building does not retain its integrity Contributing Property with some alterations non-Contributing Property with major alterations integrity: in addition to demonstrat- ing significance, a prop- erty must retain physical integrity to reflect that significance; it must not have been substantially altered since the period when the event occurred, or the person lived there. That is, it must retain its "integrity." Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 49 The Identification and Designation Sequence Commissions use an orderly process for conducting surveys and entering the data into an inventory. They then evaluate the significance of properties, and next decide how to respond to those findings. This may lead to nomination to one or more historic regis- ters. This chart displays the identification process, in combination with the subsequent, optional, designation process. 4a Local Designation step 1: step 2:step 3:step 4:4b Conduct survey inventory evaluate for eligible Properties nomination National Register Conduct the survey using prescribed format and procedures Enter into inventory. (Further action is optional) Evaluate for significance and integrity using adopted criteria Determine if designation is merited, considering survey findings and other goals and objectives for the property identification Historic resource Listing Chapter 2: Legal Foundations Final: August 30, 201650 D. How Do We Officially Recognize Properties of Historic Significance? Once determined to have significance, properties may be designated as “landmarks” or as part of a “historic district” in a process that follows legal requirements. “Historic register” is a term that refers to a listing of properties that are officially designated as historic and appear in either the national register of Historic Places and/or a local register. Properties on a historic register may be eligible for special benefits and subject to specific requirements. types of Designation Historic properties may be designated at one or more of these levels: • Federal (The national register of Historic Places) • local government level Since properties may be designated at more than one level, this may be confusing to the public, and it is important that commissioners be clear which they are referring to when they are discussing designation. Example of archaeology designation form. survey vs. Designation: it is important to distinguish surveys from the separate process of historic des- ignation and protection. Surveys gather information about the history and char- acteristics of properties, while designation lists a property as having legal historic status. a survey may determine that a prop- erty is eligible for designa- tion, but it does not initiate designation proceedings. Often, eligible properties remain undesignated. although historic surveys do not officially designate properties as historic, the information gathered is useful to build awareness of historic buildings and sites and inform property owners of potential benefits and incentives that may be available. Rev.: 03.31.97 MINNESOTA ARCHAEOLOGICAL SITE FORM OFFICE OF THE STATE ARCHAEOLOGIST STATE HISTORIC PRESERVATION OFFICE Fort Snelling History Center, St. Paul, MN 55111 (612) 725-2411 345 Kellogg Boulevard W., St. Paul, MN 55102 (651) 296-5434 OSA License #: SHPO RC #: Date(s) of Fieldwork: New Site Site Update SITE #: 21- Site Name: Field #: LOCATIONAL INFORMATION (attach USGS topographic quad and sketch map with site location outlined) County: City/Twp. Name: SHPO Region: USGS 7.5' Quadrangle Map (name and year): Township: Range: Section: ¼ Sections (at least 2): Township: Range: Section: ¼ Sections (at least 2): Township: Range: Section: ¼ Sections (at least 2): UTM Site Coordinates (use 1927 datum; identify center point only): Zone Easting Northing Other locational information: SITE CHARACTERISTICS Acreage: Site Dimensions (both horizontal and vertical/depth, in metric): Features (√ all that apply): earthwork depression foundation other none describe: Site Description (√ all that apply and describe): single artifact artifact scatter lithic scatter earthwork/mound structural ruin rock alignment rock art cemetery/burial standing structure (SHPO structure # if known): other: describe: Inferred Site Function (must specify): Current Land Use (√ all that apply): cultivated woodland commercial unknown fallow recreational industrial other: grassland road _ residential Surface Visibility excellent good fair poor none Degree of Disturbance (√ and describe): minimal moderate heavy destroyed unassessed describe disturbance type(s): Current Threats to Site: erosion development agricultural none known other: Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 51 e. How Does the national register of Historic Places (nrHP) Designation Work? The national register is a program of the u.S. Depart- ment of the interior, national Park Service. it recognizes districts, buildings, structures, objects and sites for their significance in american history, archeology, architecture, engineering or culture, and identifies them as worthy of preservation. it is administered at the State level by the Minnesota Historical Society Heritage Preservation Department. note that while it is named the “national register,” properties may only be significant at a state or even a local level. They must, however, meet the national register criteria. national register listing process listed properties span a wide variety of types and periods, ranging from prehistoric archeological sites to buildings of the recent past, and include rural landscapes, urban and suburban neighborhoods, bridges, sailing vessels and more. effect on property owners listing in the national register honors the property by recognizing its importance to the community, state or to the nation, and confers a measure of protection from harm by federal or state activities. it does not, however, place any restrictions on the actions of private property owners. listing in the national register is also the effective threshold for eligibility for a variety of programs designed to assist in the preservation of significant properties, in- cluding federal and state tax credits for certain types of rehabilitation work. Other financial incentives for preser- vation include grants and loans. Donations of preservation easements on register-listed properties also may qualify for charitable tax deductions. note that listing in the national register does not restrict private property owners in disposition of their property, as distinguished from lOCal listing, which is described nationaL register Listing in minnesota: 1,600 Minnesota listings, encompassing over 7,300 properties from all coun- ties in the state, including 201 historic districts, can be found on the national register of Historic Places (nrHP), the nation’s of- ficial list of properties deemed worthy of preser- vation. in Minnesota, the national register program is administered by MnHS’s Heritage Preservation de- partment. Please visit the link be- low for a list of nationally registered Places in Min- nesota: www.mnhs.org/nrhp nationaL register oF HistoriC PLaCes: The national register was enacted by Congress in the national Historic Pres- ervation act of 1966. This established a process for nominating properties to the register and provided for a system of criteria to use in determining signifi- cance. Chapter 2: Legal Foundations Final: August 30, 201652 below. a property listed only in the national register may be altered or demolished, following general building and demolition codes of local communities. F. How Does Local Designation Work? the legal basis for local designation at the local level, historic properties are designated un- der the community’s “police power.” The parameters for establishing local preservation regulations are set forth in Section 471.193 “Municipal Heritage Preservation” of the Minnesota Statutes. This section is considered “enabling legislation,” because it sets forth the range of powers that local governments may use in promoting historic preser- vation. any local ordinance must be in agreement with the applicable state enabling legislation as county and municipal governments can only exercise those powers specifically delegated to them by the state. Designation is a form of zoning overlay a property may be designated as a historic resource under local zoning laws. This, of course, is the type of designa- tion that local preservation commissions deal with most of the time. a community may adopt regulations related to preserva- tion of historic properties, which can include a process for officially designating resources to a register. adopted by tHe Commission’s roLe: note that the commission’s role is advisory in the designation process. The governing body makes the formal decision. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 53 ordinance, this may provide for review of alterations and demolition as well as make certain incentives available to eligible properties. it is this designation that preserva- tion commissions use in their review and permitting roles. g. What Legal issues may Be raised? Even though local governments have the right to designate and regulate properties, historic preservation ordinances and commissions may face legal challenges. Often these are raised as concerns during the designation and design review processes, and sometimes they may even lead to formal consideration in the courts. This section discusses some of the most common legal issues a commission may face and some best practices that commissions should follow to protect themselves from legal vulnerability. takings One of the most frequently challenged issues is whether designating private property as “historic” and thus subject- ing it to government regulation constitutes a “taking” for which the government unit must pay. The term “taking” derives from a provision in the Fifth amendment to the u.S. Constitution that states that private property shall not “be taken for public use, without just compensation.” in general, the courts have interpreted a “taking” to oc- cur only when no viable use of the property remains from the governmental action. That is, limiting use, or in some cases, prohibiting certain alterations or even demolition, is not considered a taking. The courts have upheld local governments’ ability to regulate for preservation, finding that the restrictions that may be applied do not constitute a taking. That said, the courts do consider closely if a property owner’s rights for due process have been followed. sPeCiaL LegaL issues: Chapter 7 discusses some other special legal issues: a. Economic Hardship B. Demolition By neglect C. Enforcement Chapter 2: Legal Foundations Final: August 30, 201654 Procedural Due Process While local governments do have the right to regulate properties for preservation, they must do so following procedural due process. That is, each affected property owner must be given proper notification of pending gov- ernmental action, and be provided the appropriate hearing of their concerns. Procedural due process is essentially based on the concept of “fundamental fairness.” Procedural due process refers to the manner in which government actions are carried out, that is, the actual process of decision-making. Procedural due process requires: • advance notice of the proceedings • Final notice of the decision reached • Opportunity for individuals directly affected by the proposed governmental action to be heard Commissioners should take care in their actions to as- sure that procedural due process is provided, such as notifying applicants of hearing dates and providing time for public comment during a hearing. local governments, including all boards and commissions, must also adhere to the Minnesota Open Meeting law that was originally enacted in laws 1957, chapter 773, section 1. it is now codified in Minnesota Statutes, chapter 13D. The Min- nesota Supreme Court has articulated three purposes of the open meeting law: • To prohibit actions being taken at a secret meeting where it is impossible for the interested public to be- come fully informed about a public board’s decisions or to detect improper influences • To assure the public’s right to be informed • To afford the public an opportunity to present its views to the public body FoLLoWing Due ProCess: Commissioners should take care in their actions to assure that procedural due process is provided. March 28, 2016NOTICE OF PUBLIC HEARINGThe City of Mankato HeritagePreservation Commission willhold a public hearing regardingthe following request onThursday, April 14, 2016 at 4:00p.m., in the Minnesota ValleyRoom located on the first floor ofthe Intergovernmental Center, 10Civic Center Plaza, Mankato, MN.The purpose of this hearing is toconsider the following:** Request of Planning Agency and Heritage PreservationCommission for an ordinanceamending Section 10.82,Subdivision 20 relating to local-ly designated heritage proper-ties - Wenzl Huettl Tailor Shop.The property is described as theNortherly 22 feet of Lot 1, Block17, except the rear or Easterly34 feet of the Northerly 22 feet ofLot 1, Block 17, Map of Mankato,Blue Earth county, M.T. (329 N.Riverfront Drive).Paul VogelDirector ofCommunity Development Example of public hearing notice For more inFormation: Federal Preservation Laws http://www.preservation- nation.org/information- center/law-and-policy/ legal-resources/preserva- tion-law-101/federal-law/#. VuMEgYwrJQo Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 55 substantive Due Process Substantive due process is a related concept. it addresses the rationality or reasonableness of the substance of the decision itself. it requires that the decision be based on the evidence on the record as applied to the standards and criteria in the ordinance. it also protects individuals from bias, conflicts of interest, and other factors bearing on the impartiality of the decision-makers. Commissions should take care to make findings of fact and reference all applicable standards and criteria when taking action on a property. Commissioners must also recuse themselves from discussions about applications, properties, or issues if there is a real or perceived conflict of interest. Failing to do so could create legal vulnerabilities for the individual, the commission, and the local government if the decision is challenged in the future. Chapter 2: Legal Foundations Final: August 30, 201656 Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 57 CHaPter 3: Designating ProPerties a starting Question a property owner wants to designate their property as a historic landmark under the community’s pres- ervation ordinance, and they wish to know what the process will be. How will you answer them? Designating a property means formally listing it under local law as a historic resource or as part of a district. this is a land use action, and therefore requires formal hearings. it also requires an appro- priate level of documentation that substantiates the historic significance of the property. This includes information from a survey, using specific categories for classifying properties, information that places the property into historical context and application of criteria for determining significance and integrity. this chapter provides an overview of those informa- tional tools used in the designation process. in this Chapter: a. Designating Historic Properties B. inventories C. Types of Historic Properties D. Significance and integrity E. Defining Districts and using Boundaries Chapter 3: Designating Properties Final: August 30, 201658 a. Designating Historic Properties The designation of individual properties and districts as historic is fundamentally a zoning power and may only be made by a local governing body (i.e. Mayor/Council) through adoption of an ordinance. The designation ordi- nance should include findings that describe the historic, architectural or archeological significance of the property, the boundaries of the property, and reference the appli- cable ordinance or section of the local code that allows the Council to make the designation and review alterations to those properties. Designating a property or a district can sometimes be a long and occasionally contentious process. The Commis- sion should consider holding special information meetings or forums with community groups and property owners to answer questions, dispel myths, and discuss the commu- nity’s concerns prior to holding a formal vote on whether to recommend designation of the property. Such outreach can be very important when it comes time to present the designation request to the City Council. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 59 Heritage Preservation Site Designation Type 4 Review Community Development 801 Washington Street Phone: 507-645-3059 Northfield, MN 55057 www.ci.northfield.mn.us Page | 1 GENERAL INFORMATION 1. Applicant Name: Street:City:State:Zip: Business Telephone:Fax: Email: 2. Property Identification Number (PID) for this application: 3. Property Address for this application: Street:City: State:Zip: 4. Project Name and Project Description: 5. Property Owner ☐Same as the Applicant Name: Street:City:State:Zip: Business Telephone:Fax: Email: 6. Project Contact (Architect, Designer, Engineer, Land Surveyor, or Landscape Architect, if applicable) Name: Role in Project: Company: Street:City:State:Zip: Business Telephone:Fax: Email: City Use Only Received by: Date Received: Date Complete: Permit No.: Fee: Date Paid: Other: Escrow: Date Paid: Northfield MN 55057 Nomination form example from Northfield, MN for designating a property as a Heritage Preservation Site. Chapter 3: Designating Properties Final: August 30, 201660 the steps in the Designation Process if a survey indicates that a property is eligible for desig- nation and the owner is interested in doing so, these are the typical steps. 1. Prepare the nomination include descriptions of significance along with key features and other data as specified in the ordinance and rules and procedures. The nomination should include a statement that describes why the property/district is significant and relates it to the criteria published in the ordinance. 2. File the nomination with the HPC Check for completeness of documentation before con- tinuing. 3. schedule a HPC hearing Provide public notice, as required in the ordinance. 4. Preservation commission decision The commission’s action is a recommendation to the governing body. 5. referral to Planning Commission after the Preservation Commission’s decision, the nomi- nation is sent to the Planning Commission, and at this stage, is also sent to the SHPO for comment. 6. City Council/county commissioners hearing also conducted according to due process requirements, including appropriate public notice. 7. appeal Follow the process specified in the ordinance. Because designations are legislative actions, appeals by property owners or other eligible parties are typically heard by City Council. What is the Commission’s role? The local preservation commission reviews designation applications/nominations and makes a recommendation to the elected body. Because designation is a zoning action, it is the City Council that typically has the legal authority to designate properties as historic. stePs in a LoCaL orDinanCe: The steps listed here may vary from those in some local ordinances. always check for any differences. note: Chapter 5 provides more detail about hearing pro- cedures. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 61 B. inventories What is an inventory? an inventory is a collection of data about the potential historic significance of properties in a community. it in- cludes any surveys of historic resources, as well as indi- vidual evaluations of properties that may be conducted for a variety of research purposes. it is maintained as an informational source. The inventory usually includes the evaluation of resources for potential eligibility for listing in a formal register of historic resources. The inventory can assist in executing a Minnesota Environmental rights act (MEra) action when a historic property is threatened. How is an inventory used? at the local level, a preservation commission uses the inventory as a reference point in determining if any proper- ties would merit consideration for designation. They also use the inventory as a means of developing educational materials about the historic resources of the community or for background information during project review. Planning departments may also use this information when developing neighborhood plans, or when evaluating development proposals that may require special review under development permitting regulations other than the preservation ordinance. Why is it important to Keep a Local inventory up to Date? Since the historic resource inventory is the starting point for research, education programs, and nominations, its value is greatest when the information is up to date. The status of a property as having potential historic significance can change due to a loss of integrity, or new interpreta- tions of historic significance in the community, and thus regular updates of surveys is important. increasingly, lo- cal governments are integrating survey information into geographic information Systems (giS), which means that this information can now be updated more efficiently. gis: giS can be used to locate existing historic properties and future properties com- ing online. in addition, the information can be used to assist in understanding how historic properties relate to other planning factors, including land use, transportation patterns and socioenconomics. For more inFormation The State of Minnesota maintains a survey of over 70,000 structures and 18,000 archaeological sites, as of 2016, through- out the state. http://www.mnhs.org/ shpo/survey/inventories. php Chapter 3: Designating Properties Final: August 30, 201662 Example of inventory form for Minneapolis, MN Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 63 C. types of Historic Properties Historic properties come in a variety of forms. These are the typical categories: Building a structure intended to shelter some sort of human activity. Examples include a house, barn, hotel, or church. Historic District a geographically definable area, possessing a significant concentration of sites, buildings, structures, or objects united by past events or aesthetically by plan or physical development. object usually artistic in nature, or small in scale when compared to structures and buildings, and generally associated with a specific setting or environment. Examples of objects are monuments, sculptures and fountains. site a discrete area significant solely for activities in that location in the past, such as a battlefield or designed landscape (parks and gardens). structure a functional construction meant to be used for purposes other than sheltering human activity. Examples include, an aircraft, a ship, a grain elevator, and a bridge. Other categories also are used. These include: • Cultural landscape • Traditional cultural property • Maritime sites • archaeological resources An archaeological resource is a property type. A bandshell is categorized as an "object" property type. A “building” is a structure in- tended to shelter some sort of human activity. The Indian Mounds Park Mound Group is classified as site. Chapter 3: Designating Properties Final: August 30, 201664 individual Landmarks and Districts Properties identified as having historic significance and formally designated to a local historic register may be listed individually (usually termed a “landmark”), or as a contributing resource in a historic district. Contributing vs. non-Contributing Properties When a boundary is defined for a historic district, it will be drawn around all of the properties in the area. Each of these is then classified as a “contributing” or “non- contributing” to the district’s historic significance. Each property is first identified as such in a historic resource survey, which is then formally adopted when the district is designated. Contributing property a contributing property is any building, structure, object or site within the boundaries of the district which reflects the significance of the district as a whole, either because of historic associations, historic architectural qualities or archaeological features. another key aspect of the con- tributing property is historic integrity (discussed later in this chapter). non-contributing property in a historic district, those properties that do not have historic significance are termed “non-contributing.” This does not indicate that the property is incompatible in its character with the district; that is a different consideration. a property may be rated as non-contributing for these reasons: • it is of more recent construction, and therefore does not have historic significance at this time • it is an older property, but is substantially altered and therefore has lost its integrity • There is insufficient information to determine that the property has historic significance Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 65 D. Significance and Integrity age of Historic resources in general, properties must be at least 50 years old before they can be evaluated for potential historic significance, although exceptions do exist when a more recent property clearly has historic value. Significance To be eligible for designation as a historic resource, a property must demonstrate significance in terms of criteria that are adopted. Most local governments apply criteria adapted from those established by the Secretary of the interior: • association with events or trends important in the his- tory of the community • association with individuals who made a demonstrable and lasting contribution • architectural merit • The potential to yield information that will contribute to a better understanding of our past integrity in addition to demonstrating significance, a property must retain physical integrity to reflect that significance; it must not have been substantially altered since the period of historical association. integrity includes the aspects of location, design, setting, materials, workmanship, feeling and association. a major- ity of the resource’s structural system and materials and its key character-defining features should remain intact. Chapter 3: Designating Properties Final: August 30, 201666 What are Character-Defining Features? Every old building is unique, with its own identity and its own distinctive character. Character refers to all those visual aspects and physical features that comprise the appearance of a historic building. The presence of key character-defining features helps determine a property’s integrity. Character-defining ele- ments include the overall shape of the building, its materi- als, craftsmanship, and decorative details, as well as the various aspects of its site and environment. Some basic character-defining feature categories: • Shape of the building overall (simple rectangle, com- plex composition) • roof shape (sloping, flat) • roof details (eaves, rafters) • Openings (windows and doors) • Projections (porches, turrets, bay windows) • Trim and other components (decorative elements, railings, shutters) • Materials The following illustrations identify character-defining features on different property types. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 67 Identifying Character-Defining Features in Individual Buildings Character-defining features may be illustrated in surveys, historic guidebooks and commission design review guidelines. These documents help property owners identify those elements that should be respected when making improvements. Typical storefront components are shown below. Cornice Parapet Walls transom Display Windows/Frame Pilaster recessed entry Bulkhead Primary material Lintel sign Band upper story Windows exposed rafters Front Facing gable roof Columns raised Porch Baluster attic Window Front Door Double-Hung Window Chapter 3: Designating Properties Final: August 30, 201668 Character-Defining Features in a Historic District in a historic district, many buildings may share similar design features, even when the structures span several decades or represent different architectural styles. When these features are repeated along the street, they contribute to a sense of visual continuity, which in itself can be a key character-defining feature. 2 1 3 1 3 2 These three commercial buildings in a historic district, although of different heights and periods of design, share these elements: 1. Base, 2. Middle, and 3. Cap. In many commercial districts, similarity of floor heights at the street level, and horizontal moldings combine to create a horizontal alignment that establishes a distinctive scale for a block, which is character-defining. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 69 Character-Defining Features in a Residential Historic District The uniform spacing of buildings and side yards creates a rhythm of house fronts in many residential districts, which is character-defining. The arrangement of city blocks, the width of streets and the presence of alleys are often key features of many single family residential districts. Aerial photographs and "figure-ground" maps also illustrate the uniform setback of building fronts and consistent orientation to the street. Features of a residential Block Chapter 3: Designating Properties Final: August 30, 201670 E. Defining Districts and Using Boundaries What Does a District Boundary include? local boundaries are drawn to contain all of the contributing resources that are identified. They also may be influenced by land use planning policies as well. new construction in the immediate context can affect one’s perception of the historic character of the district and for this reason, the boundary may include vacant land and blocks that face historic properties. environmental setting and Landscape Features Districts often include a combination of buildings, struc- tures, landscapes, and site features, such as fences and walls. relationship to Zoning and other Boundaries in addition to considering context for purposes of design review, boundaries may also be drawn to align with un- derlying zoning boundaries, special planned development areas, or other local demarcations. FaCtors to ConsiDer in estaBLisHing DistriCt BounDaries: Historical Factors: • Original settlement boundaries • Early concentration of building visual Factors: • Views • gateways • Topography Physical Factors: • railroads, highways • Major urban spaces • rivers, natural features • Changes in land use • Walls, fences • limits of settled areas surveyed lines and lines of convenience • legal boundaries • Streets and right-of-way • Property lines • uniform setbacks note : in some cases there may be differences between a national register district boundary and that of a local district. Lincoln Park Residential Historic District Map from Mankato shows zoning districts with the Historic District boundary overlay. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 71 Historic District Boundaries A map of historic districts in Faribault, Minnesota, shows all buildings within the boundary. It identifies both the local and NRHP district boundaries, as well as sev- eral individual NRHP properties. Note that this map uses an aerial photo and includes parcel lines, which can be a simple thing to make as a visual aid for a historic district nomination or design review process.1ST AVE NE1ST AVE NECENTRAL AVECENTRAL AVE1ST ST NW1ST ST NW 3RD ST NE3RD ST NE 2ND ST NW2ND ST NW 3RD ST NW3RD ST NW 4TH ST NW4TH ST NW 5TH ST NW5TH ST NW DIVISION ST WDIVISION ST W 1ST S T N E1ST ST NE 2ND ST NE2ND ST NE 1ST AVE NW1ST AVE NW2ND AVE NW2ND AVE NW5TH ST NE5TH ST NE P A R K P L P A R K P L 4TH ST NE4TH ST NE HERITAGE PLHERITAGE PLWILLOW STWILLOW ST1ST AVE SW1ST AVE SW2ND AVE SW2ND AVE SWDIVISION ST EDIVISION ST E1ST AVE NW1ST AVE NW2ND AVE NW2ND AVE NW1ST ST NE1ST ST NE HERITAGE PLHERITAGE PLCity of Faribault Historic District1 inch = 250 feet November 28, 2011 Legend Historic District Parcel Individually listed inthe National Register National RegisterDistrict Chapter 3: Designating Properties Final: August 30, 201672 A map of a potential historic district in Mackinac Island, Michigan, shows all buildings within the boundary. Contributors are identified in red; non-contributors in brown. Other structures, including two wharves, a stone retaining wall and a breakwater, are also identified as contributing resources. Commissions use this information when designating historic districts and also in the design review pro- cess to consider the context of a project and the significance of the resource at hand. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 73 CHaPter 4: treatment oF HistoriC ProPerties a starting Question as a commissioner, you are preparing to review a proposal to alter a historic commercial building. the project would include repairs to existing features, some alterations and an addition. How will you de- termine if this work is appropriate? answering this question requires understanding the effect this work would have on the significance of the property and of alternative, and perhaps more appropriate, treatments that may be applied. once historic resources are officially listed in a local register, and if the preservation ordinance provides for a Certificate of Appropriateness process, the commission will be engaged in conducting design review. the process of reviewing is described in a subsequent chapter (Chapter 6), but first, it is important to consider how one determines which elements of a property constitute its key, character- defining features and how the basic principles of preservation should be applied. this includes con- sideration of the reasons for a property’s historic significance and of the different types of “treatment” that may be applied. this chapter addresses these basic principles and illustrates some examples of how they may be published in design guidelines. in this Chapter: a. Determining What’s important to Preserve B. Basic Preservation Principles C. alternative Treatments for a Historic Property D. applying These Principles Chapter 4: Treatment of Historic Properties Final: August 30, 201674 a. Determining What’s important to Preserve Before reviewing a proposal, it is important to identify the key features that contribute to the significance of a historic resource. This may in part depend upon the type of resource and whether it is individually listed or is con- tributing to a district. individual Landmarks For individually listed landmarks, great care should be taken to identify all the key features that should be preserved. For properties that are highly significant, this may include features on all sides of the building. This is especially true for buildings that are visible from multiple public ways. Significance and Integrity of a Contributor in a historic district where many contributors are perceived in a grouping, and sides and rear walls are less visible, features in remote locations may be less critical to the significance of the property, and more flexibility in their treatment may be an option. This will depend, however, upon careful consideration of the context and the reasons for significance. setting Priorities for Key Features For many buildings, facades seen from the public way often contain more key character-defining features than other facades. a series of sketches (on the following page) illustrates a method of evaluating the priorities for preserving key features. • Primary facade: Highly valued character-defining features • Secondary wall: Moderately high value, with fewer character-defining features • rear wall: Few character-defining features This analysis is more relevant in historic districts, where collections of buildings are contributors. Many individual landmarks may have highly valued features on all build- ing faces. note : See the discussion in Chapter 3 about the pro- cess of identifying key features. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 75 Locating Facade treatments Location a: Primary Facade Location a: Preservation is a priority. Location a: Highly visible secondary Wall Location B: Less visible secondary Wall Location B: Preservation is still preferred. Location C & D: not Highly visible rear Wall site Plan a a a DCC aaBaBB StreetStreet Street StreetS treet Chapter 4: Treatment of Historic Properties Final: August 30, 201676 B. Basic Preservation Principles With an understanding of the basic concepts of historic significance and integrity, it is important to comply with some overarching principles that underlie any appropriate treatment of a historic resource. These are based on the Secretary of the interior’s Standards (SOi). The following principles should apply to all cases: Principle 1: Preserve key features • a fundamental concept is that those character-defining elements that convey a property’s significance should be preserved. This may include features from differ- ent time periods that demonstrate the evolution of the property over time. Principle 2. retain integrity • Preservation theory places value on retaining historic fabric wherever possible. • While some properties may already have lost some integrity, any further loss in integrity is inappropriate. Principle 3. respect the historic character of a resource • Don’t try to change the style of a historic resource or make it look older than its actual age. • Confusing the character by mixing elements of differ- ent styles or periods can adversely affect the historic significance of the property. Principle 4. seek uses that are compatible with the historic character of the resource • Converting a building to a new use different from the original use is considered to be an “adaptive reuse.” For example, converting a residential structure to a bed and breakfast is an adaptive use. • While commissions do not have jurisdiction over how a property is used, only how it is altered, changes in use requiring the least alteration to significant elements are preferred. in most cases designs can be developed that respect the historic integrity of the resource while also accommodating new functions. When replacement is required, replace only those portions de- teriorated beyond repair. Retain as much of the original fabric as possible. For more inFormation: For more information on basic preservation prin- ciples and the treatment of historic properties please visit: The Secretary of the Interior’s Standards for the Treatment of Historic Properties http://www.nps.gov/tps/ standards.htm Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 77 C. alternative treatments for a Historic Property While most of the work that a commission will review is considered to be “rehabilitation,” there are four catego- ries of treatment that are recognized. These are based on definitions established by the Secretary of the interior. These treatments are: rehabilitation “rehabilitation” is the process of returning a property to a state that makes a contemporary use possible while still preserving those portions or features of the property which are significant to its historical, architectural and cultural values. rehabilitation may include a change in use of the building or additions. This term is the broadest of the appropriate treatments and is often used in local design review guidelines. Preservation “Preservation” is the act or process of applying measures to sustain the existing form, integrity and material of a building. Some work focuses on keeping a property in good working condition by repairing features as soon as deterioration becomes apparent, using procedures that retain the original character and finish of the features. restoration “restoration” is the act or process of accurately depict- ing the form, features and character of a property as it appeared in a particular time period. it may require the removal of features from outside the restoration period. reconstruction “reconstruction” is the act or process of depicting, by means of new construction, the form, features and detail- ing of a non-surviving site, landscape, building, structure or object for the purpose of replicating its appearance at a specific time and in its historic location. treatment oF an aLtereD CorniCe: existing Building Existing building with missing cornice. reconstructed Cornice Reconstruct a missing cor- nice when historic evidence is available. replaced Cornice A simplified interpretation is appropriate if evidence of the original is missing. Chapter 4: Treatment of Historic Properties Final: August 30, 201678 the Basics of a rehabilitation approach The following steps show the preferred sequence for the treatments in combination with other work that may occur. When making a selection, follow this sequence: step 1: Preserve if a feature is intact and in good condition, maintain it as such. step 2: repair if the feature is deteriorated or damaged, repair it to its original appearance. step 3: reconstruct if the feature is missing entirely, reconstruct it from appro- priate evidence. also, if a portion of a feature is missing, it can also be reconstructed. step 4: replace if it is not feasible to repair the feature, then replace it with one to match the original (i.e., similar in design, materials, detail, finish). replace only that portion which is beyond repair. step 5: Proceed with compatible alterations Once the key character-defining features have been ap- propriately treated, identify the necessary alterations that may be needed to extend the viability of the property. if a new feature or addition is necessary, the design should minimize the impact to original features. it is also important to distinguish new features from original historic elements. Preserve repair reconstruct replace Compatible alteration PreFerreD seQuenCe oF imProvements Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 79 This chart diagrams a linear process for determining the appropriate approach for treatment of a historic building. step 1: Why is the Property significant? Determine its significance Building significance. understanding the history of a building is important to any preservation project. Where it is available, survey information from the Planning Department should be consulted to help identify the building’s age, style and its key character-defining features. This will help determine to what degree the property should be preserved as it is, or where there may be opportunities for compatible alterations to occur. step 2: What is the Condition of the Property and its Key Character-Defining Features? integrity. The condition of a building and its features contribute to the overall significance of the building. a building with historic integrity has a sufficient percentage of character-defining features, and key features remain intact. These key elements allow a building to be recognized as a product of its time. step 3: What is the Desired Project? Building use. are any functional improvements needed for the desired build- ing use? Or is preservation of character-defining features the objective? if restoring features is the focus, then other alternative design approaches may not be necessary, but if some functional improvements are needed, then compatible alterations and/or additions may be the approach. step 4: What is the treatment strategy treatment strategy. a preservation project may include a range of activities, such as maintenance of existing features, repair of deteriorated materials, the replacement of missing features and construction of a new addition. While the term “preservation” is used broadly to mean keeping a historic property’s character-defining features, it is also used in a more specific, technical form to mean keeping a resource in good condition. This, and other related terms, are important to understand because they are all used when planning for improvements to a historic property. Chapter 4: Treatment of Historic Properties Final: August 30, 201680 D. applying these Principles These next few pages illustrate ways in which these basic principles for preservation can be applied. Case study 1: storefront rehabilitation in mankato Before: • Original storefront windows have been covered. • Entryway door is not in character with historic styles or materials. • The second-story windows have been down-sized with infill. • The upper story brickwork needs clean- ing and repair. • The storefront has been modified with modern treatments and materials. after: • Storefront windows have been uncov- ered. • Entryway door is replaced. • Bulkhead is uncovered and restored. • Fresh coat of paint applied to piers and lintels. • appropriate signage painted in the storefront window. • appropriate sign board used on the sidewalk. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 81 original Character: • Offset tower • Bracketed cornices • Stone window sill and arches • Double hung windows • Fire door • Storefront • Brick facade interim Condition: • Tower missing • Cornices missing • Stone trim damaged • upper windows altered • Fire door altered • Storefront missing • Brick damaged after rehabilitation: • Tower reconstructed • Cornices reconstructed • Stone trim repaired in place • upper windows replaced • Fire door shape restored, with contemporary storefront • Storefront reconstructed Case study 2: adaptive reuse Chapter 4: Treatment of Historic Properties Final: August 30, 201682 Case study 3: applying Preservation Principles to the treatment of an altered Historic Porch in this case study, two alternative design approaches are considered for a porch that has been substantially altered. existing altered Porch • Porch posts are missing. • Porch area is enclosed. treatment 1: reconstruction When should i use this approach? • The building is highly significant • There is good historical information about the design • The needed materials and craftsmanship are available • The project budget permits • The context has many intact historic buildings treatment 2: replace When should i use this approach? • The building is a contributor to the district • There is less historical information about the original design • The budget is more limited • The work will be phased Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 83 Case study 4: applying Preservation Principles to the Design of an addition in this case study, a series of alternative massing studies illustrates the potential effect upon one’s perception of the character of the historic resource. a large scale addition overwhelms the character of this property. in this case, a single family house is the subject. a small scale addition, set to the rear, is the best solution, because it will have less of an effect upon the integrity of the original building. original structure The one-and-a-half story bungalow illustrated at the right is a contributing struc- ture in a locally-designated historic district. one-story attached addition The one-story addition illustrated at the right is appropriate because it is clearly differentiated from the original structure with a change in roof plane and is nearly invisible from the street. one-and-a-Half story additon with Connector The one-and-a-half story addition illustrated at right is appropriate because it is set back and clearly dif- ferentiated from the original structure with a connector. inappropriate two-story roof-top addition The roof-top addition illus- trated at right is inappropri- ate because it substantially alters the primary façade of the historic structure. Chapter 4: Treatment of Historic Properties Final: August 30, 201684 Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 85 CHaPter 5: nuts anD BoLts For Commissions a starting Question as a commissioner, you are preparing to review a proposal to alter a historic commercial building. the project would include repairs to existing features, some alterations and an addition. How will you de- termine if this work is appropriate? answering this question requires understanding the effect this work would have on the significance of the property and of alternative, and perhaps more appropriate, treatments that may be applied. these concepts are addressed in this chapter. the manner in which a preservation commission op- erates is founded in the roles of the commissioners and staff as they are defined in the preservation or- dinance and related by-laws. It also is influenced by the criteria for designation, the guidelines for design review and other adopted procedures. this section provides guidance on the typical roles that commis- sions and staff have. these will vary among com- missions, but many of these roles will be formally defined in the ordinance, or may be outlined in an annual work plan. Clearly understanding the roles of these players is important to conducting busi- ness in an orderly manner. it also is important that a reasoned decision-making process be followed and formally recorded. this chapter addresses some of these “nuts and bolts” of commission operations. in this Chapter: a. roles of the Players B. Policy Base for Preservation C. Design guidelines D. Defensible Decision-Making Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201686 a. roles of the Players appointment to the Commission Commissioners are usually appointed by the elected body of the local government, such as a city council or board of county commissioners. Some jurisdictions may provide for appointment by the mayor. Qualification of members Those to be appointed to a preservation commission should have a demonstrated special interest in the field. in addi- tion, the ordinance may specify requirements related to certain professional fields associated with design, history and other relevant topics. For those jurisdictions that are Certified local govern- ments, at least two members should meet the Secretary of the interior’s Professional Qualification guidelines when feasible. HPC roles Citizens provide a public service to their communities by serving on preservation commissions. as such they help to promote implementation of the community’s adopted policies and regulations related to historic preservation. They should do so objectively, without introducing their personal biases. This is because commissions serve as an arm of local government. This role is to be distinguished from a local, non-profit organization, such as a historical society or preservation advocacy group. These other organizations are private entities, and may engage in advocacy or in promoting new policies. stewardship Commissions promote proper use and care of historic properties. They do so by reviewing proposed improve- ments, discouraging demolition and encouraging use of incentives to facilitate preservation. Preservation planning Commissions may engage in long-range planning activities in their communities to assure that historic preservation more HeLP: The national Park Service provides a document with an introduction to basic legal concepts and is- sues commissioners may encounter. This document is titled: LAW AND THE HISTORIC PRESERVATION COM- MISSION: WHAT EVERY MEMBER NEEDS TO KNOW http://napcommis- sions.org/wp-content/ uploads/2013/08/01-Law- and-the-HPC.pdf Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 87 is an integral part of public policy, and they also sponsor planning for treatment strategies of individual historic properties. identification Commissions sponsor surveys that catalogue properties and serve as a basis for identifying resources with historic significance. evaluation Commissions also work to evaluate the potential signifi- cance of properties identified in surveys, using adopted procedures and criteria. reviewing projects and advising Commissions review proposed changes to the exteriors of properties within designated historic districts and as- sist property owners in devising appropriate strategies for maintenance and improvements. (note that this as- sistance is provided in the context of public meetings, not one-on-one consultations.) monitoring and site visits Commissions observe work in progress and visit sites prior to decision-making. note that site visits may be subject to open meeting laws. Decision-making reviewing design proposals and approving Certificates of appropriateness and also recommending designation of properties as historic resources. national register nominations Commissions may work to officially designate properties to the national register that meet eligibility requirements. They do so by nominating those properties to the SHPO for formal listing. administering incentives Commissions approve applications for local incentives, such as property tax credits and sales tax rebates. Coa: in many city preservation ordinances a “Certificate of appropriateness” (or COa) approval is required before the City can issue a building permit for exterior changes to buildings within a Historic District or land- mark site. The City’s Heritage Pres- ervation Commission must review each project to ensure that the work that is proposed complies with the standards of the City’s Historic Preservation Or- dinance and/or design guidelines. Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201688 education Commissions promote awareness and appreciation of historic resources and preservation programs, as well as appropriate treatment through technical procedures, education and design. Facilitation Commissions help property owners find skilled craftsmen and materials suppliers as well as assist them in obtain- ing other permits that will make rehabilitation possible. Partnerships Commissions also engage in partnerships with other groups and individuals. These include local non-profit organizations whose purpose is to promote preservation as well as others that recognize the value of preservation in meeting their own core missions. Promotion Commissions also engage in promoting preservation through special events, awards and media channels. section 106 comments a commission may be a commenting party to a Section 106 review. staff roles Many commissions have staff assigned to assist in their operations. Some typical roles include: as technical advisors For communities with professional preservation staff, they may provide technical assistance related to appropriate treatment of properties, design and planning consider- ations. This may occur in the form of staff reports, with recommendations to the commission, and may also include informal guidance to property owners. as administrators This includes general clerical responsibility, such as publishing notices of hearings and agendas, and record keeping. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 89 as decision-makers Some ordinances provide for administrative decision- making, usually for specific types of work. These may be for minor alterations, and when locally adopted guidelines are clear. operating without staff Some commissions operate with very limited administra- tive support. Some do not have staff at all. Others may only have part-time assistance of a town clerk or building official. in these cases, commissioners often take on some of the administrative responsibilities. They may rotate this position to different board members to distribute the burden of these added tasks. This may include handling the applications for a Certificate of appropriateness to assure that they are complete, posting meeting notices and recording the meeting minutes. the role of City Councils and County Commissions City Councils and Boards of County Commissioners play important roles in the local preservation program. These may vary based upon each community’s ordinances, but many times it includes a variety of functions to interact with the Heritage Preservation Commission. a basic role is to maintain the commission itself, by periodically appointing members to the HPC and often in providing staff to assist in administration. a second role is in the recognition and designation of historic resources, through formal hear- ings. Placing properties on the local register of historic places, following the recommendations of the HPC, is a key part of this function. Some City Councils and Boards of County Commissioners also engage in decision-making related to design review and economic hardship. in some jurisdictions, they make the final decisions on these matters, based on recom- mendations from their HPCs. in other cases, they may serve as a venue for an appeal of HPC decisions, when the HPC has the initial decision-making authority. in all cases, it is important that these bodies support their HPCs in their decision-making and outreach efforts. Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201690 meeting operations Conducting effective meetings is an essential part of operations for a preservation commission. This also ap- plies to Main Street Boards and other organizations that may operate in areas with historic resources. These are some basic principles for effective meeting management: meeting agendas an essential tool is the Meeting agenda. it should follow a standard format, which may be established by the local governing body for all of its commissions. it should be published in advance of the meeting, and provide enough information for interested parties to know when and where the meeting will occur, what topics will be discussed and the types of actions that may happen. 1. Call to Order (includes a role call and confirmation that a quorum is present) 2. Special administrative actions (if needed; may include new appointments to the commission or seating of a alternate commissioner; may also include changes to the agenda, if needed) 3. approval of minutes from the previous meeting (with amendments if necessary) 4. Public participation for items not on the agenda (usu- ally time limited) 5. Staff reports of administrative decisions (if the ordi- nance provides for this) 6. Consideration of old business (such as final actions on previous agenda items) 7. Public Hearings (taken in the order published, unless an adjustment is necessary) 8. Other Matters (such as reports from other boards or commissions, discussion of on-going projects and assignments) 9. Scheduling (confirmation of next meeting date, up- coming site visits, etc.) 10. adjournment Posting notices another essential tool is the meeting notice, which must be published in advance of a formal commission meeting. local government rules will establish the requirement for how many days in advance the meeting notice must be Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 91 posted and how. in many cases, a meeting notice will be published online but also may be published in a local newspaper. Often, a sign also must be posted at the site of a property that will be on the agenda of an upcoming meeting. robert’s rules of order an essential guide to proper management of a public meeting is the book robert’s rules of Order. Originally published in 1876 and regularly updated, it sets forth the basic principles of parliamentary procedure. it covers many actions that are often addressed in a commission’s by-laws and also includes good advice on how to assure that all parties are heard in an orderly manner. if a commission does not have a separate set of rules and procedures, this book can serve that purpose. This should form the basis of meeting operations. The national alliance of Preservation Commissions also publishes a document that summarizes the basic principles, titled For the Record: The NAPC Short Guide to Parliamentary Procedure. https://napcommissions.org/wp-content/uploads/04-For- the-Record.pdf Public participation The rules of procedure should establish the way in which the public may participate in the commission’s meeting. There are typically two ways: First, a citizen may speak during a time that is designated on the agenda for general comments that do not relate to items on the published agenda. For example, one may bring a matter to the at- tention of the board suggesting that a historic survey be conducted for a particular neighborhood, or to raise a ques- Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201692 tion about future plans for treatment of a local landmark. The second method of participation is during the Public Hearing phase on the agenda. This is when individual items are considered, and there is a designated step at which point members of the public may speak to the item. meeting minutes Keeping a clear record of each meeting is essential. This should include a summary of all discussions as well as the decisions that are made. it need not be extensive in detail, but should be sufficient to portray the nature of the item that was discussed, the issues involved, and the findings and actions that the board took. in many cases, a tape recording may provide an added level of detail. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 93 B. Policy Base for Preservation What are the foundation documents for a local preservation program? They begin with policies adopted by the elected officials in a comprehensive plan and often a preserva- tion plan as well. Specific regulations are set forth in an ordinance as well as adopted rules and procedures. statewide Preservation Plan The Minnesota State Historic Preservation Office (SHPO) has developed a six-year statewide historic preservation plan (A New Season, Preservation Plan for Minnesota’s Historic Properties 2012-2017) to serve as a blueprint for all those committed to preserving Minnesota’s irreplace- able historic and archaeological resources. The plan is designed to assess Minnesota’s progress to- ward preservation goals set during the previous planning period and provide direction for the state’s preservation community in the years ahead. intended for preservation- ists across the state, the plan will be adapted and imple- mented in communities large and small, urban and rural. Working together, with clear priorities and common goals, the Minnesota preservation community stands ready to set a new standard for historic preservation. The comprehensive plan should contain policies and actions re- lated to historic preservation. A New Season Preservation Plan for Minnesota’s Historic Properties 2012-2017 State Historic Preservation Office Cover of the Minnesota 2012- 2017 Preservation Plan. Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201694 Comprehensive Plan a comprehensive plan is the primary policy document for a local government. it includes policies related to land use, as well as a variety of other factors that address the well- being of the community, including sustainability. Historic preservation is addressed in association with other land use and sustainability policies. Preservation element The comprehensive plan should contain policies and ac- tions related to historic preservation. in some communities this may be a brief section that simply defines the role of preservation in the community, or it may be separated into its own chapter or element. The element is extensive in detail, providing more background for the preservation program and setting forth specific actions. in other cases, however, this level of detail is presented in a separate preservation plan. Community Preservation Plan a preservation plan provides more detail about the com- munity’s historic resources, identifies key participants, and sets forth specific action items. it may set priorities for surveying, outreach and incentives. it may also describe how other preservation partners can work with the com- mission to accomplish shared objectives. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 95 C. Design guidelines an essential ingredient of the review process is an adopted set of guidelines. Commissioners should refer to their design guidelines for all project reviews. What are Design guidelines? Design guidelines are criteria that guide commissions and property owners on historic resource treatment decisions. They are usually a separate document from the ordinance, but basic guidelines may be included in the code itself. in all cases, the guidelines should be associated with a set of criteria for appropriateness that are set forth in the ordinance. guidelines typically are adopted by resolution of the governing body. guidelines enable local preservation commissions to make consistent and fair decisions when property owners seek to renovate or construct new buildings in a historic area. Design guidelines typically address both rehabilitation and new construction in a historic district. Most guidelines also address signage, site design, demolition, relocat- ing structures, streetscapes and treatment of individual landmarks. locally adopted design guidelines should be consistent with best practices in the field of preservation, including the Secretary of the interior’s Standards for the Treatment of Historic Properties. How are guidelines used? These are three key uses of design guidelines: as an educational tool guidelines are used to inform the general public and property owners of best practices in the treatment of historic resources. in advance planning for a project Property owners should turn to the design guidelines in the early stages of planning an improvement project. in commission decision-making and, of course, they are an essential tool in making informed and defensible decisions in the formal review process. To issue a certificate, the commission must find that the activity complies with all the relevant design guidelines. Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201696 81Chapter 5: Standards for New Construction NeW COMMeRCIAL bUILDINg DeSIgN Mass and Scale Traditionally commercial buildings had varied heights, articulated masses, visually interesting skylines and pedestrian-scaled street fronts that contribute to a sense of human scale. A new building should continue to provide a variety of pedestrian-friendly scales and visually appealing masses. Buildings should not be monolithic in scale or greatly contrast with those seen traditionally in Downtown Plano. 5.10 Maintain the traditional size of buildings as perceived at the street level. • The street facing facade height of a new building should fall within the historic context of the area. It should respect the traditional proportions of height to width. • Floor-to-floor heights should appear similar to those of traditional buildings downtown, especially those at ground level. • For larger buildings new construction should incorporate design features, such as setbacks, that break down the mass into modules that suggest the underlying historic height, width and lot pattern. 5.11 establish a sense of human scale. • Use vertical and horizontal articulation design techniques to reduce the apparent scale of a larger building mass. • Incorporate changes in color, texture and materials to help define human scale. • Use architectural details to create visual interest. • Use materials that help to convey scale in their proportion, detail and form. A new building should be designed with a pedestrian-scaled street front. New B u i l d i n g New facade widths should reflect the traditional range of the building widths seen on the block. For larger buildings, new construction should incorporate design features that break down the mass into modules that suggest the underlying historic height, width and lot pattern. Compatibility for new construction is addressed in many design guidelines. The focus is on respecting the traditional mass and scale, orientation to the street and alignment of key features that occur in the commercial district. Imitating historic styles is discouraged. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 97 Key Design guidelines Components - sample guideline These are recommended components of locally-crafted preservation design guidelines. a Design topic Describes the design topic addressed by the design guide- lines that follow. B Policy statement Explains the desired outcome for the design topic and pro- vides a basis for the design guidelines that follow. If a guide- line does not address a specific design issue, the policy state- ment will be used to determine appropriateness. C Design guideline Describes a desired perfor- mance-oriented design out- come. D additional informa- tion Provides a bulleted list of sug- gestions on how to meet the intent of the design guideline. e images Clarify the intent of the design guideline by illustrating appro- priate and inappropriate design solutions.Protect and maintain significant stylistic features, such as these window features, cornice details and ornaments. architectural Details Historic features, including original materials, architectural details and window and door open- ings, contribute to the character of a structure. They should be preserved when feasible. 1.1 Preserve significant stylistic and architec- tural features. • Storefronts, cornices, porches, turned col- umns, brackets, exposed rafter tails and jigsaw ornaments should be preserved. a B C D e Key Chapter 5: Nuts and Bolts for Commissions Final: August 30, 201698 How Do Local guidelines relate to the secretary’s standards? The Secretary of the interior publishes the Standards and guidelines for the Treatment of Historic Properties (36 CFr Part 68), which includes a specific set of guidelines for rehabilitation. local guidelines should include and reinforce these principles. are “guidelines” enforceable? This is a semantic issue that many commissions face. Some people interpret the term “guideline” to mean that they are suggestions, not regulations. in fact, they are enforceable, especially when clearly linked to broader criteria in the local government’s preservation ordinance. The guidelines in essence help to interpret those criteria. Some communities, in order to make this enforceability clear, instead use the term “standards,” or the combined term “standards and guidelines.” What if We Don’t Have guidelines? While locally-tailored guidelines are preferred, the national Park Service’s illustrated guidelines for rehabilitating Historic Buildings can serve very well, and many com- munities adopt them. Because they are written to apply to contexts throughout the nation, they are broad in nature and require careful interpretation. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 99 D. Defensible Decision-making Defensible decision-making is simply the act of following all steps required to ensure due process. it is essential that the commission’s decisions be seen as fair and ob- jective, based on the facts and established criteria and guidelines. The commission’s decision must be accurately documented such that, in the future, the process and the reasoning for the decision are clear. Commissioners should nOT make decisions based on: • Personal taste. use the guidelines instead. • Opinions of the applicant. Focus on the project, not the person. • information that is not in the public record. some Key Questions: What are the elements of a defensible decision? The decision should be based on the relevant ordinances, rules and procedures, including the formal survey and designation information and the adopted design review criteria and guidelines. it should be clearly stated, avoid- ing “double negatives” or unclear directives. What should a motion say? a motion to decide on a proposal should include: • The stated action -- approve, deny, etc. (See Chapter 6.) • The name and address of the property • The “title” of the work proposed--alteration, addition, etc. • Statement of compliance (or lack of). Be sure to refer- ence to the criteria/guidelines on which the decision is to be made • reference to the significance of the property and its character defining features, as described in survey documents • reference the submittal documents if the action is to approve a design proposal, an important consideration is that the motion and the conditions of approval are clear enough that, should it become neces- sary, non-compliance or a violation of the Certificate of appropriateness can be proven. Many commissions have Chapter 5: Nuts and Bolts for Commissions Final: August 30, 2016100 a “motion cheat sheet” to help commissioners remember to include all the elements above into a motion. What should the minutes include? Minutes should describe the items on the agenda as they occurred, with an indication of the actions taken, and references to the documents that were considered in the actions. Keep in mind that this may be the first point of reference that someone goes to for future research, and it should provide a “link” to other information that may be on file. What should the administrative record contain? Each project “case,” should contain: • application form • Supporting documentation describing the property and proposed action • Hearing notice • Minutes of the hearing • Formal written letter of the decision and a copy of the Certificate of appropriateness • any other documents submitted that were a part of the hearing (e.g., letters from interested parties, profes- sional reports) remember, should a decision be appealed, the appellate body will only consider the information in the record, not new information. What are the basic legal considerations to address? The decision must be made with these considerations: • Compliance with an open meetings regulations • Following Procedural and Substantive Due Process • Disclosing any ex-parte communication • addressing any conflicts of interest • Maintenance of a complete record How are appeals handled? in most communities an appeal goes first to the elected official governing body, such as a City Council. Further appeals then go to the courts. applicants always have the right to appeal, and in some communities other citizens may also have “standing” to appeal a decision. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 101 CHaPter 6: ProjeCt revieW a starting Question a property owner has submitted a proposal to make improvements to their house, which is a contributor in the local historic district. What will you consider in the evaluation? What should you not consider in making your decision? a key responsibility for many commissions is the review of proposals for work on historic properties and within historic districts. this requires care- ful consideration of the facts presented, with an objective application of the design guidelines that are adopted by the commission and of any criteria set forth in the preservation ordinance. if the com- mission finds that the work proposed meets those standards, it may authorize granting a Certificate of appropriateness. in this Chapter: a. What is the HPC’s Scope of authority? B. When is Design approval required? C. What are the Steps in the review? D. Citing Design guidelines E. Potential actions Chapter 6: Project Review Final: August 30, 2016102 a. What is the HPC’s scope of authority? The scope of the commissions’s authority is usually defined in the preservation ordinance. This typically provides that they can review any exterior work on a property. in some cases, the ordinance may permit the local government to designate interiors as well, in which case those that are specifically listed will be subject to review. note that some commissions may only have an advisory role. rather than formally issuing an approval (sometimes called a COa, as discussed in Chapter 5), they may rec- ommend approval to an administrative official or another board. in this case, a simpler resolution in support may be adopted. What if other repairs appear to be needed? The commission is limited to considering the work de- scribed in the application for the COa. it cannot withhold approval of the COa because commissioners believe other improvements also should occur. For example, if an original window has been replaced with an incompatible one, and replacing it with one to match the original would be desirable, the commission cannot require doing so, if work on that window is not in the application. may the Commission make Design Changes? The commission should resist the temptation to redesign the project that is proposed. instead, it should provide direction to the applicant that would guide them in mak- ing revisions that are more compatible with the design guidelines. What if Work is undertaken Without a Coa? The building or zoning official is responsible for enforc- ing violations, but commissioners may often be the first to notice those conditions and will notify the code official. tHe aPProvaL ProCess The approval process is sometimes referred to as the COa, or Certificate of appropriateness. This process is conducted by the HPC and determines the extent, if any, to which changes can be made to a property. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 103 B. When is Design approval required? The first step is to confirm that a project is within the review powers of the commission, and that design approval or a Certificate of appropriateness (COa) is required. Most commissions require approval for these actions: • Construction • alteration • reconstruction • Moving • Demolition • any other exterior change note that this includes some work that would not require other permits from the local government. That is, the re- quirement for a building permit is nOT a test for requiring a COa. Work not requiring a Coa Most commissions do nOT require a COa for routine main- tenance that does not require replacing existing materials. routine maintenance repair that does not alter the character or finish of exte- rior materials does not require a COa. Examples include: • repainting, using the same color and type of paint • resecuring loose boards, shingles or other existing materials • Such repairs that do not perpetuate an inappropriate condition An analysis of key features of a historic district should be a part of submittal documents when context is a consideration. Chapter 6: Project Review Final: August 30, 2016104 C. What are the steps in the review? Be certain to be familiar with each application. if it appears that a commissioner is unfamiliar with a proposal during a hearing, it can undermine the credibility of the decision. These are best practices in project review each commis- sioner should follow: Before the meeting 1. Confirm that submittal documents are complete Confirm that sufficient documentation is provided to ad- equately interpret the proposal and apply the guidelines. Staff may conduct this documentation review. note that a checklist may be helpful to use as a reference. a simple test to determine if the application documents are sufficient: “if the finished work appears out of compliance, will the documents substantiate that fact? Can you prove non- compliance?” 2. visit the site Commissioners should visit the site of the project in order to gain an understanding of the key features of the prop- erty and its context. Be sure to follow any open meetings laws that apply to site visits. 3. review background information review surveys, documents, historic photos and other information about the property. 4. review the submittal documents Study them to determine the effects of the proposed work on character-defining features of the resource and its context. This residence is undergoing a foundation and porch alteration. A project of this degree requires thorough review. unaCCePtaBLe DraWing: • Cannot be measured • lacks sufficient detail Compare with sketches on the next page. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 105 at the meeting These steps are recommended for hearing an application. note that some specific procedural requirements may vary in your local ordinance: 1. introduce the Commission and the review process remember that some people attending the meeting don’t know who you are! Explain the sequence of events. Be certain that the roles of the chairman, the commission members and their staff are understood. 2. explain the purpose of the review The purpose is to assure that the proposal meets criteria for a COa, as provided in the ordinance. 3. Call each case according to the published agenda if deviations are required, announce this at the beginning of the meeting. Check for conflicts of interest. 4. introduce the applicant and their project identify the location of the project (preferably on a map visible to all). 5. Listen to the staff report if the Commission has staff, they should have reviewed the project in advance and may have a written report. Staff comments should identify the specific issues that this application raises and note how the project does or does not adhere to the guidelines. 6. Listen to the applicant’s presentation Encourage the applicant to relate their project to appro- priate sections in the design guidelines. 7. ask for clarification Withhold criticisms at this stage. First determine that ev- eryone understands what has been presented. 8. take public comments ask that their discussion be limited to the project at hand, and its relationship to adopted standards and guidelines. record the name and address of speakers. aCCePtaBLe DraWing: • Free-hand, but to scale • Can be measured • Has sufficient detail aCCePtaBLe DraWing: • Mechanically drafted • Can be measured • Has sufficient detail Compare with sketches on the previous page. Chapter 6: Project Review Final: August 30, 2016106 9. take statements from other public agencies or or- ganizations in some cases, code and enforcement officers, repre- sentatives from local historical societies or advocacy organizations may provide testimony. 10. Critique the proposal next, the Commission should evaluate the proposal, using the design guidelines. 11. allow the applicant to respond if the commission raises concerns, allow the applicant to defend the design as proposed, provide further explana- tion, or discuss modifications they will consider. 12. entertain a motion The motion should be clear and direct. it should include a reference to the guidelines, and a finding that the project is approved or disapproved because it meets or does not meet the guidelines adequately. there are four options for a motion: a. approve as submitted b. approve with conditions for alterations to the submittal c. Deny as submitted d. Continue for additional information (being mindful of time limitations) 13. vote on the proposal 14. summarize the results Be certain everyone understands the action just taken. 15. record the decision Send the applicant a letter with the COa, and ask them to remove any signage posted. Encourage the applicant to relate their project to appropriate sections in the design guidelines. Commissioners should visit the site of any proposal that they will review. This will require a Public Notice of commissioners touring the site together. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 107 special review Questions: as you review an application, consider these questions to help focus the discussion: 1. What is the context? What is the character of the setting and of adjacent build- ings? remember that you are reviewing the impact of a design upon its specific site, and its surroundings as well as the property itself. 2. What is the impact of the proposal? Will character-defining features be altered or compro- mised? 3. Which are the critical design issues? Certain guidelines will be more applicable than others. Decide which ones will be most significant in reviewing the proposal before you. remember, you are interpreting the guidelines. if you disagree with their stated policies, the review session is not the time to assert your opinions about the guidelines themselves—only about the design in relation to the ad- opted guidelines. 4. Can the design issues be grouped? look for common themes. Often, discussion will ramble over many topics. look for ways to simplify the debate by combining related issues. 5. are non-design issues embedded? Sometimes, the problem is not a design issue, but in fact it is a broader conflict over land use, density or some other zoning policy that the guidelines cannot address or solve. Don’t get sidetracked. Routine maintenance usually is not subject to design review. Chapter 6: Project Review Final: August 30, 2016108 use these techniques in your evaluation: 1. use simple, clear language Be specific. Even if you approve the proposal, you want to give a clear message to future applicants and to future commission members about how you reached your deci- sion, in the event that they, too, face similar issues. 2. use the guidelines use a checklist to confirm that you covered all the items, and then ask for discussion of any items that are in ques- tion. allow open discussion, but monitor the content to avoid unnecessary repetition. 3. Keep the discussion moving When all the points have been made and people are re- peating earlier comments, this is a good indication it is time to terminate the critique. 4. Keep the discussion on track avoid “red herrings,” those tangential issues that may be emotionally charged, but have no direct bearing on the specific proposal, and are not addressed in the standards, and should not influence the decision. These can take up time, frustrate participants and confuse the decision- making record. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 109 D. Citing Design guidelines as a means of interpreting those broad criteria to spe- cific COa proposals, the commission should then apply its design guidelines. These may be the Secretary of the Interior’s Standards and Guidelines for the Treatment of Historic Properties, or they may be locally tailored design guidelines. Many communities adopt the Secretary’s Stan- dards initially, and then augment them with locally crafted guidelines as time and budgets permit. When reviewing a proposal, be certain to cite the guide- lines. This makes it clear that the commission has made its decision objectively, using the tools that are officially adopted, not through personal taste or arbitrarily. See pages 95-97 for additional design guidelines infor- mation. inFiLL in PLain engLisH: new “infill” construction may occur as an addition to an existing building, or as a separate structure on a historic site or a parcel in a historic district. Design guidelines for new construction focus on com- patibility with the historic setting, not imitating it. in fact, new designs that pretend to look old are discouraged, because they confuse the record of his- tory. at the same time it is impor- tant that new development contribute to an overall sense of continuity while also conveying the evolu- tion of the area. it can do so by reflecting more basic patterns of development in the district. using similar building forms and materi- als, placing buildings in alignment with others in the block, and respecting the mass and scale of the context are examples. Therefore, new buildings and additions should be distinguishable as such and not confuse one’s in- terpretation of the develop- ment of the property or of the district. That is, each building should appear as a product of its own time. The Commonweal Theater building in Lanesboro, MN provides an appropriate example of infill development in a historic district. Chapter 6: Project Review Final: August 30, 2016110 e. Potential actions Once it is time for the commission to make a decision, these are the options: approve as submitted no amendments are made to the submittal documents and no other conditions are attached. approve with conditions or modifications an amendment may be made as a part of the motion to approve. This may be a change in what is proposed, as the applicant may elect to amend the application to better conform to the design guidelines, or an added stipula- tion. in some cases, the commission may approve with a requirement that a detail of the design be returned for approval later, either by the commission or staff. Continue the agenda item if the applicant and the commission agree, a decision may be delayed in order for more information to be provided, or to allow the applicant to modify the proposal based on discussion at the hearing. Deny as submitted if an application is denied, some ordinances provide that it may not be resubmitted for a year’s time. always check the local ordinance to confirm details regarding the re- submittal of denied applications. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 111 CHaPter 7: sPeCiaL LegaL issues a starting Question the owner of a historic house has applied to demol- ish the building, because otherwise keeping it would be an economic hardship. the building is badly de- teriorated as well. How should you respond? this chapter addresses two of the knottier issues the commissions may encounter: that of economic hardship and “demolition by neglect”. in this Chapter: a. Economic Hardship B. Demolition by neglect C. Enforcement Chapter 7: Special Legal Issues Final: August 30, 2016112 a. economic Hardship “Economic Hardship” is a specific condition that can only be determined using adopted criteria and carefully following procedures outlined in the ordinance. it is not something that commissioners should use their personal feelings about. This is often an emotional issue, but commissioners should not feel that the question should be avoided. Sound legal precedent indicates that the government, including the preservation commission, can engage in regulations that may raise this question. What is it? Economic hardship exists only when nO reasonable use of a property is available to the owner, due to the regulations in the preservation ordinance. it is based on language in the Fifth amendment of the united States Constitution. The term “reasonable use” is key. if a property is limited in its use due to the regulation, such that the owner can- not maximize the economic benefits, but there is still a reasonable return, then no taking is found to exist. also note that the “hardship” is with the PrOPErTY itself, not with the owner. That is, one’s personal finances are not a part of the consideration. The preservation ordinance should provide a specific pro- cess and criteria for determining if an economic hardship exists, and commissioners should follow them carefully. How should a Hardship Claim Factor into Project review? The commission should consider an economic hardship claim separately from an application to demolish a build- ing. The first step is to decide if demolition is permitted, regardless of economic circumstances. Then, if demolition is denied, a separate hearing should consider economic hardships. This separation of actions makes it clear that the demolition itself remains “inappropriate,” but is per- mitted because of economic hardship. Penn CentraL DeCision: The Supreme Court ruled in its decision regarding a takings claim by Penn Central in new York City that a taking had not been demonstrated, and that a local preservation com- mission had the right to regulate a property. This case is the basis for hardship tests. For more information, see: Case Briefs: Penn Central Transportation Co. v. City of New York http://www.casebriefs.com/ blog/law/property/property- law-keyed-to-cribbet/regu- latory-takings/penn-central- transportation-co-v-city-of- new-york/ Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 113 the Permit to Demolish an application to demolish requires a Demolition Permit, a Certificate of appropriateness (COa) or a similar permit. a demolition permit might be issued if: • The property is a non-contributor in a historic district. • The property, although presently listed as contributing, is found to have lost its integrity and thereby merits reclassification as non-contributing (e.g., through dam- age from a fire or a natural disaster). The hearing for the demolition permit should be based on the facts related to the significance of the property. if it retains its integrity, then demolition should be denied. Finding economic Hardship While the claim for hardship may be made as a part of an application to demolish a building, it should be handled as a separate agenda item, and the specific test for hardship should be applied. That is, the commission in the first hearing would find that demolition is inappropriate, but then in the second hearing find there is an economic hardship (if that is the case), which would then justify issuance of a demolition permit. usually, if no economic hardship claim is made, a com- mission will deny an application to demolish a historic building since its primary objective is preservation of such resources. Demolition Delay Some ordinances do not give the commission the power to deny demolition, and only provide for a delay in issuing a demolition permit. The intent is to provide some time to find an alternative, such as selling the property to a buyer who will maintain it. These provisions usually delay only for a defined period of time. The claim of economic hardship is less likely to occur in this situation. Chapter 7: Special Legal Issues Final: August 30, 2016114 economic assistance a special case of concern is the situation with an owner- occupied home, in which the owner lacks the financial means to maintain their property adequately. They may assert that a requirement to use proper rehabilitation procedures is an “economic hardship.” Technically, this is not the same as the hardship related to the Fifth amendment, but the public may confuse the two. ideally, the local government will have assistance and incentives programs to help owners make appropri- ate improvements for these situations. incentives may include state and local tax credits for rehabilitating historic structures. For more information about incentives, refer to Chapter 1. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 115 evidentiary Checklist for economic Hardship What type of evidence should be reviewed when considering economic hardship? The national Trust for Historic Preservation, in its publication Assessing Economic Hardship Claims Under Historic Preservation Ordinances, provides this checklist of information that is a useful tool for local commissions and other regulatory agencies considering economic hardship claims: 1. Current level of economic return 2. any listing of property for sale or rent, price asked, and offers received, if any, within the previous two years, including testimony and relevant docu- ments 3. Feasibility of alternative uses for the property that could earn a reasonable economic return 4. any evidence of self-created hardship through deliberate neglect or inad- equate maintenance of the property 5. Knowledge of landmark designation or potential designation at time of acquisition 6. economic incentives and/or funding available to the applicant through federal, state, city, or private programs This paper is available at: http://www.preservationnation.org/information-center/ law-and-policy/legal-resources/preservation-law-101/resources/Economic-Hardship- Assessment.pdf Chapter 7: Special Legal Issues Final: August 30, 2016116 B. Demolition by neglect Simply put, intentionally allowing a property to deterio- rate to the point that it cannot be saved is “demolition by neglect.” The assumption is that the owner is capable of maintaining the building, but chooses not to do so. What is the issue? The concern about demolition-by-neglect is that a build- ing can lose so many of its key features that it will no longer retain sufficient integrity. if that happens, then the building will no longer have historic significance, at which point outright demolition may be permitted under other governmental regulations. This is especially an issue when an owner may have been denied a permit to demolish a building and, in response, simply lets it decay, perhaps even opening it to the ele- ments to accelerate damage. Demolition-related tools Tools that prevent or discourage the demolition of his- toric resources are essential elements of a community’s preservation system. Sometimes a property is neglected until it must be demol- ished. These cases of “demolition by neglect” may reflect many causes including: • an owner cannot afford the necessary maintenance because of personal financial circumstances, or • an owner is unwilling to invest in the structure, or Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 117 • an owner anticipates reuse opportunities for the site that seem to be greater without the historic structure being there, or • There is no apparent viable economic use for the property, or • an owner is disinterested or unaware of the condition of the property at a certain point, the decay becomes so substantial that the City’s building official must cite the property as a haz- ard to public safety. Most local preservation ordinances acknowledge that, when this state is reached, the property may be demolished. The objective, however, is to avoid having a property reach this state. Typically, by the time a building reaches this stage, it has already passed a point at which many of the architectural details and building components that contribute to its significance have deteriorated to a point beyond repair. That is, when it reaches a public safety hazard stage, the building may have already lost its integrity as a historic resource. The challenge, therefore, is to interrupt the cycle before decay reaches this stage. tools to Prevent the Loss of Historic resources Typically, the primary demolition prevention tool is a requirement for a demolition permit. Other strategies to protect historic resources from demolition include direct intervention, and incentives as well as working to create a climate that encourages good stewardship. Because the appropriate tools will vary with the circumstances of the case, the most effective preservation programs use these tools: • Property owner notices of need to repair • Publication of endangered property lists (often man- aged by preservation partners) • Emergency protection clauses in the ordinance • Minimum maintenance requirements • Forced sale or condemnation • Emergency preservation funds • removal of inverse incentives • Creating a supportive economic environment Chapter 7: Special Legal Issues Final: August 30, 2016118 How should it be Handled? address this issue with care. Some local ordinances around Minnesota have provisions for dealing with cases of demolition-by-neglect, most allowing for: • issuing a civil (and sometimes criminal) citation • ability of the government to undertake necessary cor- rective work • Putting a lien on the property Citing for demolition-by-neglect requires discretion. ideally, the commission will adopt specific criteria for identifying demolition-by-neglect. The ordinance also may limit the use of this provision to specific classes of property, such as: • unoccupied structures • Structures open to the elements • Major landmarks • Properties in designated revitalization areas enforcement of demolition by neglect The practical reality is that it is rare for a local govern- ment to step in and renovate or stabilize a deteriorated historic building and then bill the owner. Few local budgets have funds earmarked for such activities and it would be unpopular. at most, the local government may board up a building or cover a leaking roof with a tarp - a short- term solution. after the housing recession occurred and foreclosures were on the rise, many Minnesota communities developed ordinances to protect the health, safety and welfare of the city and its residents. One such program in Stillwater involved the identification and registration of problem prop- erties which includes a property that has been allowed to physically deteriorate. This program, as well as the City’s abandoned or dangerous structure nuisance abatement program allows the City to rectify life, health and safety issues in which the payment for services rendered may be certified by the City as a service charge for collection with the real estate taxes. These programs help ensure Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 119 older housing stock is decent, safe and sanitary, and is maintained in a manner that does not measurably lessen the market values of properties nearby. use it with care For this reason, it is important to employ this provision with care. it is useful, however, to have such a provision in the ordinance. it serves as a potential deterrent and is then available for really critical conditions or highly valued buildings. Communicate first Talk to owners first if substantial deterioration is identi- fied, and document all efforts to communicate with them. Citing for demolition-by-neglect should only occur after demonstrating that the government has done everything possible to resolve the situation. Chapter 7: Special Legal Issues Final: August 30, 2016120 C. enforcement a preservation ordinance should establish a procedure for enforcing its terms. The ordinance is usually enforced through stop-work orders and the assessment of fines and other penalties for individual violations. The HPC may request that enforcement action be taken for a violation, if the situation is brought to their attention. note that the HPC does not actually cite the property owner in violation, as it is not the HPC’s role or responsibility to police violations. What is the HPC’s role in enforcement? The commission plays an advisory role. City or county staff is responsible for issuing citations and any related penalties, since this is a part of the zoning code. This may be a code enforcement official. The HPC may request that enforcement action be taken for a violation, if the situation is brought to their attention, but it is not their responsibility to police violations. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 121 CHaPter 8: FreQuent Design issues a starting Question the owner of a historic house in the local district has applied to remove all of the original windows and replace them with new ones in order to save en- ergy. they also wish to cover the wood siding with a cementitious composite board material, in order to save on repainting over time. How will you respond? these are questions that commissions frequently face. they bundle several issues: When is replace- ment or covering of original material merited? How does any energy saving action fit into an overall conservation strategy for a property? to what extent must commissions remain up-to-date on changing trends in materials and technology? responding to these questions requires delving into the current information about these issues. extensive information exists about them, and more continues to be published, so it is important that commissioners be open to new information as it becomes available. While the community’s design guidelines will provide clear policy on most topics, there may be some that are more recent or may be ones in which new information has come forward. others are topics that raise theoretical issues that call for a more in-depth discussion. this chapter provides an overview to some of the “hot topics” that may arise in design review. in this Chapter: a. Substitute Materials B. Sustainability and “green” issues C. Windows on Historic Buildings D. new additions to Historic Buildings E. new Construction in Historic Districts Chapter 8: Frequent Design Issues Final: August 30, 2016122 inFo on suBstitute materiaLs: an excellent start for un- derstanding the specifics of alternative materials is published by the national Park Service: Preservation Brief 16, The Use of Substitute Materials on Historic Building Exteriors See: https://www.nps. gov/tps/how-to-preserve/ briefs/16-substitute-mate- rials.htm note that, for projects seeking state or federal tax credits or other ap- provals, the SHPO or the national Park Service may apply a stricter standard for replacement materials. local commissions should be aware of this when also reviewing those projects. a. substitute materials What are substitute materials? in historic preservation, a substitute material is one that is used to appear similar to one used originally. Today, this may mean using a cast concrete product to imitate a stone window sill. Historians will point out, however, that the tradition of using substitutes goes back for centuries and that many of the materials we now consider historic were in fact alternatives to other materials that may have been more expensive or difficult to acquire. a stamped metal cornice, at the top of an italianate com- mercial building, for example, evolved from stone versions employed during the renaissance in Europe. But, while there is precedent for their use, what is their appropriate application in rehabilitation projects? are substitutes appropriate at all? in its publication, Preservation Brief 16, The Use of Substitute Materials on Historic Building Exteriors, the national Park Service acknowledges that substitute materials may be appropriate in some situations: “Some preservationists advocate that substitute materials should be avoided in all but the most limited cases. The fact is, however, that substitute materials are being used more frequently than ever in preservation projects, and in many cases with positive results. They can be cost-effective, can permit the accurate visual duplication of historic materials, and last a reasonable time. Growing evi- dence indicates that with proper planning, careful specifications and supervision, substitute materials can be used successfully in the process of restor- ing the visual appearance of historic resources.” Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 123 are substitutes always best? not necessarily. While claims for durability and accuracy of appearance may be made, the results don’t always measure up. it is reasonable for commissions to ask to see examples of how the material has fared in similar conditions of environment and location on a property. Covering vs. replacing remember to confine the discussion about alternative materials to situations in which a replacement is indeed needed. That is to say, COVEring original material is not appropriate, regardless of what the new material would be. removing original material that is in good condition and continues to serve its function is also inappropriate. reasons for Considering alternatives if replacement is merited because of the severe deterio- ration of the original fabric, then doing so with the same material as the original is certainly preferred, but when might it be reasonable to consider an alternative? These are some conditions: inherent flaws in the original in some cases, while the original material has historic value, it has not performed well and replacing in kind may perpetuate a problem. This is becoming more of an issue with some “recent Past” resources from the mid-Twentieth Century, in which experiments with new materials and as- sembly methods sometimes led to disappointing results. availability of the original as replacement if it is difficult to obtain the original material, then an al- ternative may be more acceptable. availability of craftsmen Even if the original material may be available, are crafts- men on hand who can appropriately finish and install it? This may be an opportunity to sponsor a training program to build the local capability for such skills. more on suBstitute materiaLs: The national alliance of Preservation Commissions has published a helpful paper on alternative ma- terials. Developing a Materials Evaluation Methodology See: http://napcommis- sions.org/wp-content/up- loads/2013/08/Sustain- ability_Developing-A-Ma- terials-Evaluation-Method- ology-Part-1-2.pdf Chapter 8: Frequent Design Issues Final: August 30, 2016124 79Chapter 5: Standards for New Construction building Orientation Traditionally, the primary entrance of a building faced the street. In a commercial setting, the entry was often recessed. New buildings should be oriented to continue this traditional pattern. 5.4 Maintain the traditional orientation of a building to the street. • The primary entrance should face the street. • In some cases, the front door itself may be positioned perpendicular to the street. In this case, the entry should still be clearly defined with a recessed entry or canopy for commercial building types. • New buildings should abut the sidewalk. The setbacks for all new construction should match the setback of other buildings on the block. Materials Building materials used in new construction should contribute to the visual continuity of Downtown Plano. 5.5 Use building materials appropriate to the context. • Brick is the preferred primary material. • Building materials should have a modular dimension similar to that used traditionally. 5.6 building materials shall be similar in scale, color, texture, and finish to those used traditionally in Downtown Plano. • All wood details should have a weather-protective finish. • Stucco may be considered as an accent material on upper floors of larger buildings. • Imitation or synthetic materials, such as aluminum or vinyl siding, imitation brick or imitation stone and plastic, are inappropriate. • The use of highly reflective materials is discouraged. 5.7 ensure that any new materials are similar in character to traditional materials. • New or alternative materials should appear similar in scale, proportion, texture, and finish to those used traditionally. For example, a modular stone may be appropriate if detailed similar to historic brick material found in the district. • Using new or alternative materials as an accent is appropriate to help express individual building modules or units. Maintain the traditional orientation of a building to the street. The primary entrance of a building should face the street. Brick and stone are the preferred primary materials for new construction. Using new or alternative materials as an accent is appropriate to help express individual building modules or units. Many design guidelines, such as this example from Plano, TX, include policies related to alter- native materials. Code requirements Contemporary building codes and related regulations may prohibit use of the original material. While this issue may apply more frequently to interiors, it may also be an is- sue for exterior features as well. asbestos shingles and lead-based finishes are examples. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 125 Criteria for applying alternative materials if it is determined that using the original material may not be the best solution, what would be the criteria for considering an alternative replacement material? These are some conditions to consider: accuracy Will the alternative material successfully convey an appear- ance that matches the original? They should be similar in: • Detail • Profile • Texture • Finish Durability Does the material have a satisfactory record of performance in a similar condition, including climate and location on the building? Experimenting on historic buildings is not the place to test new materials in the community. Location on the property Does the location on the property affect one’s perception of the material? For example, a synthetic, resin-cast material may work well for a cornice molding that is located high on 29 New Building Materials in Storefront Design While the commercial property owner is encouraged to use traditional materials in the reconstruction of missing or altered building elements, often it is economically infeasible. Therefore, the owner may consider using newer building materials that emulate the appearance of the traditional elements. When designing a new storefront for your commercial property, you should meet with city staff to determine what contemporary building materials are acceptable and available The traditional storefront is generally constructed of a combination of materials, such as wood framing, wood moldings, metal flashing, and plate glass. The typical elements of the storefront were the metal-clad window crown or cornice, the wood framed transom window, the wood framed display window, and the wood or metal bulkhead. The window and bulkhead are generally set back in the storefront opening at least six inches. The reconstructed storefront can create the same “look” using newer building materials such as insulating glass and aluminum framing. However, the proportions and placement of the different elements need to closely match the elements of the original storefront.* *Excerpts from Keeping Up Appearances from the National Trust for Historic Preservation Traditional Storefront CorniceSheet metal over a wood frame, sloped to shed water Transom WindowAlong with display window recessed in the brick framing Display WindowLike the transom above, framed in wood BulkheadConstructed in wood with applied trim ReconstructedStorefront CorniceSheet metal over a wood frame, sloped to shed water Display WindowsFramed in painted aluminum and set back in the storefront opening BulkheadConstructed in treated aluminum framing and an aluminum panel infill The Litchfield Design Guidelines provide guidance on the introduc- tion of new materials to historic properties. This information can pertain to the installation of sustainable systems. Chapter 8: Frequent Design Issues Final: August 30, 2016126 Preserving historic places pro- motes the three basic categories of sustainability. environmentalsustainability economicsustainabilityCultural/socialsustainability Historic Preservation The porch on this home helps to buffer temperature swings. soLar PaneL Design oPtions: For a quick summary of solar panel design options, see the naPC publication: Sample Guidelines for Solar Systems in Historic Districts http://www.preserva- tionnation.org/informa- tion-center/sustainable- communities/buildings/ solar-panels/additional- resources/NAPC-Solar- Panel-Guidelines.pdf a building where it cannot be touched. By contrast, using this material for a replacement column on an entry porch where people will frequently touch it may not be suitable. using alternatives on secondary walls, especially those not visible from the public way, may also be an option. impact on existing materials Some new materials may interact negatively with other historic materials and accelerate deterioration. Combining some different metals, for example, can create a corrosive condition. extent of the replacement a somewhat separate consideration is how extensive the need is to replace original materials, in terms of maintain- ing the integrity of the historic property. replacing a single cornice with a substitute may have little effect. Wholesale replacement of all stone sills, window arches, moldings and foundations with cast concrete could threaten the historical significance of the property. addressing alternative materials in the Design guidelines Design guidelines should be as clear as possible about the use of alternative materials. if alternative materials are permitted, a discussion about appropriate locations should be integrated into the document; otherwise, creat- ing a supplemental chapter or policy paper is an option. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 127 B. sustainability and “green” issues achieving energy efficiency and promoting sustainability and green building are major issues that commissions are now addressing. These issues are not new, but perhaps the level of activity and interest is. Does energy conservation “trump” preservation, or are the two mutually achievable? Design guidelines lack clear direction about how to balance green building objectives with the charge of protecting cultural resources. The basic principles of most guidelines call for preserving original materials and other character-defining features as well as respecting the inherent energy-saving properties of historic resources, but they usually address sustainability indirectly, particularly with respect to the way in which “building green” is seen today. What is sustainability? Sustainability is widely recognized as having three com- ponents: (1) cultural/social, (2) economic, and (3) environmental. Historic preservation contributes to all of these, and to some extent all three may be addressed in design guide- lines. This is because sustainability is a more global value underlying historic preservation, although it may not be so clearly articulated in some preservation ordinances and design guidelines. This glass enclosure is a non- invasive strategy for a weather- ization improvement. It captures winter heat on a front porch, while retaining the building’s historic character and materials. Chapter 8: Frequent Design Issues Final: August 30, 2016128 Double-Hung Window ventilation The double-hung windows found in many historic struc- tures allow for transferring cool air in and warm air out during summer months. Locating solar panels and energy generating devices to the rear of a historic residence minimizes visual impacts. Key sustainability Concepts as with the issue of substitute materials, the theory of sustainability and its related technologies continues to evolve. Consider these factors: Keep the big picture First, it is important to keep the big picture in mind. Don’t become absorbed with evaluating the merits of a specific energy-saving device and its impacts on a historic prop- erty without first understanding how it fits into an overall strategy for the property. resource conservation Preserving historic buildings and their materials avoids negative impacts from new construction. new building construction requires a tremendous amount of fossil fuels and other natural resources, which release greenhouse gases into the atmosphere and cause other negative ef- fects. Landfill reduction Preserving a building reduces the amount of discarded building material that ends up in landfills. Life cycle analysis When considering the life cycle of building materials, one must not only consider the energy consumed to create the materials, but also environmental costs, such as resource depletion and pollution. These ideas may be difficult to convey, but it is important to set out these concepts as a foundation for the guidelines. Comparing these “costs” to the longevity of the material is key to life cycle analysis. Often more traditional materials will score the highest, because they will last longer and have less pollution as- sociated with their manufacture, in contrast to some newer materials that may appear cost-effective early on, but are not as durable over time. Some synthetic materials used in windows are often cited as examples. Typically a commission will not directly evaluate the life cycle performance of materials that are proposed for Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 129 alterations, but the technical information related to this topic can assist property owners in developing a strategy for sustainability. it also will underpin reasoning to retain older, significant materials that do have longer life cycles than some replacements would. energy conservation reducing energy consumption for a property is a key objec- tive for many property owners, and should be addressed in the design guidelines. Often, sealing leaks and adding insulation to ceilings and floors will be the most effective. energy generation The companion piece to energy conservation is energy generation, in the interest of reducing demand on public utilities and minimizing operating costs. Examples of en- ergy generation methods include solar panels and wind turbines. Since property owners may be immediately at- tracted to these two approaches, they should be placed in context with other elements of sustainability in the introductory materials. Developing a strategy for a Property a property owner should outline an overall strategy for energy conservation and generation as it relates to their property. This strategy should include an energy audit, an evaluation of existing systems, and a list of established goals for achieving savings. Several good publications exist that describe how to prepare a strategy for older buildings. Here are some basic steps to suggest to property owners in preparing a strategy: Conduct an energy audit an energy audit often reveals a number of opportunities to reduce energy consumption. For more information on how to conduct an energy audit on your historic property, contact your local city government. guiDeLines For Commissions: The national Trust for Historic Preservation has published a booklet of ad- vice for commissions con- sidering writing guidelines for sustainability called Developing Sustainabil- ity Guidelines for Historic Districts. See: http://www.amazon. com/Developing-Sustain- ability-Guidelines-Historic- Districts/dp/0891333991 Chapter 8: Frequent Design Issues Final: August 30, 2016130 nationaL trust's sustainaBiLity Program: The national Trust for His- toric Preservation's sus- tainability work is focused on finding federal, state and local policy solutions that level the playing field for older buildings and en- able people to save and improve the energy perfor- mance of the places they care about. The national Trust is working through the Seattle-based Pres- ervation green lab with national partners to pioneer new policy solutions that will ensure historic build- ings can remain vital parts of sustainable communities across the country. The national Trust’s sus- tainability program website offers information that is useful to commissions on everything from the retrofit- ting your wood windows to the latest information from the Preservation green lab and Capitol Hill. set project goals for sustainability Setting goals will help place individual actions into con- text, and may, for example, demonstrate that priorities for energy conservation should be to increase insulation in walls, ceilings, and foundations rather than replacing windows. identify management opportunities Management strategies for energy conservation (such as raising and lowering awnings to adjust temperatures, or using a ceiling fan to de-stratify air) should also be used. Develop an overall strategy for the property When a property owner can present a strategy as a part of their application for a Certificate of appropriateness, it also can help the commission consider the potential benefits of the actions proposed. if the strategy contains audit findings, this information may help place a specific request, such as window replacement, into context in terms of payback of investment. Basic Principles for sustainability and Preservation The following principles should apply to all projects: think big, act small When planning any project, first determine the overall goal, and then consider which method of achieving that goal will use the fewest resources and have the least impact to the historic structure. For example, a comprehensive approach will usually demonstrate that replacing windows is not an effective conservation strategy. make best use of inherent conservation features Make best use of a building’s inherent sustainability fea- tures as a first step. For example, use awnings to moderate temperatures. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 131 minimize negative impacts on the historic resource when installing a new component it is important that new components should leave no per- manent negative impacts to the structure. locate a new component where it will not damage, obscure, or remove significant features or materials. Maintain the ability to interpret the historic character of a building when retrofit- ting for energy conservation or generation. For example, locate a solar collector to be visually unobtrusive. use materials that minimize environmental impacts in their manufacture and maintenance Such materials include those that are produced locally, are manufactured without use of harsh chemicals, have long life cycles, are durable in the local climate and are designed to be repairable and recyclable. For example, some vinyl windows may use harsh chemi- cals and have short life cycles. tHe seCretary oF tHe interior's stanDarDs anD guiDeLines For sustainaBiLity: Published in 2011, these supplement the SOi's rehabilitation Standards, addressing energy conser- vation techniques in detail. See: Illustrated Guidelines on Sustainability for Rehabilitating Historic Building https://www.nps.gov/tps/ standards/rehabilitation/ sustainability-guidelines. pdfuse Construction methods that minimize Impacts on Landfill and Reduce Waste Preserving as many existing building features as possible reduces demolition waste, and reduces construction waste generated by replacement building materials. remove only what is necessary and reuse as much material as feasible on-site. repurpose as much of the remaining building materials and components as possible to minimize waste and demand for landfill space. For example, avoid sending original windows to the landfill. Chapter 8: Frequent Design Issues Final: August 30, 2016132 residential Building efficiency Diagram This diagram summarizes the principal guidelines for a rehabilitation project for energy efficiency on a residential building. These measures can enhance energy efficiency while retaining the integrity of the historic structure. soLar PaneLs • Set back from primary facade WinDoWs • repair and retain original or early windows • retain original glass • Enhance thermal and acoustic efficiency with storm windows (preferably interior) • Weather strip attiC • insulate internally Door • retain and repair original and early doors • Weather strip PorCH anD aWnings • retain and restore original porch rooF materiaL • retain and repair exterior CoLor • Consider using a light colored paint when appropriate to the style CHimney • install draft stopper Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 133 Preservation guidelines for Montgomery County, MD recommend that solar panels be located on sec- ondary structures or subordinate portions of the primary buildings, when feasible. Some other communi- ties are more flexible, providing guidance about design details of the panels on a primary elevation. Still other commissions take a stricter position, prohibiting them when visible from the public way. Chapter 8: Frequent Design Issues Final: August 30, 2016134 C. Windows on Historic Buildings replacing Windows One challenge that commissions face is how to respond to a request to remove an existing historic window and replace it with a new one. This raises questions about the significance of the window, its condition and the character of the proposed replacement. This can be a highly charged conversation, with the debate all-to-frequently jumping to the merits of the proposed replacement rather than first determining if replacement is necessary at all. Windows are some of the most important character-defining features of most historic structures. They give scale to buildings and provide visual interest to the composition of individual facades. Distinct window designs in fact help define many historic building styles. Because windows so significantly affect the character of a historic structure, the treatment of a historic window and the design of a new one are therefore very important considerations. Window Features The size, shape and proportions of a historic window are among its essential features. another important feature is the number of “lights,” or panes, into which a window is divided. The design of surrounding window casings, the depth and profile of window sash elements and the materials of which they were constructed are also impor- tant features. Early windows in Minnesota were made of wood but metal casement windows also were popular, particularly on industrial buildings and in later Modernist styles. in either case, they had distinct dimensions, pro- files and finishes. These are important considerations for commissioners when evaluating an existing window and any potential replacement. Deterioration of Historic Windows Properly maintained, original windows will provide excel- lent service for centuries. Most problems that occur result from a lack of maintenance. Water damage and the ultra violet degradation caused by sunlight also are major concerns. if surfaces fail to drain properly, water may be introduced. Condensation during winter months also can cause problems. inFo on WinDoWs: The national alliance of Preservation Commissions has published several help- ful papers on windows and energy savings. Publications include: What Replacement Win- dows Can’t Replace: The Real Cost of Removing a Historic Window. http://napcommissions. org/wp-content/up- loads/2013/08/what-re- placement-windows-cant- replace.pdf replacement window manufacturers will often compare their product to a historic wood window that has not been restored or maintained – a window that fits this description will undoubtedly be drafty and inefficient. in most cases, however, a fully-restored, tight-fitting, properly func- tioning, weather-stripped wood window combined with a quality storm win- dow will have the same insulating properties as a double-glazed replace- ment window. Other steps can be taken to reduce heating bills, such as in- sulating attics and floors; the u.S. Department of Energy notes that 31% of air infiltration is at floors, walls and ceilings, and only 10% at windows. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 135 62 Montgomery County, Maryland General Rehabilitation Design Guidelines These are minimum standards. The majority of projects subject to HPC review involve light wood frame construction, which traditionally had wood windows. The window guidance above is specific to these types of resources. Other types of resources may traditionally have used windows constructed of materials other than wood, and in those cases the use of other window materials may be appropriate. Contact County staff for interpretation of rating a Resource Category. • TDL: True Divided Light • SDL: Simulated Divided Light Resource Category Historic Resource with Historic Window Historic Resource with Non-Historic Windows New Additions Accessory Structures/Out Buildings: Historic Accessory Structures: Non Historic or New Construction Master Plan Site Primary Elevation: Repair historic windows; if beyond repair, wood TDL Primary Elevation: Wood TDL appropriate for resource type/style Visible from Public Right of Way (PRW): Wood TDL appropriate for resource type/style With historic windows: Repair historic windows; if beyond repair, wood TDL Wood SDL appropriate for resource type/style Secondary Elevation: Repair historic windows; if beyond repair, wood TDL Secondary Elevation: Wood TDL appropriate for resource type/style Not visible from PRW: Wood SDL appropriate for resource type/style Nonhistoric Windows: Wood SDL appropriate for resource type/style Outstanding Primary Elevation: Repair historic windows; if beyond repair, wood TDL Primary Elevation: Wood TDL appropriate for resource type/style Visible from Public Right of Way (PRW): Wood TDL appropriate for resource type/style With historic windows: Repair historic windows; if beyond repair, wood TDL Wood SDL appropriate for resource type/style Secondary Elevation: Repair historic windows; if beyond repair, wood TDL Secondary Elevation: Wood TDL appropriate for resource type/style Not visible from PRW: Wood SDL appropriate for resource type/style Nonhistoric Windows: Wood SDL appropriate for resource type/style Contributing Primary Elevation: Repair historic windows; if beyond repair, wood TDL Primary Elevation: Wood SDL appropriate for resource type/style Visible from Public Right of Way (PRW): Wood SDL appropriate for resource type/style With historic windows: Wood SDL appropriate for resource type/ style Wood SDL appropriate for resource type/style Secondary Elevation: Repair historic windows; if beyond repair, wood TDL Secondary Elevation: Wood SDL appropriate for resource type/style Not visible from PRW: Wood SDL appropriate for resource type/style Nonhistoric Windows: Wood SDL appropriate for resource type/style Non Contributing No restrictions for primary or secondary elevations No restrictions on existing nonhistoric or new accessory structures, whether they are visible or not visible from PRW Infill/New Construction on Master Plan Site or District Primary structure: Wood SDL appropriate for resource type/ style Accessory Structures: Wood SDL appropriate for type/style Design guidelines for Montgomery County, MD provide more detailed guidance about replacement windows in general, which can also apply to energy efficiency retrofit questions. The guidelines remain more strict about replacements on primary walls and on contributing structures. Chapter 8: Frequent Design Issues Final: August 30, 2016136 repair of Historic Windows as with other historic features, preservation in place is the preferred approach. Whenever possible, a historic window should be repaired, rather than replaced. in most cases it is in fact easier, and more economical, to repair an existing window rather than to replace it. Even when replaced with an exact duplicate, a portion of the historic building fabric is lost and therefore such treatment should be avoided. When is replacement appropriate? When considering whether to repair or replace a historic window, commissioners should consider the following: First, determine the window’s architectural signifi- cance. is it a key character-defining element of the building? Typi- cally, windows on the front of the building and on sides designed to be visible from the street, are key character- defining elements. a window in an obscure location, or on the rear of a structure, may not be. greater flexibility in the treatment or replacement of such secondary windows may be considered. also, in some cases, the window in question may be a more recent alteration and therefore will lack significance. second, inspect the window to determine its condition. Distinguish superficial signs of deterioration from actual failure of window components. Peeling paint and dried wood, for example, are serious problems, but often do not indicate that a window is beyond repair. a rotted sill may dictate its replacement, but it does not indicate the need for an entirely new window. Determining window condition must occur on a case-by-case basis; however as a general rule, a window merits preservation, with perhaps selec- tive replacement of components, when more than 50% of the window components can be repaired. Commissioners may ask for a window-by-window survey of a property, rather than considering an all-or-nothing approach to a replacement request. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 137 third, determine the appropriate treatment for the window. Surfaces may require cleaning and patching. Some com- ponents may be deteriorated beyond repair. Patching and splicing in new material for only those portions that are decayed should be considered in such a case, rather than replacing the entire window. if the entire window must be replaced, the new one should match the original in appearance. energy Conservation in some cases, owners may be concerned that an older window is less efficient in terms of energy conservation. in winter, for example, heat loss associated with an older window may make a room uncomfortable and increase heating costs. in fact, most heat loss is associated with air leakage through gaps in an older window that are the result of a lack of maintenance, rather than loss of energy through the single pane of glass found in historic windows. glazing compound may be cracked or missing, allowing air to move around the glass. Sash members also may have shifted, leaving a gap for heat loss. The most cost-effective energy conservation measures for most historic windows are to replace glazing compound, repair wood members and install weather stripping. These steps will dramatically reduce heat loss while preserving historic features. if additional energy savings are a concern, consider install- ing a storm window. This may be applied to the interior or the exterior of the window. it should be designed to match the historic window divisions such that the exterior appearance of the original window is not obscured. Chapter 8: Frequent Design Issues Final: August 30, 2016138 Historic profile Unacceptable replacement profile Acceptable replacement profile Sill Plate Sections Yes No Building FaceBuilding FaceBuilding FaceWhen replacing a historic window, match the profile of the sash and its components, as closely as possible to that of the original window. Yes replacement Windows While replacing an entire window assembly is discouraged, it will be necessary in some cases. When a window is to be replaced, the new one should match the appearance of the original to the greatest extent possible. To do so, the size and proportion of window elements, including glass and sash components, should match the original. in most cases, the original profile, or outline of the sash components, should be the same as the original. at a minimum, the replacement components should match the original in dimension and profile and the original depth of the window opening should be maintained. a frequent concern is what the material of the replace- ment window should be. While wood was most often used historically, metal and vinyl clad windows are common on the market today and sometimes are suggested as replacement options by window suppliers. in general, using the same material as the original is preferred by most preservationists. if the historic window was wood, then using a wood replacement is the best approach, especially in highly visible locations. However, some com- missions will consider permitting alternative materials if the resulting appearance will match that of the original, in terms of the finish and the profile of sash members. The substitute material also should have a demonstrated durability in similar applications in this climate. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 139 D. new additions to Historic Buildings Commissions often struggle with proposals to construct additions to historic buildings. adding on is certainly a part of our heritage, and it can signify good things relevant to preservation: a desire to continue the life of an existing building, a healthy economy and a vital neighborhood. as such it can be a part of accommodating change while preserving the integrity of historic resources. in reviewing a proposal for an addition, it is important to evaluate it in an orderly informed manner. Be careful not to jump to a single issue, such as size or style, without considering more fundamental aspects of the design first. Different types of additions may be proposed: First is a ground level addition, which involves expand- ing the footprint of the structure. This is often located to the rear of the primary building, but sometimes is to the side. Secondly, a rooftop addition may be proposed. On a house, this may involve constructing a new dormer to provide more headroom in an attic space. For commercial buildings, a rooftop addition may be added, often set back from the front wall. Rooftop addition where the setback distance was required to equal the height of the new addition. Chapter 8: Frequent Design Issues Final: August 30, 2016140 Key principles for additions are: minimize negative effects on historic building fabric When planning an addition to a historic building or struc- ture, one should minimize negative effects that may occur to the historic building fabric as well as to its character. While some destruction of historic materials is almost al- ways a part of constructing an addition, such loss should be minimized. maintain the ability to perceive the historic character of the main building The addition also should not affect the perceived character of the building. in most cases, loss of character can be avoided by locating back away from the front of the building. The overall design of the addition also must be in keeping with the design character of the historic structure. Most preservationists advocate a design that is distinguishable, albeit in subtle ways, from the historic portion, such that the evolution of the building can be understood. it is also important that an addition not obscure significant features of the historic building. Keeping the design subordinate in character also helps minimize its visual impacts. That is, the design should avoid calling attention to itself with highly ornate details or exotic forms. maintain the ability to interpret the character of the district in a historic district, the commission also should consider the effect that the addition may have on the character of the area. For example, a side addition may change the sense of rhythm established by side yards in residential block if it is too large or is located too close to the front wall of a house in a row of single family structures. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 141 Building Design82 5.13 Design an addition to a historic building to respect the character- defining features of the surrounding historic context, and the original primary structure. ›Design an addition to be compatible with the scale, massing and rhythm of the historic building and context. ›Align porch eaves, roof lines and other fea- tures with adjacent structures, when possible. ›Use materials that complement the color and scale of the historic materials along the street. ›Design windows and doors to be compatible with the primary structure and surrounding historic context, particularly when visible from public vantage points. ›Consider locating additional square footage to the rear and below grade. Classic Cottage and One-and-a-Half Story Addition with Accessory Building This rear addition is taller than the original building but is still clearly dif- ferentiated with a connecting element to achieve an acceptable level of com- patibility with the historic building and context. L-Shaped Building and One-and- a-Half Story Addition This rear addition is similar in height to that of the original building, but is still clearly differentiated with a con- necting element to achieve an accept- able level of compatibility with the historic building and context. L-Shaped Building with Modest Addition This modest rear addition steps down in height to that of the original build- ing, and achieves an exceptional level of compatibility with the historic building and context. Four Square and Two-Story Addition plus Carriage House This Carriage House addition is locat- ed along the alley and achieves an exceptional level of compatibility with the historic building and context. Figure 180: Consider locating additional square footage to the rear and below grade as illustrated in this sketch. 4 4 4 4 4 Additions example from Fort Collins Design Guidelines. Chapter 8: Frequent Design Issues Final: August 30, 2016142 impact Considerations for an addition impact considerations address the visual and physical impacts of the addition on the integrity of the property, and one’s ability to perceive its historic character, as well as that of its context. Some impact-related factors to consider include: • The impact on the historic structure • is the addition visible? • Does the addition remain visually subordinate to the historic structure? • is one’s ability to interpret the historic character retained? (Especially in terms of perceiving the original mass, scale and prominence of the property) • are alterations to key character-defining features avoided or at least minimized? • is the structural integrity of the property retained, or even improved? • The impact on the abutting contributing properties • is one’s ability to interpret the historic character of the abutting properties retained? (Especially in terms of perceiving their original mass, scale and relative prominence on the street or from other public vantage points?) • The impact on the block as a whole • are the rhythm and alignment of structures and their key features typical of the block retained? • is the perception of the scale of structures along the block retained, as experienced at the street level? • if the character of an alley wall is also a key feature, is its scale also retained? Design variables for an addition Design variables include basic scale and proportion considerations that relate to the compat- ibility of the addition with the primary structure and surrounding historic context. Design variables to consider include: • The height of the addition Keeping floor heights in the range of those on the historic structure, or even lower, may help keep an addition visually subordinate to the historic structure. • The degree of setback Does the original primary façade (front) remain visually prominent? an addition should be set back from the façade and other key walls that contribute to the character of the property. The setback should be a sufficient distance such that the historic structure remains prominent. • Simplicity of design is the design of the addition subordinate in character? The design should be relatively simple in architectural character and detailing, such that it does not call undue attention to itself. The historic structure should remain the prominent feature. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 143 e. new Construction in Historic Districts Commissions often struggle with the question of what “style” should be permitted in a historic district. Should it be one that copies the historic buildings in the area? Or should it be distinguished as new? Compatible but Contemporary The broadly held philosophy for new construction in a historic district is that it should be compatible with the historic setting without confusing the history and evolution of the area. This means that new buildings should reflect their own time and be distinguishable from their historic neighbors. at the same time, they should not contrast so jarringly as to inhibit ones ability to interpret the historic character of the district. in this approach, overall character of the area is retained, while accommodating change. it has these features: • The evolving character of the area is reflected. • Historic resources, from all periods of significance, are preserved. • Historic resources and other traditional buildings provide the context for new construction, in terms of form, materials, etc. • new buildings express their true age, but are compat- ible with the historic context by drawing upon basic design relationships that are essential to the area. This approach is preferred by historians. it reflects the evolving story of the district, while providing a compatible setting for the genuine historic resources that exist. it also permits flexibility in responding to changing markets and functional requirements. it is the one most widely used across the country and is consistent with the Secretary of the interior’s Standards. in addition, it adapts well to areas that have several layers of history, different themes of development or many periods of significance. Chapter 8: Frequent Design Issues Final: August 30, 2016144 in this approach, the design for a new building is based on basic features that are similar to those of historic struc- tures, but the results do not literally mimic historic styles. The design is compatible in mass, scale and character, but subtle differences in stylistic treatment make the building distinguishable as new construction. in this way, one can read the evolution and change of the district, while also retaining a visually compatible sense of time and place. Defining the key, underlying features of the area is im- portant, and basic neighborhood characteristics of mass, scale and materials must be respected in new construc- tion, even though “contemporary” designs are allowed. not that the term “contemporary” in this sense refers to the current period, not to a particular architectural style. Historic references in new Designs While the “contemporary” approach is preferred by most communities, some also permit designs that are more imitative of historic styles. Because the new buildings copy the historic styles, one is generally assured that they will be visually compatible with their historic neighbors. However, this can be a “slippery slope,” in which poorly executed imitations may creep into the district. an over- sized box, decorated with a few Victorian era brackets, does not guarantee compatibility! a liability of this approach is that it can, to some extent, change the apparent history of the area and the physi- cal record of the evolution of the street can be blurred. if development occurs that is similar in location, scale and character to that seen historically, at least a reasonably accurate story can be discerned. if, however, the new development is different in scale and siting from that seen historically, even though the styles appear to be from the period of significance, the message may be garbled. Most historians discourage this approach because it is deceiving. That said, commissions may often approve such designs. What is important is that the theoretical implications of the decision to do so is understood. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 145 CHaPter 9: WHere Do We go From Here? the preceding chapters provide an overview to the key components of a preservation program at the local level and notes some of the benefits of preser- vation to the community. they even touch on some of the trends that may affect ways in which commis- sions operate. now, its time to place that information into a broader context. This final chapter therefore returns to some of those earlier topics and presents them in a more holistic view. in this Chapter: a. Current Trends B. Keep Challenges in Perspective C. reaching Out D. Your Work is Valued! E. Thank You for Your Service! Chapter 9: Where Do We Go From Here? Final: August 30, 2016146 inFo on HeaLtHy Community initiatives: additional information re- garding healthy community initiatives can be found at: Overweight and Obe- sity Prevalence Higher in Less Walkable Neighbor- hoods See: http://www.thecar- diologyadvisor.com/pre- vention/transportation- options-and-diabetes-obe- sity/article/498777/ Walking Historic Tour Intersects with History and Health See: https://norfolk- state.wordpress. com/2016/05/16/walking- historic-tour-intersects- with-history-and-health/ a. Current trends Preservation programs continue to address new issues and opportunities in response to changing trends in com- munity development and public policy. These include con- siderations of sustainability, public health and economic development. Other changes relate more specifically to technical aspects within the field itself, as new technolo- gies are applied to traditional components of preservation programs and as awareness about what constitutes heri- tage continues to evolve. Preservationists should be alert for these changes and be prepared to respond to these new issues and opportunities. Here are some examples of current trends: Heritage tourism The tourism industry is the second-leading industry in the nation, creating local jobs, business opportunities and enhancing property values. Well-developed tourism pro- grams improve the quality of life and instill pride in com- munities throughout the state. Preservation commissions know that keeping historic resources in good condition is a fundamental cornerstone of a heritage tourism program. By protecting these places, the heritage tourism “product” will be available for others to use and experience. Healthy Community initiatives Planning for community health is growing as a field of interest. For preservationists, this means demonstrat- Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 147 ing that older neighborhoods and downtowns provide walkable places that encourage exercising and that of- fer opportunities to access goods and services. it also means thinking about how daily needs and services can be accommodated within convenient walking distance of historic neighborhoods and about how historic buildings can be adapted to house services related to healthy com- munities. This includes providing access to healthy foods as well as places for social interaction as a community. The Statewide Health improvement Program is one such community initiative aimed to help make healthy choices easier. Wabasha County is one county that is implementing the program, starting a bike lending program, educational outreach programs to local schools and opening a farm- ers market. The City of Wabasha published four “Wabasha Walks” brochures in 2010 that focus on linking heritage tour- ism with a healthy community initiative. among the local groups that provided assistance on the project was the Wabasha Fit City Coalition, which was organized in 2007 with the vision: Our Vision is for all Wabasha/Kellogg residents to be “Feeling Better Every Day”! Our Mission Statement is “To encourage wellness of mind, body and spirit among Wabasha/Kellogg residents of all ages.” new ideas about Diversity a growing number of people are interested in broaden- ing the diversity of those socio-economic groups that are represented in the resources that we seek to protect. This includes racial minorities and members of distinct cultural groups. it also extends to engaging representa- tives of these groups in actively preserving resources and in joining local commissions. as historic neighborhoods experience changing demographics, the way in which they are used and valued can change. This brings a new level of “richness” to the meaning of these places. The Eastside neighborhood Development Corporation is one example of an organization working to bring affordable Chapter 9: Where Do We Go From Here? Final: August 30, 2016148 housing to all parts of St. Paul, including historic areas and the reuse of historic buildings. The ESnDC utilizes the low income Housing Tax Credit federal program to make rent affordable to lower income tenants. The ESnDC is a 37 year old affordable apartment community whose mis- sion is to foster a safe, diverse and thriving neighborhood by engaging the community to create affordable housing and support commercial development. Coordinating with other Planning initiatives Commissions will continue to see their programs more closely coordinated with other planning movements. This includes comprehensive plans as well as affordable hous- ing programs, and sustainability initiatives. For instance, Mankato’s residential rehabilitation grant monies are available for projects that benefit low-to-moderate income households. Commissions will also see a range of tools being refined to help address community character; sometimes these tools may be applied as alternatives to historic district designations. These include the use of conservation dis- tricts, form-based codes and other more context-sensitive zoning. new incentives for Preservation Commissions will see new types of incentives that are offered to reward good stewardship of historic resources. These may include offering sales tax rebates on materials purchased locally that are used in appropriate rehabilitation projects, greater flexibility in zoning codes and technical assistance in planning improvements to historic properties. recognition of new types of resources increasing interest in identifying properties from “the re- cent Past,” those from the mid-twentieth century, as hav- ing historic significance, will continue. These resources will also stimulate new approaches to their “treatment,” in terms of how best practices in preservation may apply to them. Some of these buildings were constructed with new, experimental materials of the time and may raise new technical issues. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 149 new technologies Emerging technologies will continue to provide new ways of identifying historic resources and in managing them. This includes use of digital devices in the field to survey historic resources, the use of geographic information Systems in combining survey information with other plan- ning information; the use of drones to survey existing resources; 3D printing to potentially model resources; liDar surveying technology that measures distance by illuminating a target with laser light; and the use of smart phones and related devices in heritage interpretation and tourism. Podcasts are another such emerging technol- ogy. The cities of Faribault and red Wing have both used podcasts to highlight historic buildings and sites in their historic districts, organized in the format of walking tours. These are among the exciting trends that bring new op- portunities and issues to those engaged in preservation. This leads to the need for on-going education and promo- tion related to preservation. B. Keep Challenges in Perspective There also will be losses. Each commission encounters some situations in which resources are lost, for a variety of reasons. While these will be disappointing, it’s important to keep a perspective. What is most important is to handle these disappointments in a professional manner and to recognize that for each of these losses there are many, many successes. Often, a commission’s achievements go less appreciated because they attract less public attention. There also will be a time when a controversy arises which the public may not fully understand. This also is a time to remain calm and proceed following proper procedures and to recognize that explaining your actions is sometimes just as important as the actions themselves. in all of these situations, keep the long-term life of the preservation program in mind; rest assured that over all, the cumulative benefits of individual preservation actions in your community will be appreciated in the future! Chapter 9: Where Do We Go From Here? Final: August 30, 2016150 C. reaching out looking forward, the role of commissions as “ambassa- dors” for cultural heritage will continue to be a key role. These are some ways in which that is happening: education and Promotion of Preservation an on-going need exists to further public recognition of historic resources and build an awareness of best prac- tices in their stewardship. it’s also important to continue to report on the successes of HPCs such that the public better understands your positive contributions to the community. Building Partnerships Commissions must continue to build partnerships with other community groups, property owners and interested citizens to collaborate on projects that involve historic properties and districts. Partnerships can be created in a variety of ways, including preservation events, educational lectures or classes, and open houses, among many others. it’s an important team-building role with others in the community, and is important to maintain a relationship once created to continue to gain support for preservation. there is Help out there! Commissions are not alone in promoting historic pres- ervation. First, there are other peer commissions across the state who can provide a network of support. Other special resources are the statewide nonprofit preserva- tion organization, Preservation alliance of Minnesota and the staff of the Heritage Preservation Department at the Minnesota Historical Society. at the national level, the national alliance of Preservation Commissions is a very useful resource as well (See Chapter 1 for additional information). Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 151 D. your Work is valued! Finally, it’s important to know how valuable commissions and their staff are to our communities. as commissioners, you’re a part of the future of preservation and of Minne- sota. While the focus of your responsibilities may be on preserving historic resources, they also contribute in many aspects to community development and livability. in that respect commissioners play an extremely valuable role in promoting an awareness and understanding of our heri- tage and of the methods used to protect those resources. it is also important to keep a long-term in perspective. Some preservation actions that you conduct today may not be immediately recognized as being important, but in future years they will be. This may be working to save a resource that is not immediately recognized as being of high value by the broader community, or it may be estab- lishing a new program to build awareness and apprecia- tion of heritage preservation. These achievements will be recognized in the future as being invaluable in promoting heritage preservation, even if not so immediately. e. thank you for your service! Finally, thank you for your service. Commissioners give their time to their communities in the interest of promoting the public good. You are appreciated! Chapter 9: Where Do We Go From Here? Final: August 30, 2016152 Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 153 gLossary approve To pass a motion by the process of voting, usually by majority or a predetermined per- centage “for” vs. “against” votes. Character-defining features (related to descriptions of property types and styles) Character refers to all those visual aspects and physical features that comprise the appearance of an historic building. Character-defining elements include the overall shape of the building, its materials, craftsmanship, and decorative details, as well as the various aspects of its site and environment. Certificate of appropriateness (Same as Certificate of approval) When a heritage preservation commission or design review board reviews and approves proposed changes to a historic building, they issue a Certificate of appropriateness, a document stating that the proposed work is appropriate for the historic district and meets local code criteria. Certificate of approval (Same as Certificate of appropriateness) Circuit Court (related to appeals) a court that sits at two or more places within one judicial district. Compatibility (related to application of design guidelines/criteria, for alterations and new construction) Designing new buildings or alterations that fit in the context of the historic neighbor- hood. Some elements of compatible design are: keeping a sense of human scale, using building features and materials of a familiar dimension, such as traditional brick, to maintain the visual continuity in the neighborhood. Conflict of interest (related to hearing procedures, and Due Process) Occurs when an individual or organization is involved in multiple interests, one of which could possibly corrupt the motivation for an act in the other. Glossary Final: August 30, 2016154 Conjectural (related to replacement or reconstruction of missing details) The replacement or reconstruction of building parts and details must be based on physi- cal evidence, historic photographs or writing and not upon conjecture. Continue The postponement of a case to a later date, usually the next commission meeting. Contributing property (related to Historic Survey) a contributing property is any building, structure, object or site within the boundaries of a historic district which reflects the significance of the district as a whole, either because of historic associations, historic architectural qualities, or archaeological fea- tures. another key aspect of the contributing property is historic integrity. Criteria for designation (Same as Criteria for Significance) Established criteria for evaluating the eligibility of properties for inclusion in a formal listing of historic resources. Criteria for significance (Same as criteria for designation) Demolition The tearing down of a portion of, or an entire building or other structure. Demolition by neglect any willful neglect in maintenance and repair of a structure, not including appurtenances and environmental settings, that does not result from financial inability to maintain and repair the structure and that threatens to result in any substantial deterioration of the exterior features of the structure. Demonstrated special interest Heritage preservation commissions typically include residents who have shown spe- cial interest or experience, or education in history, architecture, archaeology, or other preservation-related fields. Deny (Option for a motion action; related to approve, approve with conditions and continue) a decision which prevents the application for an action from being executed; when a local preservation commission denies an application for a Certificate of appropriate- ness, then the work proposed is not authorized. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 155 Design guidelines (related to Secretary of the interior’s Standards and guidelines, and Criteria for ap- propriateness in a local preservation ordinance) Design guidelines are criteria that assist commissions in determining the appropriate- ness of actions proposed that are subject to their approval. They are usually a separate document from the preservation ordinance, but basic guidelines may be included in the code itself. in all cases, the guidelines should be associated with a set of criteria for appropriateness that are set forth in the ordinance. Deteriorated beyond repair (See Demolition by neglect) intentionally allowing a property to deteriorate to the point that it cannot be saved is “demolition by neglect.” economic hardship (related to Takings) The juncture at which the diminishment in value allegedly resulting from the govern- mental restriction on the use of the property constitutes an “unreasonable economic hardship” to the owner, which is synonymous with an unconstitutional “taking.” enabling legislation Statements and references found in Minnesota Statutes 471.193 or a specific municipal code allowing a specific course of action with regard to historic properties and envi- ronmental settings. energy efficiency One aspect of sustainable development and the conservation of resources is conserving energy. This relates to energy consumed to moderate climatic conditions in a building, but also to the manufacture and maintenance of building materials. Sensitive steward- ship of the existing building stock reduces our environmental impact. ex parte communication (related to Due Process; Conflict of interest) Communications made to influence a decision-making official off the record and out of the presence of other parties. Ex parte communications are restricted by state and local law. False sense of historical development When a newly constructed building or feature imitates or replicates the style and details of an historic building, thus implying a building date that is inaccurate. green building a building designed to make efficient use of physical resources and energy while mini- mizing its negative impacts to the environment. Glossary Final: August 30, 2016156 Historic fabric Original or old building materials (e.g. masonry, wood, metals, marble) or construction that make up a structure of historic significance. Historic property a prehistoric or historic district, site, building, structure, or object significant in history, architecture, engineering, archeology or culture at the national, state, or local level. Historic significance importance for which a property has been evaluated and found to meet national reg- ister or local criteria. individual landmark Properties identified as having historic significance and formally designated to a local historic register may be listed individually (usually termed a “landmark”), or as a con- tributing resource in an historic district. in-kind (related to replacement and repair) a process of rehabilitation utilized only where materials are extensively deteriorated or damaged and cannot be repaired. Deteriorated materials or features are repaired with the same materials. This process is based on physical evidence of essential form and detailing of historic materials or features. integrity (related to Significance) The retention of sufficient aspects of location, design, setting, workmanship, materi- als, feeling or association for a property to convey its historic significance. a majority of the resource’s structural system and materials and its character defining features should remain intact. Lenient (applies to state statute, related to properties of less significance and new construction) refers to the judgment level the commission will maintain in its analysis of plans for structures determined by research not to be historic, archaeological or architecturally significant. The local government’s adopted design guidelines may be applied with more flexibility when stated in the ordinance and in compliance with state statute. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 157 Local designation (Contrast with national register of Historic Places) a local government designates a local historic district or individual local landmark us- ing a formal process defined in its preservation ordinance. This occurs as a part of the community’s police powers, and is a zoning action. motion in a commission hearing, a statement entered into the record to approve, continue or deny an application (e.g., to designate a property “historic”). The statement must be seconded and voted upon by the commission. Motions must relate to a relevant provi- sion of the law. municipal infraction Violation of a City’s code subject to a civil penalty, usually a fine. Each day of a viola- tion can be viewed as a separate violation. national Historic Preservation act national legislation (Senate Bill 3035) intended to preserve historical and archaeologi- cal sites in the united States. The act created the national register of Historic Places, the list of national Historic landmarks, and the State Historic Preservation Offices. national register of Historic Places (Contrast with local Designation) an individually listed Building or those contributing to a national register Historic District are listed in the national register of Historic Places, the country’s official list of historic properties and resources worthy of preservation. These individual buildings, structures, sites and objects are significant in american history, architecture, engineer- ing, archaeology and culture. non-contributing resource in an historic district Those properties that do not have historic significance are termed “non-contributing.” The reasons for this designation could be that it is of more recent construction; it is an older property that has lost its integrity, or there is insufficient information to determine that the property has historic significance. ordinance (May also be part of unified code) legislation adopted by the local governing body; a Preservation Ordinance is a part of the code specifically written to establish a preservation program, including a local com- mission, its powers and duties, as well as processes for designating historic resources and for reviewing proposals for work affecting them. Glossary Final: August 30, 2016158 Preservation (One of four recognized appropriate treatments for historic resources) The act or process of applying measures necessary to sustain the existing form, in- tegrity, 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. new exterior additions are not within the scope of this treatment; however, the limited and sensitive upgrading of mechanical, electrical, and plumbing systems and other code-required work to make properties functional is appropriate within a preservation project. also, in informal usage, members of the public may use this terms in a broader sense, to mean any method of careful stewardship of historic resources. Procedural due process While local governments do have the right to regulate properties for preservation, they must do so following procedural due process. Procedural due process is based on the concept of “fundamental fairness.” Procedural due process refers to the manner in which government actions are carried out, that is, the actual process of decision-making. it requires advance notice of the proceedings, final notice of the decision reached and opportunity for individuals directly affected by the proposed governmental action to be heard. reconstruction (One of four recognized appropriate treatments for historic resources) 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. Minnesota Heritage Commission Statewide Training Manual Final: August 30, 2016 159 rehabilitation (One of four recognized appropriate treatments for historic resources) rehabilitation is the process of returning a property to a state that makes a contempo- rary use possible while still preserving those portions or features of the property which are significant to its historical, architectural and cultural values. restoration (One of four recognized appropriate treatments for historic resources) 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. The limited and sensitive upgrading of mechanical, electrical, and plumbing systems and other code-required work to make properties functional is appropriate within a restoration project. routine maintenance Work that does not alter the exterior fabric or features of a site or structure and has no material effect on the historic, archeological or architectural significance of the histori- cal site or structure. significance (See Historic Significance) secretary of the interior’s standards Specifications set by the Secretary of the interior for the treatment of historic proper- ties. includes separate standards for the preservation, restoration, rehabilitation and reconstruction of historic properties. strict (related to state ordinance) refers to the judgment level the commission will maintain in its analysis of plans for structures determined by research to be historic, archaeological or architecturally sig- nificant. When guidelines must be applied strictly, a commission should consider how they apply to all key character-defining features of a property. Glossary Final: August 30, 2016160 substantive due process Substantive due process addresses the rationality or reasonableness of the content of a decision itself, requiring that the decision be based on the evidence on the record as applied to the standards and criteria in the ordinance. it also protects individuals from bias, conflicts of interest, and other factors bearing on the impartiality of the decision- makers. substitute material a material that is used in the place of an original, or existing material. in common us- age, a substitute material is a newer product, usually designed to imitate the appear- ance of an earlier material. sustainability (related to energy efficiency and green building) Sustainability is the managed use of resources in order to maintain the quality of life for current and future generations. it includes social, environmental and economic components. Energy conservation, which is often a topic related to preservation of historic buildings, is a component of the broader concept of sustainability and should be considered in that context. takings Derives from a provision in the Fifth amendment that states that private property shall not “be taken for public use, without just compensation.” Some courts have suggested that, in exceptional cases, the effect of the historic designations could be so economi- cally severe as to amount to a taking. ·NATIONAL REGISTER·BULLETIN Technical information on comprehensive planning, survey of cultural resources, and registration in the National Register of Historic Places. U.S. Department of the Interior National Park Service Interagency Resources Division Properties nominated to the National Register may be classified in one of the five property classifications listed above. Those evaluated as meeting the National Register criteria may be nominated separately or as part of a multiple property submission. A multiple property submission includes nominations for all or a portion of the significant historic properties that relate to one or a series of established historic contexts, i.e. properties that share some significant historic orcultural relationship. A multiple property submissioncalls for the development of historic contexts, selection ofrelated property types, and the identification and documentation of related significant properties. It may bebased on the results of a comprehensive interdisciplinarysurvey for a specific rural area, town, city, section of acity, county, or region of a state, or it may be based onan intensive study of the resources illustrative of aspecific type of building or site, a single cultural affiliation, the work of a specific master, or a single or closelyrelated group of historic events or activities. Thispublication is intended to provide guidance on the conduct of surveys that may in tum form the basis for multiple property submissions. Further information aboutmultiple property submissions for nominating properties to the National Register is contained in National Register Bulletin 16, Guidelines for Completing National Register of Historic Places Forms, available from the National Park Service. Commercial block in South Royalton Historic District, Royalton, Vermont (Courtney Fisher) What is a survey? In this publication sun;ey means a process of identifying and gathering data on a community's historic resources. It includes field suroey-the physical search for and recording of historic resources on the ground-but it also includes planning and background research before field survey begins, organization and presentation of suroey data as the survey proceeds, and the development of inventories. Suroey data refers to the raw data produced by the survey; that is, all the information gathered on each property and area investigated. An inventory is one of the basic products of a survey. An inventory is an organized compilation of informa- tion on those properties that are evaluated as significant. Evaluation is the process of determining whether identified properties meet defined criteria of historical, architectural, archeological, or cultural significance. In other words, evaluation involves winnowing the survey data to produce an inventory. Survey can be conducted at a variety of scales, pro ducing different kinds of survey data applicable to different needs. These will be discussed in detail later in this publication. What is a historic resource? The National Historic Preservation Act defines historic resource, or historic property, as: any prehistoric or historic district, site, building, structure, or object included in, or eligible for inclu sion in the National Register (of Historic Places); such term includes artifacts, records, and remains which are related to such a district, site, building, structure, or object. 2 The National Register, in tum, defines a historic prop erty as a district, site, building, structure, or object significant in American history, architecture, engineering, archeology, and culture. A historic property may be a row of stores having cast-iron fronts or Mount Vernon, a water tower or a city park, a railroad station, an ethnic neighborhood, or the archeological remains of a prehistoric Indian village. It may be of value to the Nation as a whole or important only to the community in which it is located. Introduction Guidelines For Local Surveys: A Basis For Preservation Planning National Register Bulletin 24 Anne Derry H.Ward Jandl Carol D. Shull Jan Thorman 1977 REVISED, 1985, by Patricia L. Parker National Register of Historic Places Interagency Resources Division National Park Service U.S. Department of the Interior Washington, DC Acknowledgntents Many professionals in the National Park Service made valuable contributions to the preparation of the original, 1977 issue of this publication. William G. Reeves, the late Carolyn Hamm, and Steven R. Ruttenbaum of the National Register and Thomas F. King of Interagency Archeological Services prepared drafts for certain sections of this publication, while Katherine H. Cole, Charles Herrington, and the late Wilford Cole provided helpful comments on the entire manuscript. Editorial assistance was provided by Sarah A. Fackelman. The National Trust for Historic Preservation, the U.S. Department of Housing and Urban Development, and many private consultants with considerable survey experience made a number of useful suggestions during the early stages of this project. The 1977 issue was thoroughly revised and updated in 1985 by Patricia L. Parker. The National Alliance of Preservation Commissions, the National Conference of State Historic Preservation Officers, and staff of the Interagency Resources Division of the National Park Service provided helpful comments on the revised manuscript. Linda McClelland of the National Register provided editorial assistance in preparing the revised manuscript for publication. We are grateful for the assistance of these people in the preparation of Guidelines for Local Surveys. Anne Derry H. Ward Jandl Carol D. Shull Jan Thorman Foreword Over the last 80 years, Congress and the President have given the Department of the Interior major re sponsibilities in identifying, registering, and protecting the Nation's historic resources. With the National Historic Preservation Act of 1966, the Secretary of the Interior was called upon to expand and maintain a na tional register of historic places and to give maximum encouragement to State governments to develop state wide historic preservation programs of their own. The Act recognized that one of the prerequisites for an ef fective national preservation program was the iden tification of historic resources across the country through comprehensive statewide surveys. Through a grants-in-aid program established by the Act, limited funding was made available for survey work at both the State and local levels. During the 1970s, stimulated by implementation of the National Historic Preservation Act and growing interest in their own historic resources, local govern ments across the Nation developed and expanded their historic preservation programs. When the National Historic Preservation Act was amended in 1980, Con gress recognized this growing interest by mandating increased assistance to local governments whose pres ervation programs are certified by the State Historic Preservation Officer and the Secretary of the Interior as meeting high professional standards. Historic resource surveys and their resulting inven tories form an important basis for planning decisions that affect the quality of our community life. In order to plan for the preservation and enhancement of the historic environment, it is necessary to determine what properties make up that environment. It is thus no surprise that the effectiveness of the National Register of Historic Places as a planning tool depends upon the quality and comprehensiveness of survey activity. Basic standards and guidelines for historic preserva tion surveys have been published by the Department of the Interior as part of the Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation. To provide further assistance to com munities and local governments in the conduct of high quality surveys, the National Register has prepared Guidelines for Local Surveys: A Basis for Preservation Planning. This bulletin is intended to provide a wide range of information on identifying, registering, and protecting historic resources. The original version of Guidelines for Local Surveys was published in 1977, and quickly became one of the National Park Service's most popular historic preser vation publications. By 1984 the original version was out of print, and badly outdated as the result of changes in laws (notably the 1980 National Historic Preservation Act amendments), policies, regulations, the organization of the national historic preservation program, and the sophistication of many State and local preservation programs. Accordingly, the Na tional Park Service undertook a comprehensive re write of the publication in 1985, to produce the pres ent volume. Contents Acknowledgments Foreword Introduction How to use this publication 1 What is a survey? 2 What is a historic resource? 2 Why undertake a historic resource survey? 3 What should you know about the National Register before undertaking a survey? 4 Who is the State Historic Preservation Officer (SHPO)? What assistance can the SHPO provide? 6 What is a certified local government preservation program and how can survey contribute to certification? 7 What is the value of a historic resource survey and inventory? 8 Who should sponsor a survey? 8 Chapter I: Planning the Survey Initial Questions What kinds of resources should the survey seek? 9 What kinds of information should be gathered? 11 What different kinds of surveys are commonly used? 12 How large an area should be included in a survey? 13 How long should a survey take? 13 Elements of Survey Planning How is the purpose of the survey established? 14 What are historic contexts? 14 How are survey goals and priorities established? 16 How should the storage and use of survey data be considered during survey planning? 16 How can a community involve the public in planning a survey? 17 What form should a survey design take? 18 Mobilizing Resources for the Survey What qualifications should those supervising a survey have? 18 Where can qualified professionals be located? 19 How is a professional consultant selected? 20 What fees do historic resources consultants charge? 21 How do non-professionals fit into a survey? 23 What kind of training will ensure a consistent and high-quality survey? 24 How much should a survey cost? 27 Where can funding for surveys be obtained? 27 Chapter II: Conducting the Survey Archival Research How should archival research be organized? 28 What sources of information should be consulted? 31 Where may primary and secondary information be found? 33 Conducting Field Survey How is a reconnaissance of above-ground properties carried out? 35 How is a reconnaissance of archeological sites carried out? 36 How is an intensive survey of above-ground properties carried out? 37 How is an intensive survey of archeological sites carried out? 39 How can oral history or ethnography contribute to the survey? 40 What kinds of data will be needed to evaluate historic resources? 41 What additional planning information may be gathered in the survey process? 47 Forms, maps, photographs: How should survey data be recorded? 48 What equipment will be needed for survey work? 50 Chapter III: Review and Organization of Survey Data How are survey data reviewed during fieldwork? 52 How and why are resources evaluated? 54 What are the advantages and disadvantages of using numerical and categorical evaluation systems? 55 What kinds of due process considerations may be required in evaluating properties? 56 What kind of documentation should be included in the inventory files? 56 How can information be stored to permit efficient retrieval at a later date? 57 Chapter IV: Use of Survey Data in Planning What are the major components of preservation planning? 61 How are survey data used in ongoing identification? 61 How are survey data used in making evaluation decisions? 62 How can survey data contribute to strategies for the preservation and enhancement of historic resources? 62 How can survey data be used in community development planning? 65 Chapter V: Publications What should be published once a survey is completed? 69 What are some considerations in production and distribution of survey publication? 70 What are some alternatives to traditional publication? 70 Appendix I: Archeological Surveys 72 Appendix II: Federal Legislation Affecting Historic Preservation 75 Appendix III: Legal and Financial Tools Used to Preserve and Enhance Historic Resources 78 Appendix IV: Bibliography 85 Appendix V: Contacts 100 Introduction How to use this publication Guidelines for Local Surveys provides guidance to communities, organizations, Federal and State agencies, and individuals interested in undertaking surveys of historic resources. Although it contains information and recommendations with broad applicability, it is designed primarily for use by local government officials and those who undertake surveys of cities and other communities. Because these guidelines will be read by people of varied interests-local government administrators, community-based preservation organizations, civic groups, preservation professionals, planners, members of preservation commissions, developers, Federal and State agency officials, and other interested persons-information is included that is familiar to some and foreign to others. Some communities may be interested in doing a survey of only one neighborhood using volunteer labor, while other communities may be interested in planning and conducting a comprehensive survey of every building within their city limits using professional consultants. This publication is divided into five chapters: planning the survey, conducting the survey, review and organization of survey data, use of survey data in planning, and publications. Because many of the activities within these areas are interrelated, some duplication of information is necessary. Many complex procedures, programs, and laws are referred to throughout the text; brief explanations of these are provided in the appendices. The index should aid those readers with specific ideas and questions in mind. This edition of Guidelines for Local Surveys has been thoroughly updated and rewritten based on the original edition, published in 1977. It will be further updated periodically; therefore, comments and suggestions for future editions are welcome. They should be addressed to: Associate Director, Cultural Resources, and Keeper of the National Register of Historic Places, U.S. Department of the Interior, National Park Service, P.O. Box 37127, Washington, DC 20013-7127. NATIONAL REGISTER RESOURCE CLASSIFICATIONS: DEFINITIONS District: A district possesses a significant concentration, linkage, or continuity of sites, buildings, structures, or objects united historically or aesthetically by plan or physical development. Site: A site is the location of a significant event, a prehistoric or historic occupation or activity, or a building or structure, whether standing, ruined, or vanished, where the location itself possesses historical, cultural, or archeological value regardless of the value of any existing structure. Introduction Building: A building, such as a house, barn, church, hotel, or similar construction is created to shelter any form of human activity. Building may also be used to refer to a historically and functionally related unit, such as a courthouse and jail or a house and barn. Structure: The term structure is used to distinguish from buildings those functional constructions made usually for purposes other than creating shelter. Object: The term object is used to distinguish from buildings and structures those constructions that are primarily artistic in nature or are relatively small in scale and simply constructed. Although it may be, by nature or design, movable, an object is associated with a specific setting or environment, such as statuary in a designed landscape. 1 Commercial block in South Royalton Historic District, Royalton, Vermont (Courtney Fisher) Properties nominated to the National Register may be classified in one of the five property classifications listed above. Those evaluated as meeting the National Register criteria may be nominated separately or as part of a multiple property submission. A multiple property submission includes nominations for all or a portion of the significant historic properties that relate to one or a series of established historic contexts, i.e. properties that share some significant historic or cultural relationship. A multiple property submission calls for the development of historic contexts, selection ofrelated property types, and the identification and documentation of related significant properties. It may be based on the results of a comprehensive interdisciplinarysurvey for a specific rural area, town, city, section of acity, county, or region of a state, or it may be based on an intensive study of the resources illustrative of aspecific type of building or site, a single cultural affiliation, the work of a specific master, or a single or closely related group of historic events or activities. This publication is intended to provide guidance on the conduct of surveys that may in tum form the basis for multiple property submissions. Further information aboutmultiple property submissions for nominating properties to the National Register is contained in National Register Bulletin 16, Guidelines for Completing National Register of Historic Places Forms, available from the National Park Service. What is a survey? In this publication sunny means a process of identifying and gathering data on a community's historic resources. It includes field suroey-the physical search for and recording of historic resources on the ground-but it also includes planning and background research before field survey begins, organization and presentation of suroey data as the survey proceeds, and the development of inventories. Survey data refers to the raw data produced by the survey; that is, all the information gathered on each property and area investigated. An inventory is one of the basic products of a survey. An inventory is an organized compilation of informa- tion on those properties that are evaluated as significant. Evaluation is the process of determining whether identified properties meet defined criteria of historical, architectural, archeological, or cultural significance. In other words, evaluation involves winnowing the survey data to produce an inventory. Survey can be conducted at a variety of scales, producing different kinds of survey data applicable to different needs. These will be discussed in detail later in this publication. What is a historic resource? The National Historic Preservation Act defines historic resource, or historic property, as: any prehistoric or historic district, site, building, structure, or object included in, or eligible for inclusion in the National Register (of Historic Places); such term includes artifacts, records, and remains which are related to such a district, site, building, structure, or object. 2 The National Register, in turn, defines a historic prop erty as a district, site, building, structure, or object significant in American history, architecture, engineering, archeology, and culture. A historic property may be a row of stores having cast-iron fronts or Mount Vernon, a water tower or a city park, a railroad station, an ethnic neighborhood, or the archeological remains of a prehistoric Indian village. It may be of value to the Nation as a whole or important only to the community in which it is located. Introduction Why undertake a historic resource survey? The underlying reason for undertaking a survey to identify a community's historic resources is the growing recognition, by citizens and governments at all levels, that such resources have value and should be retained as functional parts of modern life. The historic resources of a community or neighborhood give it its special character and cultural depth. Some historic resources contain information whose study can provide unique insights into a community's past, and help answer broad questions about history and prehistory. In more utilitarian terms, each historic building and structure represents an investment that should not be discarded lightly; maintaining and rehabilitating older buildings and neighborhoods can mean savings in energy, time, money, and raw materials. To make effective use of historic resources, to respect their value and extend their lives, it is necessary to integrate historic preservation into community planning. This is the immediate reason for undertaking a local historic resources survey: to gather the information needed to plan for the wise use of a community's resources. A historic resources survey can define the historic character of a community or a particular area and can provide the basis for making sound judgements in community planning. Survey data can be used to construct a preservation plan that helps the community identify the historic, cultural, aesthetic, and visual relationships that unify and define its component areas, and to establish policies, procedures, and strategies for maintaining and enhancing them. It can lead to an increased understanding and awareness of the human environment by officials and citizens within the community and an increased commitment to preserving it. An official preservation plan, prepared and adopted by the community and its planning agency, should provide a basis for integrating survey information with other planning data; it should be an important part of comprehensive community planning. It can establish priorities for dealing with historic resources within the framework of existing local planning programs and present specific recommendations for meeting these priorities. A preservation plan may present specific ways to maintain and enhance the positive character of an area, identify legal and financial tools-easements, tax incentives, historic preservation commissions, preservation ordinances, zoning and land use controls, and revolving funds-that aid in the conservation of historic resources, and present design standards for new construction and for the enhancement of environmental amenities. A preservation plan can also illustrate the effect of revitalizing historic resources and can discuss the application of standards for restoration and rehabilitation. Older commercial buildings in downtown areas are particularly vulnerable to decay and demolition yet could be successfully rehabilitated. This downtown block, in Kansas City, Missouri, is listed in the National Register of Historic Places as part of the West Ninth Street/Baltimore Avenue Historic District. (Paul S. Kivett) Introduction 3 The conduct of historic resources surveys and the development of preservation plans can also facilitate cooperation among local, State, and Federal government agencies in both preservation and community development activities. Establishment of a preserva tion planning program can help a local government qualify to participate in Federal historic preservation grants-in-aid programs, upon certification by the State Historic Preservation Officer and the Secretary of the Interior. It can also serve as a basis for the Secretary of the Interior's certification of local statutes and historic districts, which can facilitate the use of Federal Investment Tax Credits to stimulate rehabilitation of historic buildings. It can help a local govern- ment carry out the historic preservation review responsibilities delegated to it by the U.S. Department of Housing and Urban Development in the administration of Community Development Block Grants and certain other grant programs, and it can simplify environmental review of Federal agency projects and assistance programs in the community. Finally, it can provide the basis for designing preservation projects that can receive funding assistance from the State Historic Preservation Officer, the Federal government, and other sources. Further information on relevant funding programs can be found in Appendix III. SECRETARY OF THE INTERIOR'S STANDARDS FOR PRESERVATION PLANNING, IDENTIFICATION, EVALUATION, AND REGISTRATION Standards for Preservation Planning: Standard I. Preservation planning establishes historic contexts. Standard II. Preservation planning uses historic contexts to develop goals and priorities for the identification, evaluation, registration, and treatment of historic properties. Standard III. The results of preservation planning are made available for integration into broader planning processes. Standards for Identification: Standard I. Identification of historic properties is undertaken to the degree required to make decisions. Standard II. Results of identification activities are integrated into the preservation planning process. Standard III. Identification activities include explicit procedures for record-keeping and information distribution. Standards for Evaluation: Standard I. Evaluation of the significance of historic properties uses established criteria. Standard II. Evaluation of significance applies the criteria within historic contexts. Standard III. Evaluation results in a list or inventory of significant properties that is consulted in assigning registration and treatment priorities. Standard IV. Evaluation results are made available to the public. Standards for Registration: Standard I. Registration is conducted according to stated procedures. Standard II. Registration information locates, describes, and justifies the significance and physical integrity of a historic property. Standard III. Registration information is accessible to the public. What should you know about the National Register before undertaking a survey? The National Register, authorized under the 1935 Historic Sites Act and expanded under the National Historic Preservation Act of 1966, was designed to be an authoritative guide to be used by Federal, State, and local governments, private groups, and citizens in identifying the Nation's historic resources of local, State, and national significance and to indicate what properties are worthy of preservation and consideration in the planning process. The National Register is maintained by the National Park Service, U.S. Department of the Interior, located in Washington, DC. The primary way that properties are listed in the National Register is through nominations by the State Historic Preservation Officers. Potential entries to the National Register are reviewed against established 4 criteria for evaluation which are worded in a flexible manner to provide for the diversity of resources across the country. These criteria are listed below. The National Register has become an important component of many State and local historic preservation programs. Criteria for designating local landmarks and local historic districts, which by local ordinance may qualify properties for special tax rates or trigger special review when changes to the property are proposed, are often modelled after the National Register criteria. National Register listing often follows and reinforces State and local designations, extending the concern for preservation and protection to the Federal level. The Register is also central to a number of Federal programs that encourage protection and improvement of the manmade environment, which are discussed in Appendices II and III. Introduction Historic districts take many forms. This rural district, encompassing Silver City, Idaho, and its environs, was surveyed by the Bureau of Land Management and is listed in the National Register of Historic Places. (Idaho Historical Society) Federal agencies, and communities using Community Development Block Grants and other forms of Federal assistance, are required to consider the effects of their projects, and projects they license or assist, on properties included in or eligible for the National Register. They must also give the Advisory Council on Historic Preservation a reasonable opportunity to comment on such projects, For further information see Appendix II and the Advisory Council on Historic Preservation's publication, Working with 106. Inclusion of a property in the National Register makes it eligible to be considered for grants-in-aid from the Historic Preservation Fund. When available, these grants may be used to acquire a property or to develop it in a way that preserves its historic and architectural character. The State Historic Preservation Officer can provide advice on the availability of Historic Preservation Fund grants. Federal tax law provides incentives for the preservation of properties listed in the National Register or in- eluded within registered historic districts. Investment Tax Credits are provided for the rehabilitation of National Register properties qualifying as certified historic structures when rehabilitation work is certified by the National Park Service as meeting the Secretary of the Interior's Standards for Rehabilita tion. Tax deductions are permitted for the charitable contribution of easements on historic properties to qualified organizations. Tax incentives are discussed further in Chapter V, and current information on Federal tax incentives can be obtained from the State Historic Preservation Officer or the regional office of the National Park Service. When a property listed in or eligible for inclusion in the National Register must be destroyed or damaged by an undertaking involving a Federal agency, funds authorized by the Archeological and Historic Preservation Act of 1974 (Public law 93-291) may be used to recover any important historical or archeological data the property contains. THE CRITERIA OF THE NATIONAL REGISTER OF HISTORIC PLACES The following criteria are designed to guide the States, Federal agencies, and the Secretary of the Interior in evaluating potential entries (other than areas of the National Park System and National Historic Landmarks) for the National Register: The quality of significance in American history, architecture, archeology, engineering, and culture is present in districts, sites, buildings, structures, and objects that possess integrity of location, design, setting, materials, workmanship, feeling, and association, and: Introduction A. that are associated with events that have made asignificant contribution to the broad patterns of ourhistory; orB.that are associated with the lives of persons significantin our past; orC.that embody the distinctive characteristics of a type,period, or method of construction, or that represent thework of a master, or that possess high artistic values, or 5 that represent a significant and distinguishable entity whose components may lack individual distinction; or D.that have yielded, or may be likely to yield, information important in prehistory or history.Ordinarily cemeteries, birthplaces, or graves of historical figures, properties owned by religious institutions or used for religious purposes, structures that have been moved from their original locations, reconstructed historic buildings, properties primarily commemorative in nature, and properties that have achieved significance within the past 50 years shall not be considered eligible for the National Register. However, such properties will qualify if they are integral parts of districts that do meet the criteria or if they fall within the following categories: A.a religious property deriving primary significancefrom architectural or artistic distinction or historical importance; orB.a building or structure removed from its original location but which is significant primarily for architecturalvalue, or which is the surviving structure most importantly associated with a historic person or event; orC.a birthplace or grave of a historical figure of outstand- ing importance if there is no other appropriate site or building directly associated with his or her productive life; or D.a cemetery that derives its primary significance fromgraves of persons of transcendent importance, from age,from distinctive design features, or from association withhistoric events; orE.a reconstructed building when accurately executed in asuitable environment and presented in a dignified manneras part of a restoration master plan, and when no otherbuilding or structure with the same association has survived; orF.a property primarily commemorative in intent if design,age, tradition, or symbolic value has invested it with itsown historical significance; orG.a property achieving significance within the past 50years if it is of exceptional importance.For further information on the National Register criteria and how to interpret them, contact the National Register office of the National Park Service. Who is the State Historic Preservation Officer (SHPO)? What assistance can the SHPO provide? State Historic Preservation Officers, appointed by the governors of the States, the chief executives of the territories, and the Mayor of the District of Columbia, carry out the historic preservation programs of their jurisdictions and are given the following responsibilities by the National Historic Preservation Act and other Federal authorities: 1.Carrying out a comprehensive statewide survey ofhistoric properties and maintaining inventories of suchproperties.2.Nominating properties to the National Register.3.Preparing and implementing a statewide historicpreservation planning process.4.Administering Historic Preservation Fund grants.5.Advising and assisting Federal and State agenciesand local governments in historic preservation matters.6.Working with the Department of the Interior, theAdvisory Council on Historic Preservation, andothers to ensure that historic properties are taken intoaccount in planning.7.Providing public information. education, and training in historic preservation.8.Cooperating with local governments in developingpreservation programs, and assisting them in becoming certified to manage Historic Preservation Fundgrants and otherwise participate actively in the national program. 6 9.Reviewing requests for historic preservation certification and making recommendations to the National Park Service, as part of the Federal tax incentives program.The Comprehensive Statewide Historic Preservation Plan. which is prepared and implemented by the State Historic Preservation Officer, is a dynamic planning process that entails organizing into a logical sequence information pertaining to the identification, evaluation, registration. and treatment of historic properties. It also sets priorities for accomplishing preservation activities within the State. Generally the plan takes the format of a series of established historic contexts that correspond to important aspects of the State's prehistory and history and characterize its significant historic resources. A historic context is, by definition, an organizational framework that groups information about related lzistoric properties based 011 a theme. geographical area. and period of time. A knowledge of statewide historic contexts may help to identify themes of local as well as State importance and may strengthen the basis for evaluating the significance of properties identified during survey. In turn, survey results may help to augment, refine, and revise historic contexts and preservation priorities established at the State level. The State Historic Preservation Officer can assist communities and Federal agencies undertaking historic resources surveys by: 1.Providing guidelines, standards, forms, and approaches to survey used in conducting historicresources surveys on a statewide basis.Introduction 2.Advising about approaches used by other communities and agencies, and providing contacts withthose responsible for survey and planning activitieselsewhere.3.Providing documentation on what historic resources have already been identified by the State orothers.4.Advising in the development of high-quality localsurveys.5.Helping coordinate local surveys with Federallysponsored surveys and the State survey conducted bythe SHPO.6.Helping establish systems for survey data maintenance that will be most effective in meeting the com- munity's needs and most compatible with regional, statewide, and national data management systems. 7.Nominating properties to the National Register.8.Passing through funds for survey where a localgovernment's historic preservation program has beencertified to participate in the national preservationprogram. 9.Allocating National Park Service matching grantsin-aid for survey work. 10.Providing information on other sources of funding and assistance for preservation. What is a certified local government preservation program and how can a survey contribute to certification? The National Historic Preservation Act provides for the certification or approval of local historic preservation programs by the SHPO and the Secretary of the Interior. Certification of a program operated by a local government makes the program eligible for grants-in-aid from the Historic Preservation Fund administered by the Secretary, passed through the SHPO. Certification also makes it possible for a local program to exercise greater autonomy in the nomination of properties to the National Register and in other aspects of the national historic preservation program. Regulations covering the certification of local government programs can be found in 36 CFR Part 61. To be certified, a local government program must enforce appropriate State and local preservation legislation, establish and maintain a qualified historic preservation review commission, provide for adequate public participation in its activities, perform other functions delegated to it by the SHPO under the National Historic Preservation Act, and maintain a system for the survey and inventory of historic properties, consistent with guidelines provided by the SHPO. Thus the conduct of a survey is a necessary basis for the SHPO's and the Secretary's certification of a community's preservation program for participation in activities under the National Historic Preservation Act. The certification of local governments under the National Historic Preservation Act has made it possible for historic preservation programs operated by local governments, as in Florence, Arizona, to exercise greater autonomy in nominating properties to the National Register of Historic Places and in other preservation activities, such as survey and inventory, and comprehensive planning. (Harris Sobin) Introduction 7 What is the value of a historic resources survey and inventory? To summarize, historic resources surveys and the resulting survey data and inventories can be used to: 1.Identify properties that contribute to the communi ty's character, or that of its neighborhoods, or that il lustrate its historical and architectural development, and as a result deserve consideration in planning. 2.Identify properties or areas whose study may pro vide information about the community's past, and contribute to scholarship, which should be preserved or subjected to scientific investigation. 3.Establish priorities for conservation, restoration and rehabilitation efforts within the community. 4.Provide the basis for using legal and financial tools to protect and enhance historic resources. 5.Provide planners with a data base from which to monitor and channel new development. 6.Increase awareness in the public and private sectors of the manmade environment and the need for preser vation efforts. 7.Enable local governments and Federal agencies to meet their planning and review responsibilities under existing Federal legislation and procedures. Who should sponsor a survey? In order to have the greatest impact on planning deci sions within a community, surveys of historic resources should have the official endorsement of the local government, although historical societies, profes sional groups, and interested individuals can help compile documentation, undertake research, and par ticipate in fieldwork. It is important that, in addition to official endorsement, an ongoing process for collecting and evaluating survey data be officially in corporated into the community's planning activities to ensure the availability of current data for community development and planning agencies, local, State, and Federal agencies, public service organizations, developers, and others. Once a process for gathering data has been organized, a community will be able to respond expeditiously to requests for information 8 about a particular building or an entire neighborhood. It is important that surveys be coordinated with the State Historic Preservation Officer from the earliest stages of planning. A community historic preservation office and commis sion established as part of local government can help to protect the resources identified through survey ac tivities and to evaluate proposed development that may adversely affect the community's special character. A historic preservation planner in an ex isting planning commission or office may provide fur ther assistance in carrying out these functions. Other techniques for protecting the community's historic re sources are discussed in Appendix III. Introduction Planning the Survey An effective survey must be carefully planned, taking into account the community's planning needs, its legal obligations, the interests of its citizens, available funding, and the nature of its historic resources. This chapter describes some of the basic considerations involved in planning a survey. It first addresses several general questions that those responsible for planning and funding surveys often ask. It goes on to discuss approaches to planning a survey and a community's preservation program in general, and then turns to practical questions of how to mobilize community resources to support a survey, how to obtain professional expertise, and how to obtain funding. Initial Questions What kinds of resources should the survey seek? As defined by the National Park Service, historic resources fall into the five broad categories-building, site, structure, object, and district-discussed on page 1. The following list, although not comprehensive, indicates the range of resources that fit into these categories and that communities may wish to survey. A number of the resources under the categories below may be considered in a district context. Building (including groups of buildings) •Notable examples of architectural styles and periods ormethods of construction, particularly local or regionaltypes.•Buildings showing the history and development of such diverse areas as communications, community planning,government, conservation, economics, education, literature, music, and landscape architecture.•Stores and businesses and other buildings that provide a physical record of the experience of particularethnic or social groups.•Complexes of buildings, such as factory complexes,that comprise a functionally and historically interrelated whole.•Markets and commercial structures or blocks. Planning the Survey •Buildings by great architects or master builders andimportant works by minor ones.•Architectural curiosities, one-of-a-kind buildings.•Sole or rare survivors of an important architecturalsty le or type.•Studios of American artists, writers, or musiciansduring years of significant activity.•Institutions that provide evidence of the culturalhistory of a community (churches, universities, artcenters, theaters, and entertainment halls).•Buildings where significant technological advancesor inventories in any field occurred (agricultural experiment stations, laboratories, etc.). Site •Archeological sites containing information ofknown or potential value in answering scientificresearch questions.•Archeological sites containing information that mayshed light on local, State, or national history.•Sites of cultural importance to local people or socialor ethnic groups, such as locations of importantevents in their history, historic or prehistoric cemeteries, or shrines. 9 •Sites associated with events important in the history of the community as a whole (battlefields, trails, etc.). •Cemeteries associated with important events or peo ple, or whose study can provide important informa tion about history or prehistory. •Ruins of historically or archeologically important buildings or structures. •Historically important shipwrecks. •Cemeteries important for the architectural or artistic qualities of their constituent structures and monuments. •Constructed landscapes that exemplify principles, trends, or schools of thought in landscape archi tecture, or that represent fine examples of the land scape architect's art. A complete suroey must include archeological sites important in prehistory or history. Indian Grinding Rock, Amador County, California. (Louis A. Payen) Structure •Industrial and engineering structures, including kilns, aquaducts, weirs, utility or pumping stations, and dams. •Transportation structures, including railroads, turn pikes, canals, tunnels, bridges, roundhouses, lighthouses, and wharves. •Agricultural structures such as granaries, silos, corncribs, and apiaries. •Movable structures associated with important proc esses of transportation, industrial development, social history, recreation, and military history (ships, locomotives, carousels, airplanes, artillery pieces, etc,). Landscape features, both open spaces and those designed, that are important in defining the character of an area should be documented in the suroey. St. James-Belgravia Historic District, Louisville, Kentucky. (Jefferson County Archives) Object •Objects important to historical or art historical research (petroglyph boulders, bedrock mortars, statuary, rock carvings, etc.). 10 Planning the Survey •Objects important to the cultural life of a community and related to a specific location (totem poles,fountains, outdoor sculpture, road markers,mileposts, monuments, etc.). District •Groups of buildings that physically and spatially comprise a specific environment: groups of related buildings that represent the standards and tastes of a community or neighborhood during one period of history, unrelated structures that represent a progression of various styles and functions, or cohesive townscapes or streetscapes that possess an identity of place.•Groups of buildings, structures, objects, and/or sites representative of or associated with a particular social, ethnic, or economic group during a particular period.•Farmlands and related farm structures (silos, barns, granaries, irrigation canals) that possess an identity of time and place.•Groups of structures and buildings that show the industrial or technological developments of the community, State, or Nation.•Groups of buildings representing historical development patterns (commercial and trade centers, county seats, mill towns).•Groups of sites, structures, and/ or buildings containing archeological data and probably representing an historic or prehistoric settlement system or pattern of related activities.•Groups of educational buildings and their associated spaces (school and university campuses, etc.).•Extensive constructed landscapes, such as large parks, that represent the work of a master landscape architect or the concepts and directions of a school of landscape architecture. •Landscapes that have been shaped by historicalprocesses of land use and retain visual and culturalcharacteristics indicative of such processes.Although the spatial relationships between component elements is usually important in the definition of a district, the elements of a district do not necessarily have to be contiguous. For example, a number of archeological sites in a stream valley, representing the settlement system of a prehistoric group, may be widely scattered and separated from one another by highways, housing tracts, and other modern developments, but still constitute a unified whole that can be categorized as a district. In a similar way, a series of canals and related structures and buildings, separated from one another by the natural bodies of water they connect, may nevertheless constitute an integrated transportation system that is best viewed as a district. Engineering structures associated with transportation lines, whether currently used or not, should be included in the survey. The Cop per River and Northwestern Railway, Chitina vicinity, Alaska, was constructed to gain access to the interior copper country and thus, is closely associated with a major economic activity in this area. The National Register of Historic Places listing includes 25 miles of railroad bed, sections of track, trestles, and associated buildings. (Alaska Division of Parks) What kinds of information should be gathered? The precise kinds of information that should be collected by a survey will depend on its purpose and the scale at which it is conducted, as discussed below. Survey planners should also consult with the State Historic Preservation Officer in determining what kinds of information to collect, and the methods and approaches to use in collecting it. To ensure effective incorporation of the survey data into the State and Federal planning processes, survey planners should strive for consistency with the standards and guidelines provided by the State Historic Preservation Officer, and should relate their research to historic contexts established in the State historic preservation planning process where these are applicable. Many State Historic Preservation Officers can provide de-Planning the Survey tailed guidance and standard forms for the conduct of surveys and the recording of different kinds of resources. If the survey is intended to result in nominations to the National Register, appropriate National Park Service guidelines should be consulted. The publication, National Register Bulletin No. 16, Guidelines for Completing National Register Forms, is the standard reference on National Register documentation requirements. Others in the National Register Bulletin series provide supplementary information on such topics as how to establish property boundaries, how to evaluate relatively modern properties, and how to improve the quality of property photographs. 11 What different kinds of surveys are commonly used? Both the Secretary of the Interior's Guidelines for Identification and common practice distinguish between two general levels of survey: reconnaissance and intensive survey. Both kinds of survey involve background documentary research into the community's history, archeology and architecture, as well as field work, but they are different in terms of the level of effort involved. Reconnaissance may be thought of as a "once over lightly" inspection of an area, most useful for characterizing its resources in general and for developing a basis for deciding how to organize and orient more detailed survey efforts. In conjunction with a general review of pertinent literature on the community's past, a reconnaissance may involve such activities as: • A "windshield survey" of the community-literallydriving around the community and noting the generaldistribution of buildings, structures, and neighborhoods representing different architectural styles,periods, and modes of construction. • a "walkover" archeological inspection, perhapscoupled with small-scale test excavations, to get ageneral idea of the archeological potential of portionsof the community. • a study of aerial photographs, historical and recentmaps and city plans, soil surveys, and other sourcesof information that help gain a general understanding of the community's layout and environment at different times in its history. •detailed inspection of sample blocks or areas, as the basis for extrapolation about the resources of the community as a whole. An intensive survey, as the name implies, is a close and careful look at the area being surveyed. It is designed to identify precisely and completely all historic resources in the area. It generally involves detailed background research, and a thorough inspection and documentation of all historic properties in the field. It should produce all the information needed to evaluate historic properties and prepare an inventory. The Secreretary of the Interior's Standards and Guidelines for Identification provide outlines of the information that should be documented as the result of reconnaissance and intensive surveys. Where such surveys are supported by grants-in-aid funds from the Department of the Interior, such information must be recorded as a condition of the grant, and such documentation is basic to professional practice in the conduct of any survey, regardless of its source of funding. · Prehistoric archeological sites may be preseroed beneath a modern city's streets and houses, particularly if the houses were built on slabs or shallow foundations and the soil was not greatly disturbed. Here in suburban Phoenix, Arizona, the remains of pithouses occupied by the prehistoric Hohokam Indians are being excavated in the path of a new highway right-of-way. (Arizona State University and Arizona Department of Transportation) Reconnaissance and intensive survey are often con ducted in sequence, with reconnaissance being used in planning intensive survey. They are also sometimes i2 Planning the Survey combined, with intensive survey directed at locations where background research indicates a likely high concentration of historic resources and reconnaissance directed at areas where fewer resources can be expected. They can also be combined with reference to different resource types: for example, in a given area it may be appropriate to conduct an intensive survey of buildings and structures but only a reconnaissance with reference to archeological sites, while in another area archeological sites may require intensive survey while buildings need only a "once over lightly" examination. How large an area should be included in a survey? City or county limits define the survey area for many communities. In other cases, decisions about what part of the community to survey may be based on community development project areas or on other areas with recognized development potential. The historic contexts relevant to the survey effort may also affect the size of the areas to be included. For example, if the history of ethnic minorities in the community is an important historic context addressed in the survey effort, neighborhoods known or thought to have been occupied by such minority groups in the past, or occupied by them today, should obviously be included in the survey. Public interest and support may also dictate the inclusion of particular neighborhoods in the survey. Members of the community knowledgeable about local history or archeology may be able to suggest areas of potential historic or archeological significance that should be considered for inclusion in the survey. In planning a survey, background research should be conducted on the community to get an overview of its development. It also is advisable, as a preliminary step, to conduct at least a cursory reconnaissance of the community to identify potential significant areas or specific properties that might be the target of intensive survey efforts. Where this is done, provision should be made for adding properties and areas identified through documentary research and subsequent field survey, since historically significant places are not always obvious visually. In cases where the entire community is to be surveyed, it may be advisable to undertake these assessments in stages. Decisions about what areas to survey first may be based on time, money, or pending projects which may affect resources within a particular area. How long should a survey take? In planning a survey, a timetable should be worked out to establish deadlines for each stage of the project. The timetable should reflect not only community development planning needs but also the nature and scope of the survey project itself. In addition to deadlines, it should establish periodic evaluation sessions to review data gathered and overall progress to date. These sessions could provide the basis for ongoing publicity. The length of time in which the survey project can be successfully completed depends on the size and complexity of the area(s) to be covered, the number of surveyors and researchers, and the amount of information to be gathered. Some localities have found it effective to approach the survey on an area-by-area basis, completing an inventory of one area before moving on to the next. This method has the advantage of letting the community build on past experience in each successive survey and of allowing for feedback on the usefulness of the material gathered in the planning process. It has the disadvantage of providing no data on substantial portions of the community until late in the overall survey process. A phased survey, in which background research and reconnaissance of most or all of the community is conducted first, followed by intensive survey where needed, is an Planning the Survey SURVEY DOCUMENTATION The Secretary of t/1e Interiors Standards and Guidelines for Identification specify the kinds of information that should be collected as a result of field survey: A reconnaissance survey should document: 1.The kinds of properties looked for; 2.The boundaries of the area surveyed; 3. The method of survey, including the extent ofsurvey coverage; 4. The kinds of historic properties present in the survey area; 5. Specific properties that were identified, and the categories of information collected; and 6. Places examined that did not contain historic properties. An intensive survey should document: 1. The kinds of properties looked for; 2.The boundaries of the area surveyed; 3. The method of survey, including an estimate of theextent of survey coverage; 4. A record of the precise location of all properties identified; and 5. Information on the appearance, significance, integrity, and boundaries of each property sufficient to permit an evaluation of its significance. 13 alternative to area-by-area survey. A combination of approaches, as noted above, may also fit a particular community's planning needs. Decisions about what kind of survey to conduct, and how it may be phased, naturally define how long the survey will take. Communities planning to hire professional consultants to conduct the survey should include a rough timetable as part of the general work prospectus that they present to potential consultants (see section on selecting a professional consultant). A detailed timetable or work schedule can then be developed in conjunction with the consultant hired. Deadlines scheduled well before those called for by procedural or other obligations will ensure timely completion of the project. It may be appropriate to establish separate timetables for the conduct of background research, reconnaissance, and intensive surveys. for the organization of survey data, for evaluation, for publication, and for development of preservation plans. Elements of Survey Planning How is the purpose of the survey established? It is fair to say that any historic resources survey of a community has as one of its main purposes, if not its sole purpose, the development of a complete, fully documented, comprehensive inventory of the com munity's historic properties. It is important to recognize, however, that a survey need not be complete and comprehensive in order to be useful. •If background knowledge of a community's history suggests that particularly important historic properties may be concentrated in particular areas, it may be cost-effective to survey such areas first, giving lower priority to areas where historic properties are less like ly to be found, or may be found in lower densities. •Conversely, if not much is known about a com munity's historic resources, it may be appropriate to concentrate initially on background research and broad-scale reconnaissance (as defined on p. 12) to obtain an initial idea of the community's resource base before designing more intensive surveys. •If a particular part of the community may be sub ject to substantial development in the near future, or is the target for use of Federal assistance, triggering the need for historic preservation review, it may be appropriate to concentrate survey in that part of the community before other areas are addressed. •If there is a considerable potential for rehabilitation of historic commercial buildings in the community, stimulated by the availability of tax advantages at the Federal or State level, it may be appropriate to give the identification of commercial buildings priority over the identification of other types of historic prop erties. •If the residents of a particular neighborhood, or property owners in a particular commercial area of the community, have expressed interest in maintaining and enhancing their historic properties, it may be a prudent investment to give survey in such area priori- 14 ty over survey in areas where there is less immediate potential for use of the resulting survey data. In short, a survey can be done at many different scales, with many different emphases, and using many different techniques at different levels of refinement. The kind of survey undertaken depends on the needs of the community. What are historic contexts? Together with the community's planning and develop ment priorities, and its available personnel and finan cial resources, historic contexts are the most influen tial factors in defining the structure of a survey effort. A historic context is a broad pattern of historical development in a community or its region, that may be represented by historic resources. For example, if a community began as a port village in the early 18th century, its functions as such may be reflected in its street plan, in the character of some neighborhoods, in some particular buildings or groups of buildings, or in archeological remains buried beneath more recent development. The operation of the early 18th century port is thus one historic context that influences the nature and distribution of the com munity's resources, and should influence survey ef forts designed to find and document such resources. If the community underwent a commercial boom in the 1890s, was burned during the Civil War, received im migrant ethnic groups in the early 20th century, received the attention of a particular school of ar chitecture, or was the probable location of a prehistoric American Indian village, each of these historic contexts should be considered in planning the survey. The importance of taking historic contexts into ac count cannot be overemphasized. Failure to do so can Planning the Survey lead to the application of survey methods that are not cost-effective, that fail to identify significant resources, or that contain uncontrolled biases. The establishment of historic contexts is vital to targeting survey work effectively, and to the effective use of personnel. For example, if representatives of an important school of architecture designed a number of buildings in the community's central business district, knowledge of this historic context will lead survey planners to focus the attention of qualified architectural historians on this section of the community, while if prehistoric Indians in the area typically established their villages at the confluence of streams, knowledge of this historic context may lead surveyors to use information on old stream patterns within the community to identify locations for archeological survey and testing. Historic contexts are developed on the basis of background data on the community's history and prehistory, or on such data from the surrounding area. To mobilize such data, survey planners should conduct initial research into the community's history and the history and prehistory of the region in which it lies, and should consult knowledgeable authorities. local historical organizations and academic history departments, professional and avocational archeologists and archeological organizations, professional architects and landscape architects, and local chapters of the American Institute of Architects are all likely sources of useful advice. The State Historic Preservation Officer can often suggest knowledgeable local sources, as well as provide information on what surveys have already been done in the area and suggest possible topics of inquiry. Generally, establishing historic contexts involves reviewing the known history and prehistory of the State and region in which the community lies, seeking to define important patterns in the development of the area through time that may be represented by historic properties. Historic contexts may be unique to a community, but often are reflected in, or related to, the surrounding region or to other communities. For this reason, it is important to coordinate the development of a community's historic contexts with the State Historic Preservation Officer's statewide planning efforts. Most statewide preservation plans developed by State Historic Preservation Officers establish at least broad, general historic contexts which may be directly or indirectly applicable at the local level. Furthermore, the State Historic Preservation Officer is likely to be aware of historic contexts developed through the planning efforts of other communities and Federal and State agencies. Historic contexts are almost always refined, modified, added to, and elaborated on as the survey itself proceeds. At the point of planning the survey, it may be feasible to define them only in broad, general terms; sufficient flexibility should always be maintained to allow changes to take place as the survey progresses. An initial statement of historic contexts should be developed during the earliest stages of planning to guide development of the actual survey design. Comprehensive community suroeys should not be limited to architecturally significant buildings; but should include all tangible links with the past. These stockyards played an important role in the history and the development of Fort Worth, Texas, and are included in a Na tional Register historic district. (Steve Smith, Texas Historical Commission) Planning the Survey 15 How are survey goals and priorities established? Ideally, survey goals should be based on historic contexts. For example, suppose that a community (a) was the probable location of a prehistoric Indian village near the confluence of two streams; (b) was a port during the 18th century; (c) experienced substantial commercial development in the late 19th century, during which many buildings designed by practicioners of an important school of architecture were constructed in the central business district; and (d) experienced growth in the early 20th century as Italian, German, Hispanic, and rural Black immigrants established row house neighborhoods ringing the center city. Goals for a first-stage, reconnaissance-level survey effort might be (a) to determine whether soil strata that might contain the archeological remains of the Indian village still exist under the modern streets and houses that overlie the old stream confluence; (b) to determine the boundaries of the 18th century port, identify major buildings still standing from the period, identify buildings requiring further study to determine whether they represent repeatedly modernized 18th century buildings, and determine locations of likely archeological interest; (c) to identify major surviving concentrations of 19th century commercial buildings; and (d) to identify ethnic neighborhoods that retain their architectural and cultural integrity. The means to achieving these goals can then be assigned priorities based on such factors as work already conducted, available funding, planning and development constraints, and survey opportunities. If some data are available on a given historic context as the result of prior work, it may be appropriate to assign relatively low priority to investigating that context, emphasizing instead those that are less well known; alternatively, the existence of information on a particular historic context may be taken as an opportunity to be built upon, thus giving investigation of that context higher priority. Historical research and archeological testing to identify the boundaries of the 18th century port might be more expensive than a program of interviews and windshield survey to locate ethnic neighborhoods, for example, so the former might be assigned a lower priority than the latter, or divided into phases that could be implemented over time to reduce expense. Planning needs are often the major bases for setting priorities. For example, if our hypothetical community's business people are interested in taking advantage of tax incentives to rehabilitate commercial buildings, it may be appropriate to facilitate this effort by giving high priority to the goal of documenting the community's downtown commercial districts in sufficient details to prepare complete National Register nominations. If the Army Corps of Engineers is planning a project to channelize streams flowing through the community, this may create both the need to give high priority to identifying the remains of the Indian village and the opportunity to use Federal assistance from the Corps of Engineers to do so. If a city government intends to target a particular area for rehabilitation of older buildings using Community Development Block Grant funds, this may justify giving priority to survey of the target area to identify historic properties that should be protected from inappropriate construction activities. FinalJy, opportunities provide a basis for setting priorities. If a local university is interested in establishing a field school in historic archeology, the opportunity may exist to use the university's efforts to study the 18th century port area. If a neighborhood group is interested in documenting its social history in the community, this may present an opportunity to mobilize neighborhood support for the survey effort and suggest that the interested neighborhood should be assigned high priority. It should be recognized that, as the survey progresses, it will almost certainly be necessary to adjust goals and priorities. The survey will probably identify new historic contexts and refine others. New opportunities and constraints will arise. Work will be completed sufficiently with respect to some goals to allow attention to shift to others. Finally, it may be necessary to correct distortions created by the pursuit of previous priorities. After a few years of response to the needs generated by tax incentives for commercial rehabilitation, for example, a community may have exhaustive documentation on its commercial districts but very little data on its residential neighborhoods, public buildings, or archeological resources. It may then be appropriate to adjust the survey to give higher priority to areas and resources earlier given short shrift. How should the storage and use of survey data be considered during survey planning? Chapter III discusses the review and organization of survey data, and should be considered during survey planning. It is important to consider how survey data will be stored, organized, and used before the survey itself begins, because many decisions about how to 16 record information will depend on how the data are to be used and in what form they will be maintained. For example, if an important reason for the survey is to provide information to the city planning office, which maintains its data base on computer, it is im-Planning the Survey portant that the survey data be collected in a form that is compatible with that computer's operating system. Similarly, if there is a historic preservation ordinance calling for the review of proposed changes to historic properties, survey data should be stored in a form and location that are accessible and useful to the local historic preservation commission. At the same time, particulary if the survey is being supported by the State Historic Preservation Officer as part of the statewide comprehensive survey, it is important that the data be collected in a form that can be easily put into the SHPO's data base, and if nominations to the National Register are being considered, the community will want to design its forms and records to ensure that collected data are compatible with National Register categories and documentation re- quirements. As another example, if the community feels that developing an extensive, high-quality photo archive of its significant architecture is an important goal, this will influence decisions about the kinds of cameras to provide to each survey team, the kind of training to provide, and the amount and kinds of film to budget for. This aspect of planning will involve consulting with those who are likely to be important users of the survey data to determine the form of information that will be most useful and accessible. Recording forms, systems for translating raw survey data into computer-compatible formats, and archiving systems should then be designed with these considerations in mind, and surveyors should be trained in their use. How can a community involve the public in planning a survey? The success of planning a community survey, as well as conducting it and using the results, will depend on a broad base of local interest and involvement. Vital support for the survey, and for historic preservation in general, can be generated if a carefully planned campaign is mounted to involve the public and obtain their participation. Such a campaign can also identify valuable local sources of information and special expertise. Public involvement should begin at the earliest stages of survey planning. Means of stimulating interest might include neighborhood meetings; displays at libraries, public schools, and museums; walking tours; lectures and discussions by preservation specialists; and newspaper articles about the survey, about preservation activities in other communities or about the history, archeology, or architecture of the community. Local newspapers may also be used to solicit historical data, reminiscences, old photographs, and other information. Community newspapers could, for example, carry a tear-out survey form to encourage readers to submit information on properties and on sources of unpublished documentary material with which they are familiar. Special efforts should be made to involve those in the community with particular interests in historic properties or community development. Local historical organizations, neighborhood groups, and archeological societies should be contacted. Historians, architects, landscape architects, archeologists, folklorists, sociologists, and anthropologists should be sought out. Interviews with such organizations and individuals should seek to identify ways the survey can serve their interests, and how their expertise can contribute to the survey effort Planning the Survey Potential users of survey information, including community planners, historic preservation commissions, business leaders, tourism offices, libraries, schools, and the Chamber of Commerce should be informed of the survey effort and asked how the survey can be designed to be of greatest value to them. Where the survey will take place in neighborhoods whose residents do not speak English as their first language, or where social customs are not those of mainstream Anglo-American society, efforts to involve the public should be carried out in the language of the neighborhood's residents as much as possible, and should be sensitive to their cultural values and systems of communication. In some societies, for example, it is very disrespectful for young people to talk about history in the presence of their elders; in such a context, an open public meeting to seek information on the community's history may not only be ineffective, but may endanger the support that prominent older members of the community would otherwise have for the survey. Neighborhood leaders should be consulted to design public involvement efforts that are consistent with local values and expectations. If professionals knowledgeable about the neighborhoods in which surveys will take place-for example, sociologists, anthropologists, and social workers-are available, they also should be consulted during early survey planning. Community enthusiasm for the survey project can generate volunteer support and assistance for various aspects of the survey, such as historical research and field survey work. Survey planning should be coordinated with local historical commissions and societies, civic groups, archeological societies, and other professional organizations. These organizations are usually knowledgeable about their community's historic resources and often can provide useful 17 documentation as well as volunteer assistance in con ducting the survey. The following community groups are also potential sources of volunteers for the survey: Chamber of Commerce, Jaycees, Junior League, fraternal organizations (Rotarians, Elks, Kiwanis, etc.), youth organizations (YMCA, YWCA, high school clubs, service organizations, etc.), men's and women's clubs, universities and colleges, and religious groups. Before initiating fieldwork, it is important that the public be given adequate notice of the appearance of surveyors in their neighborhoods and be informed of the kind of documentation they will be gathering. Newspaper articles providing such information, as well as posters in supermarkets, schools, churches, etc., can allay unnecessary suspicions, and help assure a positive reception for the surveyors. It may also be useful for surveyors to carry a letter of introduction explaining the survey project, its goals, and its methods. What form should a survey design take? Based on initial background research, minor reconnaissance, consultation with the State Historic Preservation Officer and others, and public participation, it should be possible to draft a general scope of work for the survey. The scope of work should outline the purpose of the survey, survey goals at least for the first phase of work, and priorities as appropriate. It should specify the objectives of each phase of work, and identify the methods to be used (for example, background research, field study, supervision of volunteer survey teams). It should establish approx imate time frames for the conduct of the work, or for the conduct of particular phases of work, and it should include or be supported by a brief description of the historic contexts to be investigated. To the ex- tent possible, it should describe the expected results of the investigation of each context-that is, what kinds of historic resources may be expected, what their general nature and numbers may be, and what condition they may be in. Finally, it should specify the pur poses to which it is expected that the survey data will be put, and how these purposes will structure the col lection and recording of data. Survey planners should consult the State Historic Preservation Officer when preparing a survey design. State Historic Preservation Officers have considerable experience in designing and implementing surveys, and can provide valuable advice and models, as well as help ensure that the design is consistent with statewide survey standards. Mobilizing Resources for the Survey What qualifications should those supervising a survey have? The usefulness of the survey as a planning tool will depend in large part on its overall accuracy and professional quality. It is important, therefore, for communities to obtain the advice and involvement of qualified professional personnel in all phases of the survey project. Typically, a historic resources survey should make use of professional historians, architec tural historians, archeologists, and other specialists, in the supervision of both historical research and field inspection. Minimum qualifications for these professional personnel, as defined by the National Park Service, are given in the box on page 22. Other professionals, such as historical architects, planners, social and cultural anthropologists, and landscape ar chitects, may be helpful in gathering survey data. Familiarity with the National Register program and the application of its criteria for evaluation is extremely helpful. 18 Professionals should be responsible for all major decisions affecting the survey effort, including providing guidance to inexperienced surveyors, defining districts and properties of potential significance within the overall survey areas, evaluating and interpreting data gathered in the survey, and producing or overseeing the production of photographic and other graphic documentation. Some professionals within the community may be willing to volunteer their time to undertake survey work. In most cases, however, communities will find it necessary to hire professionals. Where volunteer labor is relied upon, it is advisable to appoint or hire at least one professional who can administer or oversee survey activities, coordinate the work being done, and make program decisions. Ideally, such a person-referred to in this publication as a survey coordinator-should have the ability to organize survey teams, budget time and money wisely, and assembly and interpret raw data. Planning the Survey Where can qualified professionals be located? The State Historic Preservation Officer (see Appendix V for addresses) should always be consulted for ad vice when seeking professionals for participation in a survey. Responsible for the statewide comprehensive survey, the State Historic Preservation Officer is usually familiar with the State's historic preservation professionals. National Park Service Regional Offices (see Appendix V for addresses) can also often provide knowledgeable advice about potential professional assistance. In addition to the State Historic Preserva tion Officer, and the National Park Service, the following individuals and organizations can often be helpful in finding professional assistance. State Archeologist, whose office in some States is separate from that of the State Historic Preservation Officer (addresses available from the National Park Service). National Conference of State Historic Preservation Officers (444 North Capitol Street, Suite 332, Washington, DC 20001). The NCSHPO is the organization that represents the State Historic Preser vation Officers in Washington. It can assist in making contact with State Historic Preservation Officers about sources of professional assistance. National Alliance of Preservation Commissions (444 North Capitol Street, Suite 332, Washington, DC 20001). The NAPC is a membership organization that seeks to coordinate local preservation programs and provide them with national representation. It can put local officials and survey planners in touch with other communities and statewide alliances that have under taken similar projects and can provide first-hand ad vice about consultants and other matters. National Trust for Historic Preservation (1785 Massachusetts Avenue, NW, Washington, DC 20036). The Trust also has regional offices which can provide advice about qualified professionals, institutions, and firms. It also includes a placement service in Preserva tion News, its monthly newspaper. State and regional archeological councils and societies (addresses available from the State Historic Preserva tion Officer). Local colleges and universities, especially history, ar chitecture, and anthropology departments. American Anthropological Association (1703 New Hampshire Avenue, NW, Washington, DC 20009). The AAA may be able to advise about locating ar cheologists and cultural anthropologists. American Institute of Architects (1735 New York Avenue, NW, Washington, DC 20006). Each State has Planning the Survey an AIA Preservation Coordinator to oversee and ad vise on preservation activities. The AIA has a Com mittee on Historic Resources, and publishes a direc tory of its members. American Association for State and Local History (172 Second Avenue North, Suite 102, Nashville, TN 37201). AASLH publishes a Directory of Historical Societies and Agencies in the United States and Canada, and provides a variety of other services to communities seeking consultants and planning surveys. American Folklore Society (1703 New Hampshire Avenue, NW, Washington, DC 20009) can advise on folklorists and anthropologists qualified to participate in oral historical and ethnographic survey work. American Planning Association (1313 East 60th Street, Chicago, IL 60637) and its Historic Preservation Divi sion (1776 Massachusetts Avenue, NW, Washington, DC 20036), can put communities in touch with preser vation planners and community planners with ex perience in preservation. American Society of Landscape Architects, Historic Preservation Committee (1733 Connecticut Avenue, NW, Washington, DC 20009) can offer advice about landscape architects with experience in preservation. The Society publishes a National Directory of Land scape Architecture Firms. Association for Preservation Technology (Box 2487, Station D, Ottawa, Ontario, Canada K1P5W6). This is a joint Canadian-U.S. organization that can put communities into contact with architects and architec tural conservationists experienced in preservation and restoration work. National Coordinating Committee for the Promotion of History (400 A Street, SE, Washington, DC 20003). This committee publishes a Directory of Historical Consultants. National Council for Public History (Department of History, West Virginia University, Morgantown, WV 26506). This organization seeks to coordinate the ac tivities of professional historians in non-academic work. Organization of American Historians (112 North Bryan Street, Bloomington, IN 47401). The OAH pro vides a professional placement service for its members. Society of Professional Archeologists. SOPA does not maintain a permament business office, but is represented by its Secretary-Treasurer, an elected of ficial. SOP A's current address should be available from the State Historic Preservation Officer. SOPA 19 publishes an annual Directory of Professional Ar cheologists, which lists archeologists who have agreed to comply with a Code of Ethics and other professional standards, and who have been certified by SOPA to meet specified professional qualifications. Society for American Archaeology (1511 K Street, NW, Suite 714, Washington, DC 20005). A membership organization of professional and avocational archeologists, the SAA runs a placement service at its annual national meeting. Society for Applied Anthropology (1001 Connecticut Avenue, NW, Suite 800, Washington, DC 20036). The SfAA can advise about cultural anthropologists who can provide assistance in oral historical and ethnographic work, and about archeologists. Society of Architectural Historians (1700 Walnut Street, Room 716, Philadelphia, PA 19103). SAH runs a placement service at its Philadelphia headquarters. Society for Historical Archeology (1703 New Hampshire Avenue, NW, Washington, DC 20009) may be able to provide information on archeologists who specialize in the study of archeological remains representing periods since the arrival of Europeans in America. Society for Industrial Archeology (c/o National Museum of American History, Smithsonian Institution, Room 5020, Washington, DC 20560) can provide information on archeologists who specialize in the study of industrial sites and structures. How is a professional consultant selected? The following steps are suggested as a guide for selecting a professional consultant: 1.Define the nature of the work carefully, in order tohave a clear idea of how many and what kind of consultants to look for. This is an important reason fordeveloping a thorough scope of work. 2.Send the scope of work to a number of firms, institutions, organizations, or qualified individuals withthe requests that they submit written proposals.3.Consider the general qualifications of those whosubmit proposals. References should be required andinvestigated carefully. 4.Evaluate the written proposals provided. Ascertainhow well each consultant appears to understand thereasons for and nature of the work, and evaluate themethods and approach that each intends to use inundertaking the project. (Look for a consultant whoseems to understand what he or she is doing and hasa good idea of how to do it.)5.Choose for interviews one or more consultants thatappear to be the best qualified. Interviews with morethan three consultants may not be productive.6.Interview selected consultants separately, explaining the work that has to be done and the selectionprocedures you are using. Enough time should bescheduled for each interview to allow for a careful examination of qualifications and thorough discussion ofthe survey project. In addition to the professionalqualifications listed on page 22 the following areparticularly important criteria to consider:(a)Experience and reputation. Consult the StateHistoric Preservation Officer and relevant organizations listed in the preceding section to determine where qualified professionals may be located and how to evaluate survey experience. 20 (b)Workload. Try to determine whether the consultant will be able to accomplish the project within the time frame that you have established. The consultant's reputation for meeting deadlines will be a good indication of this. (c)Access to all fields of expertise needed to meetthe requirements of the project. Whether the consultant has such expertise personally, on his or her staff, or through cooperative arrangements with others, it is important to ensure that he or she understands what expertise is needed to pursue the survey goals and can mobilize that expertise when it is needed. Although the kinds of expertise needed will vary, historic resources surveys are typically interdisciplinary, requiring the expertise of historians, architectural historians, archeologists, and other specialists. (d)Ability to work with the public. The surveywill be a very public activity in the community, so at a minimum the selected consultant should have the ability to interact well with people. The social values of the neighborhoods in which the survey will take place should be considered; it is vital that those responsible for the survey be able to work well with the people of the community. If the survey will involve the substantial use of volunteers, the consultant should have the clear ability to inspire, organize, and supervise them. 7.Make a list of consultants interviewed in order ofdesirability, based on apparent ability to accomplishthe project.8.Contact the first choice and agree on a preciseoutline of responsibilities and a fee.9.If you cannot agree on responsibilities, fee, or contract details, notify the consultant in writing thatnegotiations are being discontinued. Then beginnegotiations with the next consultant.Planning the Survey Consultation with the State Historic Preservation Officer and, in some cases, with the National Park Service Regional Office, is recommended during selection of consultants. Establishment of a review panel including appropriate professionals and representatives of the community may be appropriate. Selection of a consultant simply on the basis of a bid is not recommended. A historic resources survey is a complicated professional activity that requires the exercise of careful subjective judgement. Simply obtaining the cheapest services, without full consideration of the quality of work offered, will almost certainly result in poor work and wasted time, money, and public enthusiasm. For consultants who can provide the necessary services within the established budget range, competition should be on the basis of professional competence, experience, and quality of proposal. Additional considerations: 1.Limit the number of consultants interviewed.Careful preinterview selection will enable you to interview a few consultants in depth and should providesufficient information for a sound choice. This preinterview process will provide consultants an opportunity to submit information explaining theirqualifications and the nature and extent of their experience.2.Establish financial parameters and explainbudgetary restrictions, if any, at the outset, but avoidcompetitive bidding for the reasons given above.3.Avoid nonwritten agreements. For the protectionof both client and consultant, the client should alwaysexecute a written contract with the consultant. If the survey is funded using a grants-in-aid from the Historic Preservation Fund administered by the National Park Service, the contract should specify that the survey (whether at a reconnaissance or intensive level) will collect and document the information required by the Secretary of the Interior's Standards and Guidelines for ldentification. Similarly, if the purpose of the survey is to obtain documentation for National Register nominations or determinations of eligibility, the contract should specify that the consultant is responsible for compiling sufficient documentation, consistent with the Secretary of the Interior's Stand ards and Guidelines for Evaluation and Registration and other relevant National Park Service guidelines, to permit the necessary professional review. Although special demands of the consultant may arise during the course of the survey project, the consultant cannot be expected to do work outside of the contract, unless the contract and fee are amended accordingly. Guidance in drawing up contracts for survey work may be obtained from the State Historic Preservation Officer and from the Regional Offices of the National Park Service. 4.Avoid possible conflict of interest situations. Consultants may offer to provide services at low rates inanticipation of securing future contracts for othertypes of professional services (restoration work, excavation of archeological sites, etc.). The prime taskof the consultant should be the completion of thesurvey and inventory project. If a long-termcooperative relationship between the consultant andthe client is in the best interests of both, it should beexplicitly negotiated as such. What fees do historic resources consultants charge? Fees charged by professional consultants are generally based on the scope and complexity of the work as measured by the time or professional personnel required to complete it; experience, education, training, and reputation of the personnel involved; and the quality of service the consultant is prepared to provide. There are five basic kinds of financial arrangements used for consultant services: 1.Lump Sum Fee for all Contracted Services. Thisarrangement may be advantageous to the client due toits relative ease of budgeting. It can, however, be aproblem for both the client and the consultant becauseit is difficult to anticipate unknown factors that couldbe involved. In fairness to both parties, there shouldbe a definite statement of time limits and a provisionfor the adjustment of the fee. Of course, it is important that the program and responsibilities of the consultants be carefully specified in enough detail topreclude mutual misunderstanding.Planning the Survey 2.Fixed Fee for Professional Services-Plus Actual Amount of Other Expenses. Beyond a fixed fee, thefirm or individual is paid the cost incurred in connection with the work based upon the actual costs incurred. Such costs would include, in addition topayroll and general office overhead, materials, printing, and other out-of-pocket costs directly chargeableto the job. It is usual to set a limit of reimbursablecosts in the contract providing for this type of financial arrangements, or to provide that such costs shallnot be incurred without prior approval of the client.3.Fee as Fixed Percentage of Expenses. Compensation is based upon the consultant's technical payroll,multiplied by an agreed-upon factor, to arrive at thetotal compensation. This method may be combinedwith a fixed fee or per diem compensation for the personal services of the consultant's staff if considerabletime of such staff is required. It is difficult for theclient to budget unless a maximum compensation is 21 included. This arrangement has the advantage of removing the greater part of uncertainty from the consultant's calculations in a large undertaking while offering the client a simply method of determining and auditing fees as well as maximum feasibility in establishing the scope of services that he or she needs. 4.Per Diem Fees. This method may apply to any ofthe consultant's personnel, including its principals. Italways requires explicit understanding as to what constitutes a "day" and how travel time and expenses areto be allocated. This arrangement is especially advantageous for irregular or indefinite assignments, such asproviding testimony concerning a survey's results to a preservation review board. 5.Contingency Fee. This method involves work bythe consultant on the basis of compensation to bedetermined later and measured by the benefits accruing from the service. This is a difficult method for usein planning studies. It requires contractual agreementsthat will clearly disclose the basis upon which thecontingency fees will ultimately be computed. Thismethod would be unethical in all cases where the consultant offers expert testimony or where he or she isrequired to appear as an impartial expert rather thanas an advocate. PROFESSIONAL QUALIFICATIONS The following definitions have been developed by the National Park Service to help States, communities, Federal agencies, and others identify qualified professionals in the disciplines of history, archeology, architectural history. and historic architecture. In some cases, additional areas or levels of expertise may be needed, depending on the complexity of the tasks involved and the nature of the historic properties. It should be noted that 1 year of full-time professional experience when stipulated below need not consist of a continuous year of full-time work, but may be made up of discontinuous periods of full-time or part-time work that add up to the equivalent of a year of full-time experiences. A. History The minimum professional qualifications are a graduate degree in history or a closely related field; or a bachelor's degree in history or a closely related field plus one of the following: (1) at least 2 years of full-time experience in research, writing, teaching, interpretation, or other demonstrable professional activity with an academic institution, historical organization or agency, museum, or other professional institution; or (2) substantial contribution through research and publication to the body of scholarly knowledge in the field of history. B. Archeology The minimum professional qualifications are a graduate degree in archeology, anthropology, or closely related field plus (1) at least 1 year of full-time professional experience or equivalent specialized training in archeological research, administration, or management; (2) at least 4 months of supervised field and analytic experience in general North American archeology; and (3) demonstrated ability to carry research to completion. In addition to these minimum qualifications, a professional in prehistoric archeology shall have at least 1 year of fulltime professional experience at a supervisory level in the study of archeological resources of the prehistoric period. A professional in historic archeology shall have at least 1 year of full-time professional experience at a supervisory level in the study of archeological resources of the historic period. 22 C. Architectural history The minimum professional qualifications are a graduate degree in architectural history, art history, historic preservation, or a closely related field, with course work in American architectural history; or a bachelor's degree in architectural history with concentration in American architecture; or a bachelor's degree in architectural history, art history, historic preservation, or a closely related field plus one of the following: (1) at least 2 years of full-time experience in research, writing, or teaching in American architectural history or restoration architecture with an academic institution, historical organization or agency, museum, or other professional institution; or (2) substantial contribution through research and publication to the body of scholarly knowledge in the field of American architectural history. D. Architecture The minimum professional qualifications in architecture are a professional degree in architecture plus at least two years of full-time practice in architecture; or a State license to practice architecture. E. Historical architecture The minimum professional qualifications are a professional degree in architecture or a State license to practice architecture, plus one of the following: (1) at least 1 year of graduate study in architectural preservation, American architectural history, preservation planning, or a closely related field and at least 1 year of full-time professional experience on preservation and restoration projects; or (2)at least 2 years of full-time professional experience onpreservation and restoration projects. Experience onpreservation and restoration projects shall include detailed investigation of historic structures, preparation ofhistoric structures research reports, and preparation ofplans and specifications for preservation projects.No official standards have been established by the Secretary of the Interior for such preservation-related professions as landscape architecture and cultural anthropology. In reviewing the qualifications of such professionals, approximate equivalences to the qualifications listed above should be looked for, and professional organizations in the specialties involved should be consulted. Planning the Survey How do non-professionals fit into a survey? Although a survey should be supervised by professionals, there is no reason that volunteers and others without professional training in the preservation disciplines cannot carry out much of the survey work. The use of volunteers from the community is important because it can bring to the survey people with specific knowledge of the community's history and resources, help ensure public support for the project, and reduce costs. Ways in which community volunteers can participate fruitfully in survey include the following: Historical Research People with avocational interests in local history may have already gathered much of the primary data needed to interpret the community's history and establish historic contexts. People with training or skill in library work will be highly efficient historical reseachers. People with background or interests in environmental studies or soil science can be helpful in reconstructing the community's past environments, which is often of vital concern in identifying likely archeological site locations. If recording oral histories will be part of the project, personable people who are able to carry on a good conversation, listen well, and record what they hear will be welcome members of the survey team, whatever their background. Field Survey Field survey work can be carried out by people from any kind of background, provided they are appropriately supervised and trained. The only major prerequisites are the abilities to understand and follow instructions, to be reasonably observant, and to be able to fill out recording forms and take other notes clearly, accurately, and completely. Naturally, the more observant, thoughtful, and interested in historic resources a field surveyor is, the better the product is likely to be. Specific skills that can be tapped among volunteers that are of great use in field survey include cartography, drafting, photography, operation of such excavation equipment as power augers and backhoes for archeological testing, and first-hand knowledge of local architectural styles. Simply knowing the community and its people, of course, and being known by them, can be of great value to the survey effort, simplifying communication about the survey and its purposes, making possible access to properties where study is needed, and opening up sources of historical information. Handling Survey Data Evaluations of properties to determine their historic value should be done by professionals, or under direct Planning the Survey professional supervision, but non-professionals can participate in the evaluation process in many ways. Evaluation is a subjective activity, and should be responsive to community values, particularly where the value of resources may lie in the contribution they make to the cultural integrity of the community or its neighborhoods. Community leaders and residents can and should work with professionals to define the resources that they perceive to be important to the history and character of the community, and the same sort of consultation with the people of individual neighborhoods can make vital contributions to the definition of particular historic districts. Volunteers and other non-specialists in the preservation disciplines can also help work with the survey data in other, less subjective but equally important ways: carrying out the clerical work of organizing the data, coding data for computer storage and manipulation, and preparing publications. Specific useful skills include typing, word processor operation, general clerical skills, knowledge of computer science, use of darkroom equipment, editing, and design and layout. If a community's efforts at public involvement in survey planning are successful, volunteer participants in the survey may be recruited from a diversity of sources. Civic and fraternal organizations and organizations representing particular interested professional groups (e.g. building contractors) may make the survey an activity to which their members donate their time. College and secondary school history, anthropology, and social science students may be encouraged to participate. Members of neighborhood organizations and organizations representing particular social or ethnic groups in the community may donate their time. Local historical and archeological societies may provide the backbone of the survey work force. Organization and supervision of volunteers may be one of the major jobs of the survey leaders and should be carefully considered in preparing scopes of work and negotiating contracts. It may be appropriate to organize volunteer coordinating committees in various neighborhoods or other survey areas, or committees of people interested in different aspects of the survey process. To the extent such groups can be organized during survey planning, coordination of actual volunteer work on the survey will be facilitated. Professional-Volunteer Relations Volunteers' work should be reviewed at regular intervals during the survey process and periodic meetings should be held to discuss and evaluate progress. In this regard, it is vital that there be a clear understand- 23 ing of the relationship between volunteers and profes sionals from the outset. To avoid wasted effort and ill feelings, it is necessary for each participant in the survey, whether volunteer or professional, to under stand and respect the work of the other participants. The more thoroughly volunteers are trained, the greater their contribution to the survey will be. The precise nature of the training program undertaken will depend on the particular situation, but every program should emphasize the need for thoroughness, con sistency, and accuracy. Because the usefulness of the survey will depend in large part on the reliability of information gathered, the need for careful training and close supervision of volunteers cannot be over emphasized. For guidelines and assistance in locating and organiz ing volunteers, a community may find it useful to contact Volunteer: The National Center for Citizen In volvement, 1111 North 19th Street, Suite 500, Ar lington, VA 22209, or Post Office Box 4179, Boulder, CO. A good general reference work on the use of volunteers is Adams' Investing in Volunteers (see Bibliography). What kind of training will ensure a consistent and high-quality survey? The amount and type of training necessary will de pend on the previous experience of those who are to conduct the survey, and on the aspect of the survey in which those being trained will participate. Although training will be needed primarily by volunteers and other non-professionals in the preservation disciplines, professionals too may need at least a brief orientation to the specific problems of the survey and the com munity. Training should emphasize the need for thoroughness, consistency, and accuracy in all aspects of the survey, including historical research, field survey, and organization of survey data. Training should be designed to: • Convey the goals and objectives of the survey. •Convey the interrelatedness of historical research and field survey work and a sense of how each con tributes to the quality and usefulness of the survey. •Acquaint researchers and field surveyors with the historical development of the survey area and its pres ent physical character. •Give a clear idea of the specific historical and cultural information relevant to the survey. •Indicate the location of source material. •Teach the skills of visual analysis, an awareness of environmental and architectural elements. •Teach recording and mapping techniques. Training sessions should familiarize both historical researchers and field surveyors with the broad physical and historical development of the area. Everyone involved in the survey effort should, in ad dition, have an opportunity to visit and become familiar with the survey area. Training sessions and on-site orientation sessions may be supervised by the survey coordinator or a trained professional familiar with the survey area. 24 On-site orientation as part of training can make clear which properties or areas researchers and surveyors will be responsible for and how these will be covered during the intensive survey. This overview of the character of the area and distribution of kinds of resources in it will help surveyors identify areas and isolated buildings that will require considerable atten tion, plan their method of approach, and budget their time. During the actual field survey, of course, the surveyor will be able to return for a careful examina tion of buildings, structures, sites, and districts. Training for Archival Researchers Archival research involves the development and refinement of historic contexts and the acquisition of information that can aid in the identification and evaluation of resources. Training should enable historical researchers to recognize the kind of historical data relevant to the survey project. The researchers should also understand how research in formation fits into the project as a whole, how it is to be recorded, and how it will be organized later. Careful coordination between research and field survey can be effected only if researchers understand both the nature of the research required and the way research and field survey efforts will be coordinated. When conducting archival research, it is very easy to become overwhelmed by the sheer volume of informa tion available, and to become so involved in tracing minutiae that one loses track of the main points of the research. Supervision is important to keep reseachers on track: researchers should begin with a clear under standing of the questions the research is designed to answer, the patterns or trends it is seeking to identify, and the results it is the expected to produce. Depending on the size of the group and experience of the researchers, training might ideally consist of several lectures and field or lab sessions designed to familiarize trainees with the sources of information available and specific assig,1ments to provide practice Planning the Survey in actual research. Lectures could provide research trainees with an understanding of the kinds of infor mation they will be gathering. Researchers should be given a thorough understanding of the historic contexts that have already been estab lished during survey planning, and oriented toward seeking information about how each historic context might be expressed in the actual distribution and nature of historic resources. This will involve under standing and studying such topics as: 1.the time range and geographic limits of the historic context; 2.the social, cultural, economic, environmental, and other characteristics of the historic context; 3.the physical resources that might represent the con text, for example, the kinds of structures that were built during a particular period of the community's growth, and the parts of the community in which they were concentrated; and 4.the changes that have occurred in the community and its environment that might reveal or obscure the physical record of the historic context, for example, periods of modernization when older buildings were covered with new siding, episodes of natural or ar tificial landfilling that might have buried prehistoric sites, and areas in which erosion or human excavation may have revealed such buried sites. Researchers should also be instructed in the develop ment of new historic contexts, organizing their re search around such topics as: 1.trends in the settlement and development of the community and its region; 2.major events, significant groups, and leading in dividuals in the community's history; 3.aesthetic and artistic values that may be repre sented in the architecture, landscape architecture, con struction technology, or craftsmanship of the com munity; 4.cultural values and characteristics of the communi ty's social and ethnic groups: and 5.research questions of concern to scholars in the humanities or social sciences who have studied the community, its region, similar areas, or relevant prob lems in history, prehistory, geography, sociology, and other disciplines. Field or lab sessions should be scheduled to familiarize researchers with the physical layout of the survey area and to give them an understanding of how to corre late their activities with those of the field surveyors. There should be specific discussion and practice in how to use field survey or special research forms. Planning the Survey Researchers should be made familiar with the types of historical information already known to be available in local and regional libraries, archives, and other sources, and through State and Federal agencies and organizations. Sessions might be scheduled at the local library to learn about types of general information and special collections such as manuscript, rare book, and photographic collections, and at the city or coun ty courthouse where research on tax lists, building permits, plot maps, wills and deeds, etc. could be ex plained. A visit to the local historical society may familiarize trainees with another important source of information. Attendance at local preservation com mission meetings and familiarity with the local review process, criteria, and design guidelines may supple ment the trainees' understanding of the local needs and uses for survey data. Individual assignments may be made to provide the group of researchers with more specific information and enable them to practice their research skills. They might be assigned specific practice tasks pursuing a small scale research topic already well enough known to the trainer to permit evaluation of the researcher's techniques and results. Training for Field Surveyors: Architecture Specific training sessions should be designed to ac quaint field surveyors with (1) appropriate architec tural terminology, (2) construction techniques and practices peculiar to the area, (3) local architectural features or styles, (4) survey techniques that will be used, (5) photographic coverage and equipment, and (6)actual maps and survey forms that will be used. Slide talks or films, with particular attention to local architecture, reading assignments, and the completion of practice forms, are all appropriate training methods. Familiarity with building styles should enable the surveyors to identify approximate ages of buildings in the survey areas and to describe them ac curately. Inevitably, there will be regional variations in styles and buildings that cannot be described using standard terms, but as much as possible, standard architectural historical terms rather than more inter pretive or creative terminology should be used. Par ticularly in rural areas or small towns, efforts should be made to make surveyors familiar with vernacular (as opposed to highsty/e) building forms. They should be familiar with local styles and with plan and building types found in the area. Many State Historic Preservation Officers have pre pared identification guides to historic building types that are common in their States, and will be able to assist in using or adapting these in the training of field surveyors. Some familiarity with building materials and methods is also important. Surveyors should be able to identify various building materials and know something about construction techniques. 25 Surveyors should also be acquainted with the terminology for detailed parts of buildings. Harley McKee's Amateur's Guide to Terms Commonly Used in Describing Historic Buildings and similar guides (see Bibliography) should assist surveyors in developing a vocabulary of architectural terms. Identification and description of historic districts require special skills and may better be left to surveyors with specific experience and training. Training sessions, however, should attempt to make laymen aware of the qualities (visual, architectural, physical, spatial, social, etc.) that may make an area recognizable as an historic district. Surveyors should be taught to see how buildings, open spaces, natural features, roads, and other aspects of the environment interact to create particular urban or rural configurations, and how to conduct a precise visual analysis of those elements and their interrelationships. An effort should be made to convey an appreciation for the ways in which the cultural characteristics of a social group or period in a community's history may be reflected in its buildings and the organization of its spaces. Readings drawn from the literature of urban design, urban geography, anthropology, and environmental design, in addition to practice sessions in the field, should provide surveyors with a general approach and models of analysis (see Bibliography). Surveyors should be taught to be alert to the arclieo logical value of buildings and their contents-that is, their potential for producing information useful in important historical, anthropological, or sociological research. Particularly if the survey will involve the inspection of building interiors, surveyors should be taught to be on the lookout for such building contents as furniture, collections of papers, wallpaper, grafitti, industrial equipment, tools, and the organization of objects in buildings and structures that may reveal aspects of the lives of those who built, lived in, or used the space in the past. Where landscape architecture is a concern of the survey, surveyors will need training in the kinds of landscape features to be recorded. If the primary focus of this aspect of the survey is on designed and constructed landscapes (e.g., parks, parkways, and landscaped housing tracts), background information on the design characteristics and concepts used by the landscape architects responsible for them should be provided to surveyors, so they can recognize and interpret such features when they see them. The American Society of Landscape Architects' Historic Preservation Committee (see address on p. 19) has developed forms that may be used in recording designed landscapes. Where non-designed cultural landscapes are the focus of attention-e.g., wellpreserved agricultural areas-fewer guidelines are available, but training should be provided in the natural geography of the study area and in the historical land uses that have shaped it. An excellent 26 example of a study of such an area, which might usefully be studied during training, is Allen D. Stovall's preservation study of the Sautee and Nacoochee Valleys in Georgia (see Bibliography). Training for Field Surveyors: Oral history Where the collection of oral historical information is important to the project, researchers should be given specific training in interview techniques, use of questionnaires (if used), use of recording equipment, and-very importantly-ways to avoid giving offence to those interviewed. Where the collection of oral data will take place in an ethnic neighborhood, researchers should be made aware of and sensitive to the social and cultural values of the neighborhood's residents. Training for Field Surveyors: Archeology Where the identification of prehistoric archeological sites is a focus of the survey, since such sites are almost always substantially underground, surveyors should be trained to look for surface indications of their presense and for conditions under which buried material may be exposed. Depending on local conditions, prehistoric sites may be marked on the surface by soil discolorations, fire-fractured rocks, scatters of pottery, flaked stone, and other debris, and concentrations of marine or freshwater shell. Stream cuts, drainage ditches, utility trenches, road cuts, and basement excavations may reveal buried sites. Surveyors should be trained to recognize typical local archeological phenomena (housepits, burials, middens, hearths, etc.) in such buried contexts, and should be taught basic concepts of stratigraphy and soil formation. They should be taught to recognize common prehistoric artifacts of the area, and to understand, in general, their functional, temporal, and cultural contexts. Where the identification of archeological sites of more recent periods is involved, surveyors should be given training similar to that appropriate for prehistoric archeology, but with special attention given to the recognition of artifacts, construction techniques, building styles, and other features specific to the periods under study. They should be taught to be alert to such features as filled-in basements, wells, and privies, which are often important sources of archeological data. An excellent handbook on the identification of prehistoric and historic archeological sites, oriented to the lay reader, is Arclieological Resources and Land Oevelopmen t by Paul Brace (see Bibliography). Where the arclieological value of standing structures is important to the survey, surveyors should be trained in the recognition of architectural features, contents of structures, and spatial relationships within structures Planning the Survey that may reveal aspects of their use, their history, and the social organization, economy, values, perceptions, and activities of their builders, residents, or users. Close interaction between archeological surveyors and historical researchers should be stressed, because historical study of the community and its environment is vital in allowing archeologists to focus their efforts in areas most likely to produce results, and because archeological discoveries in the field may suggest fruitful lines of historical inquiry. How much should a survey cost? Communities should draw up a detailed budget of survey expenses before undertaking any phase of the project. Some of the factors affecting the size of the budget-time, available funding, size of survey area, type and depth of information to be gathered-have already been discussed. Other factors, including salaries for personnel, administrative expenses, and publications, will be discussed in later chapters. Survey costs can be reduced by using large numbers of volunteers, by reducing the level of professional supervision, by eliminating publication of survey results, or by simply cutting the size of the survey area. Such cuts, however, can affect the quality of the data gathered and undermine the usefulness of the results. Professional advice and assistance from the State Historic Preservation Officer in the initial stages of the survey project can help a community draw up a budget that is both accurate and reasonable. Where can funding for surveys be obtained? Because of the usefulness of survey data to community planning, and because of the economic stimulus that the rehabilitation of historic buildings can provide a community, financing a survey may be a good investment for local government. A variety of Federal, State, and non-governmental programs provide funding assistance to survey projects, however. Many local governments allocate Community Development Block Grant funds to the conduct of surveys. Historic preservation grants-in-aid passed through by State Historic Preservation Officers to certified local government preservation programs or allocated directly to survey projects are also frequently used sources of assistance. Other Federal agencies from time to time make funding available to support surveys, often in the context of specific development projects. Some State governments provide financial assistance to survey efforts, either through the State Historic Preservation Officer or in connection with economic development and planning assistance programs. Funding for specific projects can often be obtained from such Federal granting agencies as the National Endowment for the Arts and the National Endowment for the Humanities. Support for particular projects and programs may also be obtainable from such nonFederal sources as the National Trust for Historic Preservation, the American Association for State and Local History, and private foundations that support research in the arts, humanities, and social sciences. The State Historic Preservation Officer will be able to provide current information on potential sources of Planning the Survey financial assistance. Other good sources of information include economic development officials in local and State governments, National Park Service Regional Offices, and grants and contracts offices in local colleges and universities. The following publications, which are updated regularly, may be helpful in locating sources of funds: Annual Register of Grant Support. Edited by Alvin Renetzsky and others. Orange, NJ: Academic Media. The Brown Book: A Directory of Preservation Infor mation. Prepared by the National Trust for Historic Preservation. Washington, DC: The Preservation Press. Catalog of Federal Domestic Assistance. Washington, DC: Government Printing Office. Federal Funding Guide. Arlington, VA: Government Information Service. Foundation Directory. Prepared by the Foundation Center. New York: Columbia University Press. A Guide to Federal Programs. Prepared by the National Trust for Historic Preservation. Washington, DC: The Preservation Press. National Directory of Arts Support by Private Foun dations. Washington, DC: Washington International Arts Letter. 27 Conducting the Survey Conducting a survey involves three sets of activities: archival research, field survey, and recording of information. Although archival research begins before fieldwork, and much information is recorded as the result of fieldwork, all three activities will normally be going on at once; those conducting them should interact and provide each other with advice and suggestions. Archival research will indicate what to look for and what to record, and fieldwork and recordation will identify information needs to be pursued in archival research. Survey leaders will be responsible for ensuring that all facets of the survey are effectively integrated. This chapter will discuss each of the major aspects of survey in tum, and will also present recommendations about such practical matters as how to equip a survey team. Archival Research Archival research-the study and organization of information on the history, prehistory, and historic resources of the community-is a vital part of the survey. It is on the basis of archival research that historic contexts are established and refined, providing basic direction to the field survey. Archival research makes it possible to predict where different kinds of historic resources will occur and what their characteristics may be. Archival research provides the information needed to place historic resources in their historical and cultural contexts, as a basis for evaluation. Archival research probably will have been carried on during survey planning, but in most cases it will be necessary to continue it during the survey operation itself, to follow up on issues identified during planning, to flesh out historic contexts, to explore new contexts, and to provide input to the field survey process as questions develop about specific areas and properties. How should archival research be organized? The mass of archival data relevant to the history of a community is likely to be voluminous, and can easily be overwhelming. It is vital to keep the archival research effort clearly focused on data relevant to the survey goals. The concept of historic context-that is an organizational framework of information based on theme, geographical area, and period of time-is recommended as the basis for organizing information pertinent to the research design and survey results. A survey may focus on a single or several historic contexts and may identify properties relating to a single, several, or many property types depending on the goals of the survey. Historic contexts may be based on the physical development and character, trends and major events, or important individuals and 28 • groups that occurred at various times in the history or prehistory of a community or other geographical unit. It is wise to develop a written research design at the outset, that establishes goals and directions for the research. In preparing the research design, survey leaders should consult the Secretary of tlie Interior's Standards and Guidelines concerning development of historic contexts, archival research, and historical documentation. Several major principles should be kept in mind: •Historical research and survey work already doneshould be incorporated into the new project and complemented, not duplicated unless there is a need tocheck its accuracy, refine it, or revise it. Conducting the Survey •The level of detail of archival research should bematched to the scale of the survey. (For example, ifthe survey is an initial reconnaissance of an entirecommunity, archival research should be orientedtoward the identification and description of generaltrends, groups, and events in the community'shistory, and their known or likely effects on the community's development. If the survey is an intensivestudy of a smaller area. archival study may be amuch more detailed effort to reconstruct the specifichistory of particular properties, areas, and groups ofpeople.)•The archival research effort should be focused, atleast initially, on developing and refining the historiccontexts established during survey planning.•The type of study should be matched to the goalsof the survey. (For example, if the survey is concernedexclusively with standing structures, there may be little need for archival research in prehistoric archeology.)•While encouraging focussed research, survey leadersshould be sure that the archival research project maintains sufficient flexibility to recognize and pursue newhistoric contexts that may be identified in the courseof the work.The research design should specify: •the geographic area(s) of concern;•the historic context(s) of concern;•research questions or issues to be addressed withrespect to each historic context;•previous research known to have been done onsuch issues;•the amount and kind of information expected to beneeded to address the historic context;•the types of sources to be used;•the types of methods to be used;•the types of personnel likely to be needed; and•where possible, expectations about what will belearned, or hypothetical answers to major researchquestions.With the research design in hand, it should be possible to make realistic decisions about assignment of staff, allocation of time and budget, and other practical organizational matters. As a rule, archival research should be organized into the following steps with reference to each historic context under investigation: 1.Assemble existing information, including both information about previous surveys and historicresources already identified, and more generalprimary and secondary data. as discussed below. It isConducting the Survey not necessary to ferret out every conceivable piece of available information before taking further steps, but beginning to assemble information into an organized whole, identifying sources and finding the relevant bodies of data in each, is the first general step in the archival research process. 2.Assess the reliability of the information as it isassembled, identifying possible biases and major gapsin data.3.Synthesize the information in usable form, withreference to the issues important to the historic context. Generally such issues will include the reconstruction of trends in the settlement and development ofthe area, the definition of cultural values that maygive significance to historic properties, the definitionof architectural, aesthetic, and artistic values that maybe embodied in such properties, and the pursuit ofresearch questions in the social and physical sciencesand the humanities.An understanding of the physical development of the community will provide researchers with a broad historical, architectural, archeological, and cultural context for research undertaken on particular properties. Evidence of the evolving plan and character of a community can be seen in the pattern of streets as laid out and modified, and in the location of transportation systems (canals, trolley lines, railroads, etc.), industries, institutions, commercial and residential areas, and reserved public spaces and parks. The kinds, size, and scale of buildings and structures, methods and materials of construction, and architectural forms and styles should be considered in defining the character of a community. The location of natural resources, soil types, availability of power and fuel, and accessibility to transportation systems were factors that frequently contributed to the siting and development of towns and cities. The development of agriculture, mining, or other activities that shaped the form of rural communities or small towns should be considered. Events significant in the community's history may be represented by the existence or location of particular buildings. Sites of events, such as commemorative occasions, famous battles, historical debates, theatrical performances, or political speeches, should be identified. Research should be done not only on properties associated with familiar figures-leading politicians, educators, and business persons-but also on groups or individuals important for their contribution to the arts, literature, philanthropy. agriculture, engineering, and other areas. Properties associated with the social, economic, and ethnic groups that have contributed to the community's history and cultural diversity should also be identified. It is of great importance to try to understand the general trends and patterns of social, economic, and cultural development that have 29 characterized each period of the community's past and its resident groups. Properties associated with ac tivities important to a community's development and perhaps distinctive character, such as ethnic settle ment, agriculture, transportation, mining, local government, education, county or local government, or maritime trade should be identified. Trends reflected in existing cultural properties may in clude emigration, population shifts, changing economic and labor systems, reform movements, status of minority groups, development of industrial and technical processes, and important religious developments. Research on individual properties in cludes such items as architect, engineer, and date and cost of construction. Depending on the intensity of the survey effort, researchers may attempt to consider reasons for the use or introduction of particular styles, materials, or methods of construction in specific properties. 4.Identify the types of historic property that may be associated with the historic context. For example, a given period may be characterized by the construction of particular kinds of buildings expressing particular architectural styles; a particular social or ethnic group important in the community's history may have organized its buildings and neighborhoods in par ticular ways; a particular cultural group in prehistory may have had certain kinds of villages, agricultural stations, and campsites that now are represented by different kinds of archeological sites. 5.Determine how each type of property is likely to be distributed within the community. Sometimes this is a simple matter: for example, historic port facilities will likely be close to the water, or it may be well documented that urban growth followed the develop ment of streetcar lines or streets. In other cases deter mining lilkely distributions may be more complicated; for example, predicting the distribution of prehistoric sites requires knowledge of the prehistoric natural en vironment, which may be hard to reconstruct, and at least general theoretical notions about how prehistoric peoples would have carried out their activities in that environment. Historic maps, atlases, and plats may assist in determining the likely distribution of historic properties, particularly where subsequent growth has altered the terrain, plan, or layout of a community or area. Areas in which particular kinds of historic resources are expected should be clearly identified and mapped, so that the expectations can be tested in the field. Often it will be useful to develop maps or map overlays showing locations where different kinds of historic properties are likely to occur, so that these can be easily checked on the ground. 6.Establish the likely current condition of the prop erty types. Were the buildings of one period or style built of stone and brick, while those of another were built of wood? ls this likely to have resulted in the 30 preservation of buildings of the first period and the loss of those of the second? Did the downtown burn at some point in the past, destroying all its commer cial buildings constructed before the date of the fire? ls it likely that archeological remains of these buildings are still in place? Were many older buildings in town covered with annodized aluminum during modernizations in the 1950s? What is the likelihood that their original architectural elements have survived under their new skins? Have some neighborhoods been well kept since their establishment? Have others suffered major deterioration, arson, or spot demoli tion? Have some areas, likely to contain prehistoric or more recent archeological sites, been covered with fill and low-density housing built on slabs, possibly preserving the archeological sites beneath? Have other such areas been the scenes of deep basement excava tion, probably destroying all archeological remains? Here, too, it is often useful to present such informa tion on maps or map overlays. 7.Identify information needs to be satisfied by fieldwork. What should be known about the historic context and its resources that can be found through the field survey? These needs should be used to guide the fieldwork. PREDICTIVE MAPS OF ARCHEOLOGICAL SITES Predictions of the general location of archeological sites may be among the most useful products of archival research, since such resources are often invisible from the surface of the ground in urbanized areas. Such predictions are often most conveniently presented in map form. For example, for a hypothetical example, general environmental data and information on prehistoric and early historic settlement patterns suggest that levees along the banks of streams are good places for prehistoric settlements to have existed, and early explorers' accounts indicate that a village did exist in such a location within what is now the community being studied. Later, according to the town's records, a hotel was built on the same general location, which became important in the town's early political development. The hotel survived into the early 20th century, when it burned along with other buildings in its vicinity; old news accounts indicate that its superstructure was demolished and pushed into its cellar. The site was levelled, and was unoccupied until the 1950s, when an office building, still in use, was constructed with a deep basement. A few years later, during channelization of the adjacent creek, newspaper accounts and a local amateur archeologist's notes report that Indian artifacts were found, tending to confirm both the early explorers' accounts and the predictions from environmental data about where Indian sites were likely to be. All this information can be combined to produce a map showing where it is mos't likely that the remains of the Indian village, possible other prehistoric sites, and the remnants of the hotel may be found underground. Conducting the Survey What sources of information should be consulted? Researchers should use both primary and secondary sources in compiling historical data for the survey. If a comprehensive survey is being planned, primary sources will be consulted frequently; surveys limited by time and money, however, will rely heavily on secondary sources. In either case, it is essential that the sources consulted be reliable and accurate. Primary, or original, sources include actual material that has been preserved from the period of interest: written or published documents and graphic material, as well as the artifacts themselves. For an in-depth survey, original sources will usually provide a more complete and accurate picture of the community's history than will secondary sources. Records of the community's physical development may be found in: •back issues of local newspapers and periodicals •family papers and records •accounts of travelers •early ethnographic accounts •church histories •industry and business records •records on publicly financed construction •school records •city and county commercial directories •census reports •telephone books •tax rolls •deeds and wills •interviews •keepsakes, letters, and personal diaries •ledgers, cancelled checks, and receipts Researchers should also be on the lookout for graphic material (plat maps and other historical maps, old photographs, bird's-eye views, and historical prints) which can provide information that corroborates or clarifies the results of field survey work. Old maps and insurance atlases, such as those published by the Sanborn Map Company, Inc., New York City, identify buildings existing at a certain time and document changes through subsequent printings. These can provide the field team with an initial list of sites and structures to be investigated. Old photographs may provide evidence of changes and additions and allow the field team to cross-check their own observations, questions, and deductions Conducting the Survey about particular properties. Aerial photographs can also be used in carrying out survey work, in establishing boundaries of an historic district, in pinpointing location and property lines of individual properties, and in analyzing the street patterns, openspace development, and growth of the area. Historic drawings can be a good source of information about the appearance of properties and areas at a particular point in time. Magnolia Ranch, Cowley County, Kansas. (drawing from Everts Atlas of Kansas, 1887, Kansas State Historical Society) The Agricultural Stabilizing and Conservation Service (ASCS) of the U.S. Department of Agriculture has been taking aerial photos of approximately 80% of the country regularly since 1940; areas are rephotographed every 6-8 years. Photos are usually available for viewing at local ASCS offices, which can also provide ordering information. The National Ar chives in Washington, DC, has converted much early aerial photographic coverage of the Nation to modern chemically stable film and archived it for viewing. The National Aeronautics and Space Administration and National Oceanic and Atmospheric Administration maintain files of more recent aerial photographs and satellite imagery. The latter, usually available in forms suitable for computer enhancement and manipulation, can be particularly useful in identifying soil contexts and environmental indicators that may suggest the presense of archeological sites. For information on the use and availability of such remote sensing data, consult the State Historic Preservation Officer or the Regional Office of the National Park Service. Where subsurface archeological resources are involved, a different kind of primary data may be important as a supplement to the sources discussed above. Primary archival information relevant to subsurface archeological sites may not actually have been produced during the period of interest (for prehistoric periods, by definition it could not have been). Instead such information has usually been produced during 31 more recent periods, but can be used to reconstruct important characteristics of the period under study and its resources. Often useful information sources in clude: •Local soil maps, often available from the U.S. Department of Agriculture, Soil Conservation Service, through local Soil Conservation Districts or planning departments, which can be used to identify characteristics of the prehistoric and early historic natural environment (e.g. marshes indicated by poorly drained clay soils) and likely prehistoric site locations (e.g. well-drained soils near old watercourses where prehistoric agriculturalists might have had their villages and fields). •Ethnographic studies of local Indian groups. •Reports and fieldnotes of earlier professional and amateur archeologists. •Aerial and satellite imagery that may reveal other wise invisible aspects of the prehistoric or historic natural environment and such early human modifica tions of the land as roads, trails, fields, and irrigation systems. •Old newspaper accounts of artifact finds during construction, basement excavation, and land levelling. •Construction records of land filling and basement 32 excavation, which can identify areas where subsurface resources are likely either to have been preserved (by being filled over) or destroyed (by being excavated). Secondary sources are those written by individuals who have studied and interpreted the available original sources. They generally provide a broad over view of the community's history but represent a later interpretation rather than a contemporary record of events or reflection of the spirit of the times. Valuable sources include the following: The ongoing statewide survey of historic resources significant in American history, architecture, engineer ing, archeology, and culture at the national, State, and local levels. This and additional State survey data are available from the appropriate State Historic Preservation Officer. The historic preservation plan developed and main tained by the State Historic Preservation Officer, which often includes established historic contexts (sometimes called study units) with extensive organ ized and synthesized background data. Inventories that may be maintained by the local or State offices of the Bureau of Land Management or the Forest Service, or by regional planning bodies or such State agencies as the State coastal zone manage- SPECIALIZED RESEARCH ASSISTANCE The organizations listed on page 19 as possible sources of information on professional consultants can often also provide information on sources of information concerning their areas of interest. In addition, the following societies and associations may be able to provide assistance in researching particular aspects of the survey area: American Folklore Society, 1703 New Hampshire Avenue, NW, Washington, DC 20009 (oral history sources and methods, vernacular architecture, etc.). American Society of Civil Engineers (ASCE), 345 East 47th Street, New York, NY 10017 (civil engineering works). American Society of Mechanical Engineers, 345 East 47th Street, New York, NY 10017 (industrial features). Center for Historic Houses, National Trust for Historic Preservation, 1785 Massachusetts Avenue, NW, Washington, DC 20036 (residential buildings). Council of American Maritime Museums, c/o The Mariners' Museum, Museum Drive, Newport News, VA 23606 (ships, harbor facilities). Council on America's Military Past (CAMP), P.O. Box 1151, Fort Myer, VA 22211 (military posts, battlefields, etc.) Friends of Cast-Iron Architecture, 235 East 87th Street, Room 6C, New York, NY 10028 (cast-iron architecture). Friends of Terra Cotta, P.O. Box 42193, Main Post Office, San Francisco, CA 94142 (terra cotta architecture). League of Historic American Theaters, 1600 H Street, NW, Washington, DC 20036 (theaters). National Association for Olmsted Parks, 175 Fifth Avenue, New York, NY 10011 (landscape architecture by Frederick Law Olmsted and his associates). National Society for the Preservation of Covered Bridges, 63 Fairview Avenue, South Peabody, MA 01960 (covered bridges). Oral History Association, North Texas State University, P.O. Box 13734, NT Station, Denton, TX 76203 (oral history sources and methods). Pioneer America Society, Inc., c/o Department of Geography, University of Akron, Akron, OH 44325 (early American architecture). Public Works Historical Society, 1313 East 60th Street, Chicago, IL 60637 (public works projects). Railroad Station Historical Society, 430 Ivy Avenue, Crete, NE 68333 (railroad stations and related (acilities). Society for Applied Anthropology, 1001 Connecticut Avenue, NW, Suite 800, Washington, DC 20036 (oral history and ethnographic sources and methods). Victorian Society in America, 219 East Sixth Street, Philadelphia, PA 19106 (Victorian architecture). Conducting the Survey ment agency or environmental protection agency. These bodies of data can often be accessed by com puter, and sometimes have been used by the agencies that maintain them to produce "predictive models" -that is, predictions about the likely distribu tions of archeological sites and other historic proper ties. Local, regional, or State histories: monographs, pam phlets, or other material prepared by local or State historical societies or other groups concerned with particular aspects of State or local history (geneological societies, e.g., although researchers should be aware that the concerns of geneologists may not be directly related to the issue of establishing the significance of resources). The records of the National Register of Historic Places, Historic American Buildings Survey (HABS), and Historic American Engineering Record (HAER), are available for review through the National Park Service or the Library of Congress. The American Guide Series (WPA), compiled and written by the Federal Writers' Project of the Works Progress Administration, is one of the basic sources of information on communities, regions, and States. Originally published some 45 years ago, these guides contain detailed histories of their respective States, descriptions of their resources and industries, and selected points of interest for each community. A number of these guides have been reprinted within re cent years and may provide useful background material for those beginning survey work within a community. Often, State, county, or city libraries have retained the survey forms and research files which formed the basis for these guides. The Human Relations Area Files (HRAF) provide abstracted and excerpted information on aboriginal societies, including American Indian groups, together with extensive bibliographic material. Many univer sities maintain copies of those portions of the HRAF that are pertinent to their research and teaching in an thropology and sociology. Inquiries at the an thropology department of local universities should reveal whether the HRAF or other ethnographic documents are available. Anthropological and sociological works that provide theoretical models of prehistoric and historic social systems, economic systems, and settlement systems, on a regional, national, or worldwide context, that may be relevant to the historical contexts of the com munity. Dissertations, theses, and other research papers on the history and prehistory of the area, available in college and university departments of history, anthropology, and archeology. Reports of oral history projects carried out by local universities, colleges, secondary schools, and com munity organizations. General works on the geology, geomorphology, ecology, environment, and land-use history of the region, which may help researchers understand natural constraints on, and results of, trends in the use of land and other resources in and around the community. Where may primary and secondary information be found? Libraries offer a rich source of information on local places and events and should be the starting point in undertaking historical research in a community. Libraries in larger towns and cities often house special collections relating to the history and development of the community, and local newspapers and journals provide valuable insights into personalities and events shaping the community"s physical environment. In ad dition, old newspapers and directories provide infor mation about building materials, architects, and con tractors; they may also list building permits or con tain articles relevant to particular buildings. Archives or public records at the local county court house or town hall usually provide census reports; abstracts and title deeds; surveyors' notes; probate records, which include items such as bills of sale, debtors' notes, wills, and household inventories; and tax records showing property improvements such as major additions or the actual construction of the house on taxed property. Land records, such as plat Conducting the Survey maps, are also available from most county court houses. Universities and colleges are also good places to undertake research. University libraries often contain special collections or archival material not available in local libraries; faculty members in history, an thropology, and architecture departments may be able to direct researchers to other available sources, such as unpublished research papers and reports. Some State universities have collections that deal specifically with State history. Others have special research units that archive information on local historic or prehistoric archeology. Museums usually have libraries and archives, and employ staff familiar with undertaking research. Local museums often collect regional artifacts-furniture, housewares, hardware-that can provide insights into their manufacture and owners, in short, the social history of the community. Some museums maintain significant collections of documented artifacts and 33 records concerning the archeology of the community or the region. State and local historical societies are often important sources of information. Often such organizations are not particularly oriented toward historic preservation as such, but specialize in the collection and study of documents about local or regional history, and sometimes undertake oral history projects and other special studies. Some have distinguished publication programs; others maintain archives. Whatever their size, scope, and particular interest, they are likely to have gathered information that will be useful to the survey effort. Local historic preservation or landmark commissions have increased greatly in number in the last decade. While such commissions are largely a phenomenon of the post-World War II years, a few date back to the nineteenth century. These organizations range from those supporting individual buildings to those operating and maintaining several-or an entire group-of historic structures, to those officially responsible on behalf of local government for historic preservation in the entire community. A number of commissions have undertaken their own surveys, and many maintain ongoing records of a community's growth. State, regional, and local archeological societies often maintain files, notes, and libraries of information on archeological sites, excavations, and analyses. These are useful not only for determining the locations of potentially important properties, but also for gaining insights into locally important research questions and the nature of prior study in the area. The State Historic Preservation Officer should be able to provide the names and addresses of such organizations. These groups often limit access to their data in order to prevent it from falling into the hands of vandals and collectors; this concern should obviously be respected. State and National Parks in the vicinity of the community may have archives of historical information, particularly if the interpretation of historic resources is among their purposes. Even if park personnel have not intentionally set out to collect such information, it is often donated to the park, and may deal with historical events and resources far beyond the park's boundaries. The National Archives in Washington, DC, and in several regional respositories contain vast bodies of information developed or collected by Federal agencies over the years. The Archives may be particularly important to a local survey if the survey deals with Federal land or land formerly controlled by a Federal 34 agency, or land in which the Federal government has been indirectly involved (for example, through soil conservation or housing programs). The Library of Congress houses the records collected by the Historic American Buildings Survey and Historic American Engineering Record (HABS/ HAER). These are maintained by a program called Cooperative Preservation of Architectural Records (COPAR), at the Library of Congress in Washington, DC, and in regional repositories at Cambridge, MA, New York, NY, and San Francisco, CA. The Library of Congress also houses a tremendous collection of published and manuscript historical documents, and is the home of the American Folklife Center, which collects, studies, and archives documents, tapes, photos, videotapes, films, and other material on oral history, folk arts, folk crafts, vernacular architecture and industrial activities, and ethnography. The National Cartographic Information Center (U.S. Geological Survey, Department of the Interior, Reston, VA 22091) is a good source of information on maps and other bodies of cartographic data. Federal agencies may have useful information; for example, the U.S. Army Corps of Engineers may have information on local coastal environments and civil works projects that have been conducted along the coast or rivers in the past. Local military bases often have archives that contain information on the communities near which they lie. Local and State offices of the Forest Service and the Bureau of Land Management may have inventories of archeological sites and other historic properties in the area, and may have prepared predictive maps of their distribution that can be helpful to communities in the vicinity. The Soil Conservation Service and local Soil Conservation District offices are good sources of maps and reports on local soils and other aspects of the environment that may be useful in archeological survey. Planning and development offices of local government or regional intergovernmental organizations can provide useful maps and reports on local demography, economics, and environmental matters. Noninstitutional sources. Local industries and businesses may have records or histories of their operations, and local newspapers may have clippings or photograph files; these may be helpful to historians in tracing a community's commercial development. Neighborhood organizations may maintain archival data on the history of the neighborhood and its residents. Local residents themselves, especially those whose families have lived in the area for several generations, may keep family records and early photographs that could be useful in research. Conducting the Survey Conducting Field Survey As discussed in Chapter 1, field survey is usually divided into two types: reconnaissance and intensive survey. Sometimes both types are conducted as related parts of the same survey project; in other cases, reconnaissance is used to plan and focus later intensive survey. For some planning purposes, reconnaissance may be all that is needed. In this section we will first discuss how to conduct a reconnaissance, then how to conduct an intensive survey. How is a reconnaissance of above-ground resources carried out? Assuming that the pattern of streets and roads in the community has remained fairly stable through timepehaps expanding, but with relatively few rights-ofway being abandoned-it can reasonably be expected that most older buildings will be visible from modern streets and roads. As a result, the windshield survey is a common method of reconnaissance when historic buildings and structures are the subjects of interest. A windshield survey can also be efficient in the identification and initial description of historic districts made up of buildings, structures, and landscapes, and in the identification of major landscape features such as parks, roadways, and areas where distinctive landuse patterns have shaped the surface of the land. In a windshield survey, surveyors literally drive the streets and roads of the community and make notes on the buildings, structures, and landscape characteristics they see, and on the general character of the areas through \Vhich they drive. Closer inspections are made on foot as needed, but the basic purpose of the reconnaissance is not to gain detailed information on particular structures or sites, but to get a general picture of the distribution of different types and styles, and of the character of different neighborhoods. Records taken on individual structures are usually abbreviated, but more detailed information may be collected on the general organization of the area being surveyed-its streetscapes, the general character of its housing stock or commercial buildings, representative buildings and structures, the layout of its spaces in general, the social, economic, and ethnic makeup of its residents. A good photographic record should be kept of the reconnaissance, with the subject of each roll and frame clearly identified. Audio and video recorders may be used to obtain rapidly general records of the area and its resources; where such media are used, it is important to keep careful records indicating which segments of which tapes apply to which areas. Windshield survey is most effectively carried out by teams of two to three persons, one of whom concentrates on driving and covering the entire survey area efficiently. At least one other team member should be thoroughly familiar with local architectural styles; where nonprofessionals are used, training in local ar- Conducting the Survey chitectural styles may be supplemented by use of a reference guide showing different styles and their characteristic elements. It will also be helpful to the reconnaissance if at least one member of the team is a resident of the area being inspected, or is otherwise personally familiar with its layout and social characteristics. Windshield survey creates an unavoidable bias toward observing those buildings and structures visible through the windshield-that is, those facing the street. This bias should be kept in mind at all times, and the team should be alert to opportunities to note outbuildings and other structures that may ordinarily be masked from the street. Evidence of changes in the historic street and road pattern should also be looked for, both in archival research and in the field, since such changes may result in the isolation and masking of buildings that once were visible from rights-of-way. Where the survey area is large, it may be appropriate to conduct a sample windshield reconnaissance. In this kind of reconnaissance, sample blocks, streets, or other units are selected that are thought likely to be representative of entire subareas of the survey area-residential neighborhoods or particular commercial areas, for example. These samples are then inspected using standard windshield survey methods, and used as the basis for generalizing about the resources of the various subareas. Care should be taken in selecting samples, to ensure that they are objectively chosen and likely to be truly representative. It may be helpful to consult with sociologists or others who have conducted surveys of other kinds in the area, and to apply their techniques or to use the survey units that they have selected. It may also be helpful to consult the extensive literature on sampling in such fields as human geography and archeology, examples of which are included in the bibliography. One of the important functions of a reconnaissance is to identify the boundaries of areas that may become the objects of intensive survey-perhaps potential historic districts, perhaps portions of the community having distinctive architectural, planning, or cultural characteristics. Such boundaries should be clearly mapped by the reconnaissance teams, and the basis for recognizing eacli boundary should be specified. 35 For each area subjected to windshield reconnaissance, the notes resulting from the reconnaissance should document: •the kinds of properties looked for; •the boundaries of the area inspected; •the methods used in inspecting the area. including notes as to any areas given special attention and any areas given less attention or not inspected at all; •the general street plan of the area, and general observations on the area's visual, cultural, economic. and social characteristics; •the general character of the area's architectural en- vironment, with illustrations of representative buildings and structures. streetscapes, landscapes, and other relevant features; •the kinds of historic buildings and structures observed. and data on any particular buildings and structures recorded in detail; •the tentative boundaries of historic districts, and the known or likely locations of specific historic buildings, structures. sites, and objects; and •the locations of any areas that appear not to con tain any historic buildings or structures. How is a reconnaissance for archeological sites carried out? Where land is relatively built up, as is the case in most communities undertaking historic resources surveys, both prehistoric and early historic ar cheological sites are likely to be more or less invisible, buried under modern, created land surfaces and struc tures. As a result, archival research is especially im portant to the conduct of an archeological recon naissance; quite often, the reconnaissance consists of nothing more than field-checking predictions made on the basis of archival research. The first step in an archeological reconnaissance, then, is to develop predictions about where ar cheological sites are likely to be found. Such predic tions are developed based on the following kinds of information, developed through archival research: 1.Information on prehistoric and early historic en vironments. By reconstructing the pre-modern natural environment. archeologists can develop a basis for predicting where earlier people could and could not have lived and worked. For instance. if much of a city is built on reclaimed land that once was a lake, the likelihood of prehistoric archeological sites in the reclaimed areas will be very low, but the probability of such sites on peninsulas protruding into the lake or along the ancient shoreline may be quite high. Infor mation on early environments may be obtained from the accounts of early explorers or settlers, from previous archeological studies of the area, and through the analysis of soil maps that often are available from the Soil Conservation Service. For coastal communities, the U.S. Army Corps of Engineers often has detailed maps showing previous shoreline environments. 2.Data on prehistoric settlement patterns. If data are available on the ways in which earlier populations were distributed over the land, projections can be made about how the archeological sites they created will be distributed. Data may be found in ethnographic accounts, early historical documents. 36 and previous archeological studies. Care must be taken in making predictions on the basis of such data, however, because they are often incomplete, biased, or reflective of only one time period or social group among many. It is particularly dangerous to make predictions based on extant archeological information. Most archeological surveys conducted before about 1965, and many conducted thereafter, were designed not to record all archeological sites in the area being studied. but only to find convenient sites to excavate. Predicting from such data alone typically makes it ap pear that archeological sites are most often found along roads and close to parking areas. 3.Data on local history and land use. The history of the community should indicate what groups of people arrived at different times, where they lived, what sorts of activities they engaged in. and so on. Old maps will often make it possible to pinpoint particular vanished buildings, structures, and areas of popula tion concentration. Compilations of local historical data may be biased, quite often emphasizing the history of leading citizens, the rich, and the powerful. Data on the less prominent social groups that con tributed to the mosaic of the community's history may be harder to find. Detailed study of historic ac counts, particularly old newspapers, journals, and other primary sources. and direct interviews with descendants of the groups in question may be necessary. Close coordination between archeologists and those carrying out any oral history component of the survey may be appropriate. 4.The history of land development and construction in the area. Where a particular area has been iden tified as the likely location of prehistoric or early historic activities or structures, information on the kinds of land development and construction that have taken place there will help archeologists determine the likelihood that evidence of them has survived in the form of archeological sites. Areas that have been covered only with relatively low-density housing, Conducting the Sun.,ey especially without basements, are likely to contain the archeological remains of previous activities that occurred there, buried beneath fill and foundation slabs. Conversely, areas that have seen extensive basement excavation or other forms of major land disruption are less likely to retain intact archeological remains. 5.Information on previous archeological discoveries.In some communities, professional or avocational archeologists were on the scene before developmenttook place, and recorded archeological sites that maynow have disappeared under fill and structures.Discoveries of archeological material during construction, pipeline laying, and other development activitiesmay be reported in newspapers. While the particularartifacts or other material discovered will have beenremoved from the ground, the fact that it was theremay indicate that other material still exists nearby.Areas predicted to contain archeological sites based on such information should be identified on maps and inspected. The ground surface should be closely examined to the maximum extent possible, and any locations where subsurface conditions may be exposed (road cuts, ditches, etc.) should be inspected. It may be appropriate to interview local residents or workers to find out if they have discovered artifacts. In most cases, some kind of subsurface testing will be necessary. In a reconnaissance, this will usually involve the use of powered or hand-driven augers or other probes, or the excavation of backhoe trenches. In some cases, test-pits excavated using hand tools will be feasible, though this is often not cost-effective where the surface has been compacted or filled with construction rubble. Sometimes ground-penetrating radar, magnetometers, and other remote sensing devices can be used to good effect. Under non-urban or suburban conditions, reconnaissance fieldwork can be more general and inclusive. The same kind of background data should be collected as under urban conditions, and the same kinds of predictions attempted; these predictions will give the field teams a clear idea of what to look for. In the field, reconnaissance generally involves one of two approaches, depending on the size of the area being inspected. For relatively small areas, a reconnaissance may involve a simple inspection of the ground surface and any locations where subsurface conditions may be exposed (cut banks, etc.), to identify easily visible archeological remains and locations where more work may be necessary to determine what exists at depth (e.g., areas where the ground sur- face is heavily obscured or buried), Where larger areas are involved, a sampling approach is often used. Sample blocks (often called quadrats) or transects are selected using a strategy designed to ensure th;it they are representative of the area as a whole. These are then subjected to intensive survey as discussed below. From the results of the intensive survey and archival research, generalizations are made about the likely distribution of archeological sites in the survey area as a whole. There is extensive literature on the use of sampling in archeological survey; for a summary designed for use by non-archeologists, see the National Park Service publication, The Archeological Survey: Methods and Uses. At the reconnaissance level of survey, the data obtained may be sufficie:1t only to determine, within reason, whether archeological sites in fact do exist within the area studied, and to determine their approximate locations, boundaries, and depth. More intensive study will often be needed to determine to what extent they retain integrity and to define their internal organization; in most cases, this kind of information will be vital to determining their significance. The reconnaissance data, including a full description of the background research, its results, and the methods employed in fieldwork, should be fully documented as a part of the survey. At least the following items should be covered in the reconnaissance documentation: •the kinds of properties looked for, with the archivalor other basis for their definition and recognition;•the boundaries of the area(s) inspected;•the methods used, including identification of anyareas inspected more or less thoroughly than others,and of any areas where special techniques to identifysubsurface features were employed;•the general character of the area's archeologicalresources, if any, as indicated by the results of thereconnaissance;•specific information on any sites recorded in detail;and•identification of any areas where, based on the archival research and field reconnaissance, it is concluded that no archeological sites will be found, witha discussion of the reasons for reaching this conclusion in each case. How is an intensive survey for above-ground resources carried out? In an intensive survey, the goal is to document all historic buildings, structures, sites, objects, and potential districts in sufficient detail to permit their evaluation and registration in the National Register of Conducting the Survey Historic Places or a State or local equivalent. As a result, intensive survey involves the inspection of every such property in the area being studied. Only properties that can be clearly identified, on the basis 37 of established criteria, as nonhistoric are not subjected to study. Where a historic district is being considered, it is important to note even nonhistoric properties as non-contributing elements. Historic significance is not usually apparent from visual inspection, as architectural significance often is. Historic research revealed that this small ranch in Horse Creek, Wyoming, is an exceptional representative example of small ranches that developed in response to the burgeoning agriculture of the county. Additionally, it is directly associated with the cattle ranching frontier. (Rick Allessandro) As with reconnaissance, it is vital that intensive suvey fieldwork be preceded and accompanied by archival research. As the survey progresses, archival researchers and field surveyors should continue to interact closely. It is usually necessary to divide the survey area into manageable units, such as groups of city blocks or defined neighborhoods, and either to survey these one by one or to assign a team to each. The survey team should consist of appropriately trained and supervised workers, with the equipment necessary to prepare complete records (see section on equipment, below). The survey should be carried out essentially on foot; all major buildings and structures, and all outbuildings and other ancillary structures and objects should be inspected. Interiors should be inspected whenever possible to identify significant features. Where cultural landscapes are involved, these should be carefully described and mapped. Normally, the survey will focus on the architectural or landscaped qualities of the properties involved, and will involve the description of each building or structure, each element of the cultural landscape, and, where applicable, each district or object, with reference to standard architectural and landscape architectural terminology. Even though the significance of a building or structure may lie in its association with historical events or people, it is important that it be described accurately in terms of the building style it represents, its mode of construction, and its architectural features. Naturally, however, where archival research suggests that properties may be important for their association with historical events, 38 trends, groups, or individuals, special attention should be given to aspects of each property that may reflect this association. Similarly, where a property may have special cultural value to a social or ethnic group (e.g., a traditional ethnic neighborhood), its description should emphasize any aspects of the property that reflect its value to the group. Surveyors should be alert to the archeological value of buildings and structures-that is, the information they contain. To an archeologist, a building or structure is a complex artifact, created and used by people for activities that reflect their social, cultural, and economic needs and interests. The construction and organization of the building or structure, its modification through time, and the evidence of activities that occurred in it may all be important. For example, the way a house is constructed may reveal things about the builder's perceptions of how space should be organized. Modifications of the floor plan during the life of the house may reveal how occupants at different times wished to organize their life-space in response to changes in social conditions, population size, economic status, technology (e.g., the introduction of electricity), and so on. The things left in and around the house by its past occupants-furniture, papers, wallpaper, graffiti-may reveal facets of their daily lives, interests, preferences, and beliefs. Not only may the things themselves contain such information but also their organization within the house may indicate things about the occupants' view of themselves and their world. The ways in which we organize and fill our living spaces can reveal a great deal about how we view ourselves and wish to be viewed by others. John Collier (see Bibliography) discusses methods used by anthropologists to record and analyze the ways in which living people organize their life-space and work-space. The same general methods can be applied to abandoned spaces, but the Conducting the Survey photographic methods used by anthropologists can be supplemented with measured drawings, maps, and plans. The importance of this information must then be evaluated within the broader context of our understanding of such cultural patterns and the existence of written documentary evidence. The intensive survey should result in a detailed report form on each property, accompanied by appropriate photographs, drawings, and other documentation (see section on records, below). Together with the results of archival research, these become the basis for evaluation and development of an inventory. The survey data produced by an intensive survey should also include basic categories of information similar to those collected during reconnaissance-specifying the kinds of properties sought, the boundaries of the area(s) surveyed, the methods employed, the locations and boundaries of identified properties, and the locations and boundaries of areas found to be devoid of historic properties. How is an intensive survey for archeological sites carried out? Archeological remains can sometimes be discovered without excava tion. Ground-penetrating radar is one example of a method to iden tify buried features. The radar unit is towed along the ground sur face (photo 1), sending radar waves into the ground where they bounce back from features such as walls, fire pits, and concentrations of pottery. The received signals are translated by the unit into a series of graphs (photo 2), which can be used to guide excavation (photo 3). Ground-penetrating radar is highly sensitive to ground moisture conditions and other factors, and thus is not always reliable. But, under proper conditions, it can be a good and costeffective way to explore possible archeological resources without digging. (Michael Roberts and Institute for Conservation Archaeology, Harvard University, for the Arizona State Museum and the Bureau of Reclamation) An intensive archeological survey is preceded by the same kind of archival research discussed above with reference to reconnaissance, but the research may be more detailed and involve a greater variety of sources. In the field, in a built-up urban situation, the intensive survey like the reconnaissance is focused on locations where archival research suggests the possibility that archeological sites will be preserved, but the effort to find and characterize them is more detailed. The extent to which excavations can be conducted will, of course, be determined by the distribution of buildings, streets, utilities, and other modern features overyling the area of interest, but the general intent of the fieldwork is not only to determine whether archeological sites do in fact exist but to learn enough about their internal characteristics and integrity to permit their evaluation. Care should be taken not to let excavation get so extensive that it seriously disrupts the archeological site being studied. The purpose of excavation during a survey is to obtain enough information to allow the site's significance to be evaluated, not to recover all the data it contains. In some cases it is legitimate to fully recover the data a site contains as soon as it is discovered, but such cases are not the norm. In a nonurban or suburban situation, intensive survey generally involves detailed inspection of the entire survey area. Unless there is a very good reason for believing that nothing of archeological importance could exist in a given area (e.g., records have been found demonstrating that the area has been completely bulldozed, or has been underwater until recently), all exposed land surfaces are carefully and systematically inspected under professional archeological supervision. Team members, trained to identify things that might indicate the presence of an archeological site in the area, are deployed in such a way as to insure inspection of all land surfaces. Typically, team members lined up 5 to 15 meters apart (the distance depending on visibility) walk over the land scanning the surface. If the surface is obscured by vegetation, special techniques must be Conducting the Survey 39 used. The most common technique is shoc1el-testing, in which small holes are dug by each team member at regular intervals, and the contents inspected for artifacts, flakes of stone, bone, or other material that might indicate the presence of an archeological site. Power augers, backhoes, and other mechanized equipment are used in some instances. If the surface is obscured by leaves or other light cover, this may be effectively removed over large areas by raking or scraping. If the surface has been previously plowed, but is now fallow and covered with vegetation, replowing may improve visibility while doing minimal damage to any sites that may occur there. Plowing or other substantially disturbing techniques should not be used on previously undisturbed surfaces. When seeking sites that are likely to contain metal, metal detectors may be helpful, and more sensitive magnetometers can detect nonmetallic subsurface anomalies. Aerial survey, using fixed-wing aircraft, helicopters, satellite imagery, or air photos, may be helpful for detecting features that are difficult to spot on the ground. Records should be kept of the areas surveyed, the methods employed in survey, and any factors that may have affected the resulting observations. All sites or other historic properties observed should be recorded on standard forms. (See section on forms below.) A final report should be prepared to document the kinds of properties sought, with the archival or other basis for defining and recognizing them, the methods used in archival research and fieldwork, the boundaries of the area(s) surveyed, the nature of the survey coverage, any factors that might influence the validity of the results, all properties recorded, their locations, descriptions, and probable archeological significance, and the locations and boundaries of any areas determined to be devoid of archeological sites, specifying the basis for each such determination. The exact methods to be employed in any particular archeological survey, the exact techniques appropriate in the field, and the kinds of reports required, will vary with local circumstances and needs. The State Historic Preservation Officer should be consulted for advice and assistance, and the results of the survey should be made available for incorporation into the State historic preservation plan. For further information on archeological surveys, with special emphasis on nonurban situations, see The Archeological Survey: Methods and Uses (see Bibliography). How can oral history or ethnography contribute to the survey? Much of a community's or neighborhood's history may not be on record anywhere, but may be richly represented in the memories of its people, and its cultural and aesthetic values may be best represented in their thoughts, expressions, and ways of life. For this reason, it is often important to include an oral historical or ethnographic component in the survey. Both fields of study are based substantially on interviews with knowledgeable citizens: oral history focusses on straightforward recordation of their recollections, while ethnography is more concerned with contemporary cultural values, perceptions, and ways of life. Oral historical and ethnographic research must be planned and carried out with the full knowledge and cooperation of community and neighborhood leaders and with sensitivity to their cultural backgrounds, values, and modes of expression. Local college oral history, anthropology, and sociology programs may be of assistance in this aspect of the survey project. The American Folklore Society. the Oral History Association, and the Society for Applied Anthropology (See p. 19) are good sources of general information on oral history and ethnographic techniques. 40 An oral history project or an ethnographic study may be as complex and time consuming as the rest of the historic resources survey itself, and specialists in oral history or ethnography may have interests that, while worthwhile in themselves, are not directly pertinent to the survey. It is important to structure this component of the survey to ensure that the information gathered OVERVIEWS Governments responsible for relatively large land areas (large cities, counties, regions) may wish to consider preparing overviews before committing themselves to more detailed, focussed surveys. An overview is a document based on archival research alone, sometimes accompanied by very small-scale reconnaissance, that summarizes the history and prehistory of the area, analyzes the results of previous survey work and reaches conclusions about its quality, and seeks to make general predictions about which portions of the total study area are likely to contain different types of historic resources. These predictions can be used in general land-use planning, and can be tested and refined through further survey. Overviews can be extremely useful in the development of regional plans, in the early planning of land-use projects, in developing zoning and open-space plans, in planning for the long-range acquisition of parklands, and in making decisions on where to direct intensive survey efforts. Conducting the Survey is as relevant as possible to the survey's goals, and to make sure that the gathering of oral data does not overwhelm the rest of the survey effort. Typically, oral historical or ethnographic researchers meet at regular intervals with members of the community, individually or in groups, to discuss the history and other cultural aspects of those parts of the survey area currently being studied or soon to be studied in the field. It is also often useful to drive or walk through the survey area with knowledgeable residents of the community to obtain their comments on specific properties and areas. Unless informants object, sessions should usually be tape-recorded so that written descriptions can be transcribed and correlated with other survey information. In order to ensure accuracy of the transcripts, and to respect the confidentiality of informants, those interviewed should be given the opportunity to edit tapes or transcripts. To ensure maximum accuracy, verification of informants' accounts should be sought through interviews with multiple individuals and members of different groups, and through comparison with documentary and field survey data. What kinds of data will be needed to evaluate historic resources? Where a decision has been made to conduct an intensive survey, the Department of the Interior recommends that every effort be made to compile the kinds of information described in National Register Bulletin No. 16, Guidelines for Comµleti11g National Register Forms. Ideally, such information should be organized and recorded in a manner that is compatible with the National Register Information System (NRIS) and the data processing system used by the State Historic Preservation Officer. The State Historic Preservation Officer should be consulted about what kinds of information to record. If nomination to the National Register is one of the survey goals, it is advisable to review the documentation requirements for nominations or requests for determinations of eligibility at the beginning of the survey, to make certain that all necessary information is collected in a form that can readily be transferred to National Register forms at a later date. An outline of the information required by the National Register is provided on page 46, and lists of the data categories used in the National Register Information System are provided in Appendix VI. The following kinds of information recorded on each property identified should provide an adequate data base for making accurate decisions about the property's significance. 1.Resource Name This is the primary name by which the resource is known. The historic name is most often used in indexing and filing as it will continue to be meaningful regardless of changes in occupancy or use. The historic name may refer to the original owner or builder; significant persons or events associated with the property; original or later significant uses of the property; innovative or unusual characteristics of the property; or accepted professional, scientific, technical, or traditional names. Archeological sites, if their historic names (for example, the name of an Indian village recorded in the Conducting the Survey ethnographic literature) are not known, are generally named for the nearby geographic feature, an aspect of cultural significance, their locations, or their owners. 2. Other Name/Site NumberThis may be a common name or other secondary name used to refer to the property, or a number or number-letter code assigned to the property. The common name is the name by which the property is currently known. Most States have a site numbering system whose use will facilitate integration with State survey data. 3. Address/ LocationWhere a property has a street address, this should be recorded. If a road has a route number rather than a name, indicate whether it is a State, county, or Federal road. If the property does not have a street address, identify the location by recording the names of the nearest roads or, if there are no nearby roads, by referring to the Universal Transverse Mercator Grid System. (See item 11, Geographical Data.) Township, range and section, or description of the property's relationship to nearby roads or natural features may also be used to indicate location. Where a property is large, for example in the case of an archeological site or historic district, the rough boundaries of the property should be described or an inclusive list of street addresses given. If locational information should be restricted-that is, if access to it should be permitted only to specified users-this should be noted. Restricting access is appropriate (and permitted by Federal law) where revealing the location of a property to the public could result in vandalism or despoilation. Access to information on the locations of archeological sites is often restricted because of the danger that vandals and artifact collectors could destroy or damage the site searching for artifacts. 41 5. OwnerIt is advisable to record both the category of ownership (i.e., Federal government, State government, local government, private) and the name(s) and address(es) of the actual owner(s). 6. Resource TypeThe resource should be classified as to whether it is a site, building, structure, object, historic district, or part of a historic district; National Register definitions of resource categories may be found in the Introduction. If a property consisting of more than one resource is documented on a survey form, such as a farmhouse and outbuildings, the number of elements of each resource type should be noted (e.g., 2 buildings and 3 structures). 7.Location of Legal DescriptionThe location of the legal description of the property, which is usually filed with the land records in the county courthouse or local planning and zoning commission or surveyor's office, may be used to trace chain of title, and is sometimes useful in legal actions involving the property. 8.Representation in Existing Surveys It is useful to note whether the property is included in the State Historic Preservation Officer's statewide survey of historic properties; in inventories compiled by Federal agencies of properties under their jurisdiction or control, or in the environmental impact area of their projects; in the Historic American Buildings Survey; the Historic American Engineering Records; the National Historic Landmarks program; or in any other local, State, or private survey. Locating existing surveys can save duplication of time and effort in gathering survey data and in correlating data produced by the current survey with other documentation on the property. It may also be useful to indicate whether the property is a locally designated landmark or is part of a locally designated district. 9. Description of Property Sufficient data should be gathered to give a professional description of the physical appearance and condition of properties. For individual buildings, structures, or objects, this information may include: a.Type of structure (dwelling, church, factory, etc.)b.Building placement (detached, row, etc.)c.General characteristics:Overall shape of plan (rectangle, ell, etc.)Number of stories Structural system Number of vertical divisions or bays Construction materials (brick, stone, etc.) and wall finish (kind of bond, coursing, shingle, etc.) Roof shape 42 d.Specific features including location, number, andappearance of:porches (verandas, stoops, attached sheds, etc.) windows doors chimneys dormers other important or visually prominent exterior features e.Materials of roof, foundation, walls, and otherimportant features.f.Important decorative elementsg.Interior features contributing to the character ofthe building.h.Number, type, and location of outbuildings, aswell as dates of their construction.i.Important features of the immediate environmentsuch as roadways, landscaping, etc.If a property has been moved, the following information is helpful in assessing historical integrity: a.Date of moveb.Descriptions or original and present locationsc.Distance the property has been movedd.Methods employed in moving the property (ifknown)e.Explanation of the effect of the move on thehistorical integrity of the property and upon itsnew location, with particular reference to the relationships between its original and current orientations, locations, and settings.f.Reason for the move.Known alterations should be noted with appropriate dates, if available. Preparation of a floor plan sketch with original portions and later additions clearly marked may be useful for properties that have been altered many times. Where possible, buildings and structures should be classified with reference to the architectural styles they represent. The architectural classification system used by the National Register Information System is provided in Appendix VI. If the style does not fall into any particular category, major stylistic elements may be noted. Regional or vernacular forms should be identified by the most commonly used or generally accepted terminology. Terms not commonly known should be defined. Where a known person was responsible for designing or building the property, his or her name should be recorded. Where a building or structure contains artifacts, equipment, furnishings, papers, interior modifications, or other characteristics that could provide useful information about its construction or use, or about the Conducting the Survey activities of its occupants or users, the nature and locations of such material should be recorded. If such materials have been removed from the property, for example to a local archive or museum, this should be noted. For archeological sites, appropriate information may include: a.Site type (e.g., midden, rockshelter, flake scatter,historic factory, etc.).b.Vertical and horizontal extent of the site andmethods by which these boundaries have beendefined.c.The immediate surrounding environment, both as it probably was when the site was in use and as it is today.d.Any disrupting influence (urban development,roads, agriculture) at work on or immediatelyaround the site.e.Descriptions ( or summaries) of known data on internal characteristics: stratigraphy, artifact classesand their distribution, structural remains, fauna!and floral remains, materials useful for assigningthe site to a chronological period, etc.f.Extent and nature of any excavation, testing, surface collecting, etc.g.Descriptions of any standing or ruined structuresor buildings that might be of architectural orhistoric importance.h.References to any known ethnographic or historicaldescriptions of the site when it was occupied or inuse. 1. A list of pertinent previous investigations at thesite, if any, indicating dates, sponsoring institutions or organizations, and bibliographicreferences.J.Quality and intensity of survey that resulted inrecording the site and limitations this may imposeon the data available for purposes of evaluation.Historic site descriptions should include the preceding information where relevant, and should also identify: a.The present condition of the site and its environment.b.Any natural features, such as bodies of water,trees, cliffs, promontories, etc., that contributed tothe selection of the site for the event or activitythat gives it significance.c.Other natural features that characterized the site atthe time the event or activity took place.d.Any evidence that remains on the site from theevent or activity that gives the site its significance. Conducting the Survey e.The extent and kind of alterations that have affected the site, and their effect on its integrity.f.How the current physical environment and remainsof the site reflect the period and associations forwhich the site is significant.Sites of cultural value to American Indians or other social groups should be described with reference to the above items where they are pertinent, but special attention should be given to the qualities of the property that contribute to its importance in the eyes of those who ascribe value to it. For example, if the traditional origins of an American Indian tribe are associated with a particular configuration of rocks on a site, special attention should be given to describing them. If an architectural or historic district is identified, it is useful to compile the following information: a.General description of the natural and manmadeelements of the district: structures, buildings, sites,objects, prominent geographical features, densityof development.b.Numbers of buildings, structures, and objects thatdo and do not contribute to the district.c.General description of types, styles, or periods ofarchitecture represented in the district: scale, proportions, materials, color, decoration, workmanship, design quality.d.General physical relationships of buildings to eachother and to the environment: facade lines, streetplans, parks, squares, open spaces, structural density, plantings, and important natural features(some of this information may be recorded onsketch maps).e.General description of the district during theperiod(s) when it achieved significance.f.Present and original uses of buildings (commercial,residential, etc.) and any adaptive uses.g.General condition of buildings: restoration orrehabilitation activities, alterations.h.Noncontributing elements: the number of noncontributing buildings, structures, and objects shouldbe given, and each such property identified.i.Qualities that make the district distinct from itssurroundings. Where the social or culturalcharacteristics of the area's residents contribute tothe district's character, these should be included.j.A list of all buildings, structures, and objects (orinclusive street addresses) that do and do not contribute to the character of the district.k.Any archeological sites identified within thedistrict's boundaries, including both those that contribute to the significance of the district and those 43 whose significance is derived from qualities unrelated to the district. I. Concise boundary description: streets, propertylines, geographical features, etc., that separate thedistrict from its surroundings, with an explanation of the basis for establishing the boundary. If a commercial or industrial district is identified, the above information should be compiled to the extent it is available and relevant; in addition, it is useful to record the following: a.General description of the industrial activities andprocesses taking place within the district, impor tant natural and geographical features, and power sources b.General description of original machinery still inplace c. General description of linear systems within the district (canals, railroads, roads) and their terminalpoints, with approximate length and width of areato be encompassed in the district. If a rural district containing buildings or structures of historic or architectural significance is identified, in addition to recording the above data as relevant, it is useful to compile the following information: a.General description of geographical andtopographical features (valleys, bodies of water, soil conditions, climate, changes in elevation,vistas, etc.) that convey a sense of cohesiveness. b.General description of buildings and structures, including outbuildings, within the district boundaries, usually with special attention to characteristics indicative of vernacular or folk-types of design and construction, to the activities housed in each such building or structure, and to the equipment and other material remaining in each. c.General description of manmade features of the environment and their relationship to the qualities that give the district its significance. If an archeological district is identified, besides gathering the above data where pertinent, the following information should be recorded: a.General description of the natural and manmadeelements of the district: structures, buildings, sites,objects, prominent geographical features, densityof development. b.Number of contributing sites, with a description ofeach. c.Number of noncontributing sites, with a description of each. d.General description of the cultural, historic, or other relationships among the sites in the districtthat make the district a cohesive unit for investigation. e.General description of the data categories andresearch values represented in the district. Rural suroeys should attempt to identify properties that were important in the development of the area or are representative of typical ac tivities in the past. All of the structures and significant land areas associated with a property should be documented in the suroey. Burke's Garden Rural Historic District, Tazewell County, Virginia. (Virginia Division of Historic Landmarks) 44 Conducting the Survey f.Identification of any non-archeological characteristics of the district that may contribute to its significance (e.g., cultural value to American In dian groups). g.General condition of sites and extent to which ar cheological intersite contexts remain intact. h.Assessment of the extent to which the area within the district boundaries has been adequately surveyed. 1. Summary of the nature and level of damage the sites within the district have received or are receiv ing. 10.Significance In most cases, the significance of any one resource cannot be fully evaluated until the historic contexts for the survey area have been developed and some reasonably comparable level of documentation on other resources in the survey project area has been gathered. During the survey, however, the surveyor should record the qualities of each property that relate it to the historic contexts of the survey area and may make it significant keeping in mind the criteria for determining significance. In addition, the surveyor may recognize qualities in a property that appear to be unique or significant, and these observations may be recorded for future reference and evaluation. A statement of significance, whether designed to show that a property is or is not significant, should be developed as a reasoned argument, first identifying the historic context or contexts to which the property could relate, next discussing the property types within the context and their relevant characteristics, and then showing how the property in question does or does not have the characteristics required to qualify it as part of the context. The areas in which a property may be significant should be recorded on the survey form and supported in the statement of significance. Area of significance is derived from the relevant historic contexts and the criteria for which the property may be important, for example, commerce or architecture. The areas of significance used by the National Register program can be found in Appendix VI. The exact information needed to evaluate significance will depend on the historic context. In most cases in formation falling into the following categories will be needed and should be recorded: a.Historically significant events and/ or patterns of activity associated with the property. b.Periods of time during which the property was in use. c.Specific dates or period of time when the resource achieved its importance (e.g., date of construction, Conducting the Survev date of a specific event, period of association with an important person, period of an important ac tivity). d.Historically significant persons associated with the property (e.g., its tenants, visitors, owner). e.Representation of a style, period, or method of construction. f.Persons responsible for the design or construction of the property. g.Quality of style, design, or workmanship. h.Historically or culturally significant group associated with the property, and the nature of its association. i.Information which the property has yielded or may be likely to yield (especially for archeological sites and districts). j.Cultural affiliation (for archeological sites and districts). NATIONAL REGISTER DEFINITIONS OF CONTRIBUTING AND NONCONTRIBUTING RESOURCES The following definitions are used by the National Register to classify the resources making up a property as contributing or noncontributing. The physical characteristics and historic significance of the overall property provide the basis for evaluating component resources. Specific information about each resource, such as date, function, associations, information potential, and physical characteristics, can then be related to the overall property to determine whether or not the component resource contributes. Resources that do not relate in a significant way to the overall property may contribute if they independently meet the National Register criteria. • A contributing building, site, structure, or object adds to the historic architectural qualities, historic associations, or archeological values for which a property issignificant because a) it was present during the periodof significance, and possesses historic integrity reflecting its character at that time or is capable of yielding important information about the period, or b) it independently meets the National Register criteria. • A noncontributing building, site, structure, or object does not add to the historic architectural qualities, historic associations, or archeological values for which a property is significant because a) it was not present during the period of significance, b) due to alterations, disturbances, additions, or other changes, it no longer possesses historic integrity reflecting its character at that time or is incapable of yielding important information about the period, or c) it does not independently meet the National Register criteria. 45 11.Geographical DataThe acreage of the property should be determined and recorded as accurately as possible. The location of the property should be determined according to the Universal Transverse Mercator (UTM) Grid System. The UTM system is recommended because of its accuracy, its universality, and its compatibility with automated data systems. The property should be located on a U.S. Geological Survey (USGS) map (7.5 or 15 minute series), and the UTM coordinates for the location recorded. One reference point centered on the property is sufficient for properties less than ten acres in size; for larger properties, at least three reference points corresponding to the major points delineating the property's boundaries should be recorded. For an explanation of the UTM system, see the National Park Service publication, Using tlie UTM Grid System to Record Historic Sites (see Bibliography). Geographical data should include a verbal boundary description precisely defining the boundaries of the property surveyed. It may be in the form of a tax parcel number, a city lot number, a sequence of metes and bounds, a legal property description, or the dimensions of the parcel of land fixed upon a given point such as the intersection of two streets. Where it is difficult to establish fixed reference points such as roads or property lines, as in rural areas, descriptions may be based on a series of UTM reference points or on the section grid appearing on the USGS map. An explanation, or justification, of why a particular boundary was chosen should be recorded. 12.Other DocumentationIf additional documentation on the resources is available beyond that recorded on the basic survey recording form (e.g., survey files, records with the State Historic Preservation Officer, publications, HABS/HAER records), each known source of such documentation should be recorded. Records of historic properties should contain bibliographies referencing the sources used in preparing the records. Author, full title, date, and location of publication should be recorded. For an article, list the magazine or journal from which it was taken, volume number, and date. For unpublished manuscripts, indicate where copies are available. Interviews should be listed with the name of the person interviewed and date of the interview. 13.ResearcherNames and qualifications of persons directly involved in compiling information on the property should be recorded. 14.PhotographsAt least one photograph of each property should be included in the survey data. Photographs can be used to document the property's condition and physical appearance, and to illustrate important features of the property. They can be used to check field observations and to provide visual evidence of historical, architectural, or aesthetic significance. The number of photographs needed to provide adequate coverage will vary according to the nature and significance of the property. For buildings and structures, at least one photograph showing the principal facades and environment in which the property is located should be included, Interior views are generally not needed, unless significance is primarily based on interior features. INFORMATION REQUIRED FOR REGISTERING PROPERTIES IN THE NATIONAL REGISTER OF HISTORIC PLACES Certain kinds of information are required for document ing properties nominated to the National Register of Historic Places or considered for determinations of eligibility for listing. The following list itemizes the re quired information as it is requested on the National Register of Historic Places Registration Form, If one of the survey goals is to register significant properties, effort and care should be made to ensure that information col lected during survey meets the National Register documentation requirements and can easily be transferred to the National Register form. Because the National Register form is compatible with the National Register In formation System, standardized data categories have been formulated for entering information pertaining to certain items. These items are identified below by an asterisk and include function and use, architectural classification, materials, and areas of significance. Appen dix VI provides lists of the categories used by the Na tional Register to complete these items. For further infor- 46 mation on completing National Register forms, consult National Register Bulletin No. 16, Guidelines for Com pleting National Register of Historic Places Forms. 1.Name of Property Historic name Other names/site number 2.Location Address (including street & number, city or town, state and code, county and code, and zipcode) Not for publication (to be indicated when access to information on location should be restricted) Vicinity (to be used when property is not located in a town or city) Conducting the Survey 3. ClassificationOwnership of property (private, public-local,public-State, and/or public-Federal) Category of property (building(s), district, site, structure, or object) Number of contributing resources within property (by resource type) Number of noncontributing resources within property (by resource type) Number of contributing resources previously listed in the National Register Name of related multiple property listing, if any 4.State 1Federal Agency Certification (to be completedby State and/or Federal officials during registrationprocess)5.National Park Service Certification (to be completedby the National Park Service)6.Function or Use*Historic functions*Current functions* 7.DescriptionArchitectural classification*Materials (foundation, walls, roof, other)* Narrative describing the property's present and historic physical appearance 8.Statement of SignificanceLevel at which evaluation has taken place (nationally, statewide, locally) Applicable National Register criteria (A,B,C, and· or D) Criteria considerations, if any apply Area(s) of significance* Period(s) of significance Significant dates Cultural affiliation (for archeology) Architect 1builder Significant person Narrative stating the significance of the property and justifying the applicable criteria, criteria considerations, and areas and periods of significance. 9.Major Bibliographical ReferencesReferences ( including books, articles, interviews,surveys, etc.) Previous documentation on file at the National Park Service (including listings or determinations of eligibility for listing in the National Register, designations of National Historic Landmarks, and recordings by HABSIHAERJ. Primary location of additional data (such as State Historic Preservation Office, other State agency, Federal agency, local government. university, or other) and specific name of repository. 10.Geographical DataAcreage of propertyUTM references (one is required for properties smaller than 10 acres; at least 3 for larger properties) Verbal boundary description Boundary justification 11.Identification of person who prepared the form (including name. title, organization, address, andtelephone number) and date.*See Appendix VI for the standardized data categoriesused to complete these items. What additional planning information may be gathered in the survey process? Information on the historic, architectural, or cultural significance of resources is most useful in guiding future community development if it is integrated with other kinds of planning information. This information, which is listed below, may already have been gathered through other planning studies or it may be gathered as part of the historic resources survey. Because the expertise necessary to gather much of this information is different from that necessary for the historic resources survey, it may be more effective to gather the information in a project separate from the historic resources survey. If this option is chosen, the two projects should be carefully coordinated. Structural Information on Individual Buildings A determination of the structural condition of in-Conducting the Survey dividual buildings should be based on an examination of: a.Exterior condition of walls, roof, chimneys, window and door openings, gutters and downspouts,stairs, porches.b.Interior condition of foundations and basements,beams, joists and piers, flooring, walls and ceilings,window frames and doors.c.Condit on of mechanical systems for plumbing, electricity, and heating. Condition of original construction and any subsequent alterations, adequacy offire prevention and control measures, condition andadequacy of elevator facilities (if available).d.Estimated cost of bringing building to code. 47 Important industrial and engineering structures should be included in the survey. In addition to their intrinsic value in the history of American industry and engineering, such structures are often associated with the economic development of a community and with its prominent citizens. The Sloss Blast Furnace Site, Birming ham, Alabama, contributed to the development of that city as the iron and steel center of the South. The site has recently been developed into a local historical park. (Jack E. Boucher for Historic American Buildings Survey /Historic American Engineering Record) Physical/Development Factors Affecting Buildings or Neighborhoods: a.Threats to area/building (vandalism, demolition,neglect).b.Public and private development plans.c.Rehabilitation work (being considered, under way,completed, now planned).d.Land use/zoning.e.Density.f.Transportation routes and facilities.g.Municipal services (utilities, sewer, police, etc.).h.Parking.i.Setbacks.j.Floor area.k.Occupancy limitations.I.Designation of critical environmental areas orprotected features.m.Areas that are red-lined or receive less favorabletreatment from lending institutions.n.Existing easements or legal encumbrances.o.Current assessed evaluation (land, improvements,total).Socioeconomic Character of Area: a.Income level of residents or tenants.b.Tax rates and base.c.Amount of ownership versus rental.cl.Community institutions (civic, religious, educa-tional).e.Real estate trends.Planning Information for Archeological Sites: a.Accessibility of siteb.Potential for interpretation to the public.c.Local attitudes toward protection, use, or excavation of site.d.Likely development pressures on the site.e.Potential for natural deterioration (through erosion, soil chemistry changes, etc.). Forms, maps, photographs: How should survey data be recorded? Before beginning training sessions and the survey itself, methods of recording survey data need to be established. Generally, most data gathered during the survey are recorded on standardized forms and maps, with photographs, supplemented by sketches and additional records. Survey Forms Most State historic preservation programs have developed standard survey forms for their statewide surveys. The use of these forms at the local level is most desirable, as it facilitates integration of the information into statewide survey and nomination of properties to the National Register. The kinds of forms used depend on the intensity of the survey, the kinds of properties to be recorded, the degree of expertise of those conducting the survey, and other factors unique to each survey. As a result, communities may wish to adapt State survey forms to their particular needs. If this is done, care should be exercised to ensure that consistency is maintained in the description of key elements used by the State in data storage and retrieval. Most survey forms fall into three main categories: 1.A multiple choice checklist with or without illustrations, often in the form of a card coded for automateddata processing.2.One or more sheets presenting a series of questionsor categories of information requiring brief writtenresponses.3.One or (usually) more sheets presenting a series ofConducting the Survey general questions or categories requiring more lengthy responses. The multiple choice checklist may be useful if: •the survey is a reconnaissance,•volunteers without extensive training are conductingthe survey,• a limited range of resources are thought to be present (e.g., buildings representing only a few architectural styles), or• a limited range of resources is being sought (as insome theme-focussed surveys). For an intensive survey, however, this type of form is seldom appropriate, because it is virtually impossible to incorporate the complex variability represented by a whole range of historic properties into a simple checklist. Although checklist forms are useful especially for architectural information, many buildings and their architectural and decorative teatures defy classification under the categories generally provided. Checklists may be useful for describing individual buildings within districts, but they are seldom useful for describing districts as wholes, because they do not provide a mechanism for recording a district's overal) environment, its social charactistics, and its other unique features. For archeological sites, checklists are often useful for noting the presence or absence of particular predictable features and artifacts, but usually must be supplemented by substantial verbal description to record stratigraphy, size, and other unique characteristics. Cultural landscapes, too, whether designed or created by recurrent land-use practices, are usually too complicated, and contain too many unique features, to be accurately captured in a checklist. Transcribing data from the checklist into a narrative description, like those required by the National Register and most State registers, can be difficult because much of the information needed for narrative description either cannot be derived at all from the checklist format or can be derived only through extrapolation and interpretation, increasing the potential for error. Forms that have a series of questions or categories generally require a certain amount of expertise. Since the forms do not spell out elements to be identified, the surveyors themselves must be able to prepare complete and accurate property descriptions; they must be particularly careful to include all major elements of the property in the description. These forms do allow for the description of unique elements of particular properties or areas that would normally not be specified on a checklist form. Longer and more complicated response forms, such as those used bv the National Register, require a higher degree of expertise in completing the documentation. Information for these forms may be derived from shorter checklist forms or from other rough survey data. Conducting the Survey As a result of these differences, it is often desirable to use a variety of forms in a given survey, for example, using flexible response forms like those of the National Register for recording districts and structures or buildings that may be individually significant, using tailored combinations of categorical questions and checklist items for archeological sites and other properties having some predictable and some less predictable characteristics, and using checklists for the description of individual buildings and structures making up a particular district. Forms are seldom sufficient in themselves for recording survey data. They should be supplemented by more general, flexible notes to record general environmental and contextual data, information on survey conditions, and supplementary data. Each surveyor should keep a log or diary to record general observations and supplementary information about the progress of the survey and about the property or area being studied, such as its general architectural and social characteristics, anticipated effects of proposed or possible development, ideas for the adaptive use of particular buildings, names of local contacts with particular information, names of interested local citizens and miscellaneous historical or archeological information. Unless they are recorded on the scene, such observations are usually lost to those who might benefit from them or find them useful at a later date. Field Maps Surveyors will need maps to use as guides during the onsite orientation and to use as worksheets during the field survey. A master map can be prepared for these purposes by annotating an existing small-scale map of the community or county. In cases where areas or properties to be surveyed have already been determined, these should be delineated on the map. Sites discovered through historical research, that should be investigated during the field survey, may be pinpointed on the map. The base maps used in most historic resources surveys are U.S. Geological Survey (USGS) 7.5 minute and 15 minute quadrangle maps. USGS quads are used by most State Historic Preservation Officers and Federal agencies to locate and record historic resources in their inventories. These maps show topography, natural features, roads, buildings, and structures in rural areas, latitude and longitude lines, and township, range, and section lines. Importantly, most have Universal Transverse Mercator (UTM) grid tics, which allow historic properties to be accurately plotted and their locations recorded for future retrieval and analysis, especially using automated data processing. USGS maps can often be obtained locally; if not, an index to available maps may be obtained by writing the U.S. Geological Survey, Sunrise Valley Drive, Reston, VA 20021. 49 For urban areas, however, it will be necessary to supplement uses quads with more detailed local maps. uses quads show built-up areas merely as pink blotches, with only major streets marked. As a result. although uses quads should be used to help relate the local survey to such larger-scale efforts as the statewide comprehensive survey, surveyors in urban areas will find other, usually locally produced maps more useful for field use and as base maps. Detailed maps of most large cities can be obtained from city planning agencies. Other sources of useful maps include State highway departments, local preservation commissions, regional planning agencies, local highway commissions, and realtors. Photographs Photographs are an essential part of survey data. Whether photographs are taken by field surveyors or professional photographers, the 35 mm camera probably provides the most flexible format for survey purposes. Some 35 mm cameras can be equipped with a perspective-correction lens, which, when properly used, helps eliminate perspective-induced distortion in photographs of structures. (This lens is best used by an experienced photographer.) The use of slightly wide-angle (35 mm) or normal (50 mm) lenses allows photographers to take shots of entire buildings or whole facades. Fast lenses allow for the best use of available light and good recording of details. While black and white prints are appropriate for survey documentation, other photographic forms may be useful supplements to the basic records of individual properties. •Color slides may be useful as supplementaldocumentation for evaluating properties. Althoughnot a substitute for black and white prints, slides canbe used in public presentations to generate local interest in the survey project and in historic resources.•For quick identification, a contact print or Polaroidphotograph identified by name and number may be affixed to the field survey form.•Videotapes may be useful in quickly capturing thesocial and architectural characteristics of historicdistricts or landscapes.It is essential that a practical system be established for numbering, processing, and filing photographs in such a way that they can be easily identified, correlated with forms, systematically filed, and retrieved. The most common approach is to assign a unique number to each roll of film, and to maintain a log indicating the subject of each frame on each roll, by roll and frame number. Film should be kept in a central place and assigned a number as it is signed out to avoid the possibility of assigning the same number to two rolls. Each photographer then logs in his or her photos, recording for each shot the roll number, the frame number, and such information as the property name and location, the direction of the view (e.g., north west corner of building: view across site from south east), detail included (e.g., front porch; rock feature), and other details concerning the property or the exposure. Photo roll and exposure numbers should also be entered on property recording forms for crossreference purposes. General views of streets or open space areas should be recorded with appropriate locational information and names or numbers of individual properties included in the picture. It is a helpful check on paper records to place a marker in the view being photographed when the photograph is taken. This should indicate the subject and other relevant data (view, detail, date). Cards or pieces of cardboard with such information written in magic marker can be used for this purpose, though a more professional product is obtained using a menu board with plastic letters and numbers. It is also often helpful to include a scale marker (for example, a meter stick-a piece of lath one meter long, marked in 10-cm increments) and a north indicator (in archeological convention, a wooden or plastic arrow ora trowel) in the photo.Photos and especially negatives should be carefully filed under conditions that will minimize their deterioration, and according to a system that will make it easy to retrieve them. It is often most convenient to retain the roll and exposure number as a basic index number for the print and negative frame, sometimes with an additional accession number to identify the area or the survey that produced the photo. Photo logs should be retained permanently as part of the survey data, on computer or in the form of logbooks or card files. It is wise to consult the State Historic Preservation Officer for advice about photo recording, filing, and retrieval systems. What equipment will be needed for survey work? Equipment for each survey team may include some or all of the following: •clipboards, spiral notebooks (for logs and generalnotes).•supply of pens, pencils, and magic markers so •field survey forms•USGS quadrangle(s) and UTM counter•other relevant map(s)•tape measures (each surveyor is usually equippedwith a 3-meter or IO-foot tape, and each team with a Conducting the Survey 30-meter, SO-meter, SO-foot or 100-foot tape).•compass•camera(s)•black and white film•color slide film•official identification•letter of introduction explaining survey•additional lenses for camera (wide angle, telephoto,perspective correction).Survey teams concentrating on architectural resources may also need an appropriate style manual (e.g., one developed for the survey itself, or by the State Historic Preservation Officer, or a general guide such as McAlester, McGee, or Whiff en [ see Bibliography]). Archeological survey teams will usually need at least trowels, and in some cases will require augers or posthole diggers, shovels. or such power equipment as Conducting the Survey motorized augers or backhoes. In some cases, it will be useful to equip teams with guides to local artifact types or types of architectural elements indicative of different time periods or building functions. Survey teams engaging in oral history or ethnographic recording will probably need tape recorders or videotape equipment. The survey coordinator will also need to consider what sort of equipment may be appropriate for transporting the survey teams into and around their survey areas. Intensive surveys are usually done on foot, but teams must still be transported to and from their survey locations. If municipal transport is not sufficient for this purpose, the survey teams will need access to automobiles, bicycles, or some other mode of transport. 51 Review and Organization of Survey Data Before survey data can be integrated into the community planning process, it must be compiled in a systematic manner and reviewed for content, clarity, and accuracy. Properties identified must be evaluated against established criteria. The data must be stored in a form that makes key elements readily retrievable, and that protects the information against loss and deterioration. This section discusses what can be done with survey data, including how an inventory-that is, a selective list of significant properties-can be derived from the data. Methods of compiling, evaluating, and storing the data are considered. This phase of the project should be undertaken with special care because it will have a direct effect on the usefulness of the inventory for planning purposes. How are survey data reviewed during fieldwork? Organization and review of survey data should begin while fieldwork is still in progress, although naturally they will continue after fieldwork is complete. Descriptions of physical appearance and other observations made in the field should be checked against photographs and documentary evidence gathered by the researchers. Maps and other reference material may be used to verify locations of resources that are surveyed. In order to use the review of survey data to correct mistakes and inaccuracies in field reporting, the data produced by each survey team in each area should be reviewed and organized as soon as possible after it is produced. Fieldwork should not be allowed to get too far ahead of review, organization, and analysis of data. Information gathered in the field must be integrated with documentary evidence uncovered during archival research. This responsibility may be assumed by the survey coordinator. Inconsistencies-descriptions not matching photographs, questions of ownership, conflicting dates of construction-should be carefully reviewed, and, if necessary, additional archival research or fieldwork should be done to achieve consistency. 52 Treatment of Forms Forms used in the field are usually considered rough working copies rather than final documents. Surveyors should review forms filled out in the field to make sure that observations are clear, terminology is correct, and descriptions are complete and accurate. After the preliminary forms have been reviewed by the survey coordinator or other knowledgeable persons, final forms for archival purposes should be prepared. Where an automated data processing system will be used in maintaining the survey data, the relevant information should be entered into the system from the forms at this point. If narrative descriptions are prepared from the forms, these too should be checked and edited, using original survey forms and photographs for verification. Organization of Other Notes Supplementary notes taken in the field, both with respect to particular resources and with reference to the progress of the survey in general, should be compiled as the survey progresses. Since a given page of notes may include information on several different properties or areas, or touch on a number of different topics, it is often useful to photocopy notes as soon as they come in. The original can then be filed safely to guard against loss of data during analysis, while the Review anJ Organization of Survey Data copy can be cut up in order to reorganize its contents, combine contents with other notes and forms, and organize files providing full data on particular properties, areas, or historic contexts. Organization of Photographs As photographs are processed, they should be promptly correlated with forms and other field data. The accuracy of photo records should be checked, and relevant roll and frame numbers should be entered on the final forms. Information on systems for filing photographs may be found on pages 59 -60. Organization of Maps Certain maps will usually have been prepared before fieldwork begins; for example, maps indicating the probable locations of properties relevant to different historic contexts, maps showing the predicted locations of subsurface archeological resources, and maps showing the locations of properties identified during previous surveys. As the new survey data are processed, these maps may be corrected, but it is usually wise to preserve a copy of each map originally prepared on the basis of archival research in order to compare pre-fieldwork expectations with actual results. As data from the field are processed, properties should be located on a master map or maps. Each property mapped should be assigned a number, name, or other designator that makes it possible to relate the mark on the map to the form or forms that describe the actual property. Master maps should be consistent in size and type with those used by the State Historic Preservation Officer in the statewide comprehensive survey (usually USGS Quads), or should be of a size and scale to allow correlation with existing community planning base maps. As each step of the survey work is completed, data should be transferred to these maps. As the maps are filled in they should be reviewed to see what patterns are developing that may not be obvious on the ground; analysis of mapped data may make it possible to locate concentrations of historic resources other than those districts identified through archival work or evident in the field. To avoid duplication of effort and to minimize confusion in future planning, it is essential that information concerning the nature and intensity of survey coverage be maintained in a clear and understandable format. It may be most effective to prepare a map or map overlays indicating which areas have been surveyed and which have not and identifying any differences in the type or intensity of survey among various areas. For example, areas that have been intensively surveyed for all types of historic resources would be differentiated from areas that have been surveyed intensively for architectural resources and only cursorily inspected for archeological resources. Such data may be recorded on coded map overlays, in block by block summaries,or in any other clear way. Review and Organization of Survey Data Sketch maps for both individual properties and historic districts should be checked for accuracy and clarity. District sketch maps should be checked to make sure that all individual properties in the district are shown and that all outstanding features, intrusions, and boundaries are clearly marked. Street names and/or highway numbers should also be shown. Descriptions of the boundaries and inclusive street addresses should be checked against the sketch map to insure that they are consistent and that properties have not been inadvertently included or omitted. Sketch maps of archeological sites should be checked to ensure that such data as the location of surface features and subsurface exposures, the location of test pits, backhoe trenches, or auger holes, and cross-references to other notes, stratigraphic drawings, and remote sensing data are accurate and complete, and that key reference points (e.g., streets, buildings) are included to assist in relocating the site. A north arrow (magnetic or true) and scale should be added to the map, if not already present. It may be necessary to redraw district sketch maps once all the necessary checking and clarification has been done. Care should be taken in redrawing sketch maps to ensure that elements noted in the field are not lost, and to guard against creative reinterpretation of actual field conditions. \. This map. taken from the comprehensive Survey of Architectural History of Cambridge, Report 3: Cambridgeport (1971), is one of a series of maps showing the history of land use in this now urban ized area of Massachusetts. Residential areas are clearly indicated by dots while commercial and industrial areas are indicated by diagonal lines. Major industrial complexes are identified by name. Buildings that are blackened belong to the Massachusetts Institute of Technology and Harvard University. (Courtesy of the Cam bridge Historical Commission) 53 As archival research and fieldwork are completed, it may be useful to prepare a variety of kinds of maps to aid in evaluation and planning. Maps or multiple overlays on a master map, showing the following categories of information are often prepared: 1, Predicted areas of sensitivity. Areas where, based on survey work to date, it is predicted that significant historic resources may occur should be identified on maps. Such maps can help guide continuing survey efforts and provide community planners with early warning of potential conflicts between development and preservation, even when survey data are not yet complete. 2.Areas where survey is needed. Areas where theanalysis of historic contexts and survey priorities indicate that survey is necessary, but where survey hasnot yet occurred, should be identified on maps, andeliminated as the survey progresses.3.Buildings and structures. All buildings and structures, regardless of age, should be mapped, differentiating those that contribute to the character of thearea surveyed from those that do not. (See definitionsof contributing and noncontributing resources on p. 45.)4.Architectural style or period. A map plotting architectural periods might be prepared by an architectural historian to show areas with particular designcharacteristics. This information may assist in identifying districts.5.Historical events. Based on information gatheredby archival researchers, and oral history orethnography, a map may be prepared showing structures, sites, or areas associated with historic events,trends, activities, or important individuals in thehistory of the community. This information may alsoassist in identifying districts.6.Cultural groups. A map or series of maps showingthe locations and distribution of different social, economic, or ethnic groups at various periods in the past may be prepared. 54 This map may serve to identify present-day neighborhoods having particular historic, architectural, or cultural characteristics, and areas that may have importance for historical archeology. 7.Archeological data. The locations of all sites, structures, building, districts, and objects of archeologicalimportance can be ma;Jped and coded to indicateperiod, type of property, condition, and other data.Based on archival research and/or fieldwork, mapsmay be prepared showing areas where archeologicalproperties of different kinds are likely to occur, orwhere care should be taken during future constructionor other development to minimize damage to buriedarcheological resources that cannot now be seen onthe surface. It is important that archeological sitelocation data be protected to avoid its misuse by artifact collectors who may both damage archeologicalsites and commit acts of trespass in their search forobjects (Indian artifacts, old bottles, etc.) for sale oraddition to their collections.8.Visual features. Features identified by visualanalysis-views and vistas, edges, focal points,cultural landscapes, streetscapes, visually prominentstructures--may also be indicated diagrammaticallyon a map.9.Existing building uses. Mapping the uses of allbuildings within a given area often indicates thephysical and developmental status of the area andmay be useful for planning purposes. Standard planning color codes may be used to indicate zoning andvarious uses such as single-family residence, office, orretail use.10.Building condition. Color-coding can also be usedto show buildings in good condition, those needingminor or major repairs, and those dilapidated or structurally unsound. How and why are resources evaluated? The primary reason to evaluate properties found through the survey is to designate those which are worthy of preservation and should be considered in local planning. These properties may be listed in a historic resources inventory-a selective list of resources meeting establishing criteria of significance. By providing information on historic significance, integrity, and boundaries, survey results may provide the basis for designation of historic properties and districts under a local preservation ordinance and subsequently serve as an authoritative basis for design review and other functions of the local historic preservation commission. Furthermore, decisions concerning a wide range of local preservation activities, both private and public, ranging from main street revitalization to tax abatement programs can be based on the evaluations made during the survey process. A related purpose of the evaluation process is to identify properties for nomination to the National Register or those on which determinations of eligibility for the National Register should be made as part of Federal environmental review processes, and those that may be certified as eligible for Federal assistance through grants and tax credits. The community should strongly consider using the National Register criteria given on page 5 as a Review and Organization ot Survey Data basis for evaluation. Developed by the National Park Service for evaluating potential entries to the National Register, the criteria are broadly worded to provide for the diversity of resources within rural areas, towns, and cities across the country. These criteria, used by the Federal government and the State historic preservation prdgrams, are the national standard for evaluating historic resources. The use of historic contexts provides a mechanism for translating the broad National Register criteria into locally meaningful terms. For example, the National Register criteria allow any property that is associated with the lives of persons significant in our past to be regarded as eligible for listing, but it is the historic contexts of the area that define who such people were. If criteria different from those of the National Register must be used, the community may wish to consider a dual evaluation system, using the National Register criteria as well as its own. The rationale for this is that it is properties included in and eligible for the National Register-not a separate local listing based on different criteria-that Federal agencies and governments receiving Federal assistance are required to consider in planning their projects. In evaluating the significance of resources, communities may find it useful to refer to the Secretary of the Interior's Standards and Guidelines for Evaluation. Evaluation of historic resources should be made with reference to the historic contexts established during survey planning or during the survey itself. In essence, this involves identifying the historic context or contexts to which each property might relate and then deciding whether and how it does-or does not-fit into the context. Evaluation decisions should be made by people who are qualified, through education, training, and experience, to apply the criteria with reference to the relevant historic contexts. Many communities establish review boards to make evaluation decisions. It is important that such a board include professionals in the disciplines of architectural history, history, archeology, architecture, and other fields appropriate to the historic contexts of the community. The board should also include people broadly representative of the community and its cultural groups. Board members should be familiar with the range of properties included in the National Register, as most of the properties selected for the community inventory may well be eligible for National Register listing. The National Park Service's Manual for State Historic Preservation Review Boards (see Bibliography) is recommended reading for local review board members. The evaluation process should ensure a balanced and adequate consideration of all resources in the survey area. Evaluation should be based solely on the historic, architectural, archeological, and cultural values perceived in the properties involved, without consideration of the economic value of such properties or how they may be treated in planning. In other words, properties should be evaluated purely on their merits. Decisions about what to do with properties evaluated as significant should be made separately. The survey coordinator often presents the survey data to the evaluation group. The data is ordinarily organized to present a) the historic context involved; 6)enough information on each property to assign it to a property type within the context, compare it withthe characteristics expected of its type, locate it on theground, and define its boundaries; and c) an argumentas to why the property is or is not significant withinthe relevant historic context. Forms, photographs,maps, archival documentation, and surveyors' fieldnotes are used in such presentations, often along withslide shows and planning base maps.The inventory should be open, so that properties can be added as they are identified through survey work and as they come to be regarded as historic by the changing community. For this reason, review boards are often established by statute with permanent official status in local government, providing continuing oversight to the survey and evaluation process. In order to be certified for participation in the national historic preservation program under Section 101(c) of the National Historic Preservation Act, a community must establish its historic preservation commission by statute. What are the advantages and disadvantages of using numerical and categorical evaluation systems? Systems that assign numerical scores to surveyed historic resources for the purpose of establishing preservation priority categories have been developed by many communities. Summaries of several studies that use such evaluation systems are included in the appendix. The premise behind these systems is that the relative architectural, historical, and archeological significance of resources can be evaluated on numerical scales, Review and Organization of Survey Data permitting the resources to be placed within distinct priority categories. While it is essential that the results of the survey be incorporated into an overall community preservation plan (discussed in the introduction), numerical rating systems may not be the most effective way of determining priorities. The basic logistical problem with such systems is the difficulty in working with often complex rating formulas. Numerical systems can also give a false sense of cer- 55 tainty in judgement about resources: in quantifying intangibles like significance, it is questionable whether the difference between one building scoring 79 and another scoring 80 is really meaningful. It is difficult to assess the number of points which should be given for any one aspect of significance. Although a building of national significance may receive more points than one of local significance, the locally significant building may be more critical to the character of the community. It is equally difficult to balance historical significance against architectural significance and to determine how many points each should receive. Finally, it is difficult to evaluate diverse resources within one system. For example, how does one evaluate an early industrial paper mill against a Frank Lloyd Wright house or an Indian burial mound? Categorizing resources by total numerical score may lead to serious problems. Some cities have found that opponents of preservation projects use the classification systems to their advantage. While a community may intend to establish priorities for preservation activities by categorizing its historic resources, the system can be used to encourage the sacrifice of lower priority resources in situations also involving resources from the higher priority categories. Public officials or decisionmakers may themselves also neglect to give due consideration to buildings with less than the highest numerical rankings. Conversely, a property that achieves a high rating may be perceived by some to be inviolate purely because of its historical value. This is inappropriate because decisions about what to do with a property, regardless of its level of significance, involve not only the historical value of the property but also community needs and interests, development priorities, and changing economic, legal, and social constraints. Another problem with numerical systems is that they may not be sufficiently flexible. It may be difficult to move a property from one category to another if the factors used originally to categorize it change. Numerical evaluation systems generally do not provide for adjustment based on the discovery of additional resources, loss of similar resources, discovery of new data, or change in the condition of the evaluated resources. The experience of the National Park Service suggests that the complexities inherent in historic resources evaluations and the number of other factors that must be considered in establishing preservation priorities do not lend themselves to simple numerical formulas. Case-by-case evaluation of resources may provide a more accurate assessment of the significance of resources and thus a more realistic basis for planning decisions. What kinds of due process considerations may be required in evaluating properties? In evaluating privately owned properties for listing in an inventory, it may be legally necessary and is always prudent to notify property owners and give them the opportunity to comment on the proposed listing. Such notification is required by law with respect to nominations to the National Register. Depending on local law, due process requirements for listing properties may involve public hearings and the opportunity to rebut the findings of the survey. The State Historic Preservation Officer can assist in meeting Federal requirements for property owner notification in connection with National Register nominations. The community's legal counsel should be able to establish what due process requirements may be imposed by State and local law. The rationale for such requirements springs from the fact that listing in the National Register and in some State and local inventories may confer economic advantages on a property owner and conversely may impose some constraints on his or her use of the property. As a result, if listing in the inventory gives no legal protection or restrictions on properties, due process procedures may not be required by law. Even where they are not required, however, it is wise to involve property owners in the evaluation process in order to maintain community support for the preservation program and avoid misunderstanding. What kind of documentation should be included in the inventory files? Documentation on each property selected for the inventory should include the final, clean form describing the property, pertinent supplementary data, relevant maps and sketches, record photographs, and an evaluation of the property's significance. In many cases, it may be appropriate to keep some of these items in different files: for example, base maps show-56 ing the location of a property or relating it to other aspects of an historic context may be too large to file physically with the property form and notes, and negatives of photographs should normally be filed separately to ensure their protection from deterioration. In such a case, files should be cross-referenced so that all information pertinent to a given property or a Review and Organization of Survey Data given historic context can be found and correlated. A microcomputer-based catologue is useful for this purpose, as discussed below. Evaluations of significance are sometimes entered on survey forms, and may be provisional, that is representing the survey team's judgement during fieldwork, or final based on the judgement of the review board or its equivalent. Alternatively, the community may wish to prepare special inventory forms for those properties determined to be significant. A longer narrative form may be patterned after National Register forms. If survey forms have been adequately refined and evaluations are integrated into or kept with the other survey data, it may not be necessary for the community to spend extra time preparing special inventory forms. How can information be stored to permit efficient retrieval at a later date? As the survey data are evaluated, they must be organized for storage and further use. Decisions must be made about two things: how the data can be kept in a way that makes it most accessible and usable to those who need it, and how the physical products of the survey-forms, maps, photographs, surveyors' notes, evaluators' comments, and so forth-will be kept secure for future reference. The first issue involves decisions about data retrieval, the second about physical filing and security systems. Data Retrieval Decisions about how to maintain data in a retrievable form must be based on the community's needs. Thus, as discussed in Chapter I, the community should determine how it expects or wishes the survey data to be used (i.e., what its information needs are) before devising its storage and retrieval system. Advance planning should enable the community to avoid wasting time and money on the development of a system that does not meet real informational needs. The efficient use of survey data in community planning demands the use of an information system that makes basic data readily accessible, that allows information to be combined in different ways, and that permits the easy entry of new data. Keeping information current is a time-consuming task, but one that can be minimized with a modern data processing and retrieval system and a trained staff. The basic information retrieval systems, as distinguished from the survey data files themselves, is often referred to as a catalogue. It is used, just as is a library card catalogue, to determine the location of full survey data needed for particular tasks, but it can also itself contain the most frequently used information about surveyed properties, thus eliminating the need for frequent reference to bulky manual files. The more readily available the key elements of the survey data are, the more likely they are to be used by local planners and others involved in community development. The amount of information each catalogue entry should contain depends on how the catalogue is to be used. If the catalogue is only to be used as a guide to the location of survey files that are in good order and Review and Organization of Survey Data are relatively easy to use, it may be little more than an index to the files, each entry including only name, location, classification, and possibly the date of the property. If the catalogue is to be used by groups in different places-planning offices, research centers, libraries-without immediate access to the survey files themselves, the catalogue will be of little use unless it contains more information. If users are likely to want to combine data in different forms for different purposes-to seek out all buildings of a particular style for a research project, for example, or to identify the locations of all historic properties of all kinds in a given area for purposes of development project planning-it will be appropriate for the catalogue to contain still more information. In these cases, it will be far easier to combine and recombine data using the catalogue only rather than to do so by digging through the full body of survey data. A typical catalogue entry in a system designated for substantial use in planning and research might include the name of the property, address, geographical data, property type, owner, short description, and a statement of significance. The National Register maintains a computerized information system that is a useful model for communities to consider, although some of its data entries are specifically designed for the Register's own purposes and would require adaptation to meet local needs. A current description of the system and its contents can be obtained from National Park Service Regional Offices or from the National Register in Washington, DC. What form should the catalogue take? Again, the deciding factor is how it will be used. A complicated system may become a burden to those responsible for maintaining it, but a system that does not permit easy cross-referencing and recombination of data for planning purposes, may become an expensive, useless overhead burden on the community. A fully operational catalogue system should ideally be able to provide: 1.Rapid, easy access to information such as location,names of properties, types of ownership, uses, date,significance, etc. 57 2.Information services for land-use, policy, and project planning.3.Comprehensive lists of, and information on, properties or types of properties for setting protection andenhancement priorities.4.Information on what areas of the community havebeen surveyed and how comprehensive the survey isto date.5.Clear identification of the location of further information on each property in the hard data survey files. The most commonly used catalogue systems are: I.Computer-based systems. These are by far themost flexible and broadly useful of catalogue systems,because of the tremendous amount of informationthat can be entered into the system, the ease withwhich information can be retrieved, and the variety ofways such information can be combined and sortedfor different purposes. A great many readily availablepackaged programs for the maintenance and use offiles are applicable to the maintenance of a surveycatalogue. There should be no need to design a program specific to the community's purposes.Inexpensive microcomputers are fully adequate for the maintenance and use of survey catalogue data in most communities. There should seldom be any need to use expensive mainframe computers, unless the community uses such a computer for other purposes and can make it available at a competitive price for the maintenance of survey data. Even where use of a mainframe computer is possible, it is wise to design the catalogue in such a way that it can be accessed through microcomputers as well, in order to ensure maximum accessibility by the greatest number of authorized users at all times. In addition to providing easy access to information such as property location, significance, uses, and owners, a computer-based system makes it easy to eliminate inconsistent information and to correct, update, and add to existing material. Such a system has the capacity to quickly generate complex listings: all buildings located within the path of a proposed highway, all federally owned resources, properties needing restoration or rehabilitation work, buildings certified for rehabilitation tax credits. Readily available file search and graphics programs can make it possible to generate maps showing areas surveyed at different levels of intensity or with reference to different resource types, areas predicted on the basis of archival research or reconnaissance to contain specified kinds of properties, or the distribution of specified property types. File maintenance programs typically include provision for placing security codes on particular files, so that information to which the community wishes to restrict access-for example, archeological site descriptions and locations that might attract artifact collectors-can be kept secure. 58 As noted in Chapter I, in deciding on what kind of computer-based system to use, the community should consider its needs for consistency with two kinds of larger systems. On the one hand, consistency with other systems used in the community for other purposes is obviously desirable, both to permit sharing of hardware and software and more importantly to facilitate the use of survey data in community planning. On the other hand, consistency with systems used in the storage and retrieval of survey data in larger geographic areas should be considered. Consistency with the National Register Information System will facilitate National Register nominations and certification for tax benefits. Consistency with the system used by the State Historic Preservation Officer will make it easy to coordinate the local survey with the statewide comprehensive survey. Consistency with the systems used by Federal and State planning and land use agencies in the area (Coastal Zone Management, Bureau of Land Management, Forest Service, Corps of Engineers) will help ensure that these agencies will take the local survey data into account in their planning, and will make it possible for the local survey to tap the agencies' information resources. Consistency with the systems of academic institutions, museums, and other non-governmental entities that maintain information on historic properties in the area should also be considered. For example, if a university anthropology department maintains local archeological site files, it may be efficient to design a system that is consistent with that used by the university so that data can be readily shared for both community planning and university research purposes. 2.Cards. Card-based filing systems have been madevirtually obsolete by the rapid growth of computertechnology and the decrease in the cost of computerhardware and software. Before opting for a cardbased system, with its inherent limitations, a community should carefully consider its alternatives. Acommunity that adopts a card-based system is verylikely to want to replace it with a computer-basedsystem before very many years have passed, and thecost of transferring the data from one system toanother at that time may be considerable. If acomputer-based system is truly not feasible, however,cards are a reasonable alternative. A 5-by-7 or8-by-10 inch card can be used simply as a reference toa complete property file, as with card catalogues usedin libraries, or it can include such information asname, address, geographical data, building type,owner, short description, and statement ofsignificance. The master card for each property couldalso include a section of map and a small photograph.Many different card systems are available from private companies. Edge-punched cards-early precursors of computer-based catalogue systems-use punched holes along the edges of cards as a sorting device. Holes are punched according to a code that Review and Organization of Survey Data refers to the different data entries; a needle-like device is then passed through the edges of a trayful of cards, and those with the appropriate hole codes are caught on the needle. If well planned, this sytem may be quite efficient for inventories of under approximately 1,000 sites. 3.Publications. A catalogue printed in booklet orother form can be widely disseminated but has thegreat disadvantage that effective updating requires republication. See Chapter V for more information onpublications.Whatever system or combination of systems is employed, the catalogue should be systematically organized, with each entry thoroughly recorded and cross-referenced to back-up hard data files, and accessible to the interested public and to appropriate user agencies and organizations. Communities seeking certification to participate in the national historic preservation program under Section l0l(c) of the National Historic Preservation Act should ensure that their catalogue systems are consistent with the Secretary of the Interior's Standards for Registration, which require that registration of historic properties be conducted according to stated procedures, contain information that locates, describes, and justifies the significance and physical integrity of each registered property, and be accessible to the public. The Stand ards permit information on the location of historic properties to be withheld from the public, if revealing such information could cause damage to a property-for example, if revealing the locations of fragile archeological sites could lead to their destruction by artifact seekers. Hard Data Filing Systems The hard data on paper and film that are the physical products of the survey must be filed in a manner that not only makes them reasonably accessible but also protects them. In contrast with the catalogue, where accessibility and flexibility of use are the key considerations, in establishing a hard data filing system the archival, curatorial need to maintain the material products of the survey in perpetuity becomes paramount. The three basic decisions that must be made about devising a filing system are the physical form of the file, the order in which files will be kept, and the protection of the files. 1.Physical form of the file. Survey data may bestored in vertical files, one folder per property. In thisway, forms, photographs, maps, results of historicalresearch, and other material on a property may bekept together. Such a system of files would facilitateupdating information and adding photographs andmaps. Looseleaf notebooks may be used in the sameway as vertical files. It may be useful to consult anarchivist concerning the proper procedure for storing Review and Organization of Survey Data loose papers. Tapes from interviews may have to be stored separately but should be clearly identified with the names of those recorded, the topic of discussion, and the date of the recording. Special considerations for photograph files are discussed later. 2.Order. A common method of organizing files isgeographical, that is, properties listed by location(e.g., street) in a logical progression. Districts identified during the survey and analysis processes couldbe organized in the same way. The advantage to thiskind of organization is that location does not change,as a property owner might. Also, although propertiesmay be cross-referenced by historical theme or type ofsignificance, it would probably be more difficult tofind properties listed under themes than under locations. 3.Protection of files. Consideration should be givento how the files will be protected against loss, fire,theft, mutilation, and physical deterioration. It maybe advisable to provide an archival backup in case ofdamage to or loss of the original files. Microfilm is arelatively inexpensive backup, especially microfichejackets for records that are frequently updated. Repositories It is important for survey documentation to be filed in a location that is convenient to planning officials and interested individuals alike. Ideally, this will mean the local planning department, where extensive use of the information will be made, or some other official branch of local government equipped to handle public records (town or county archives, hall of records, etc.). The local historic preservation coordinator's or commission's office, as a center for preservation information and activities, is a logical repository. If there are no public facilities equipped to handle these files, a private historic preservation organization or local historical society might be able to provide temporary storage. Since data gathered through a publicly funded survey belongs and should be available to the entire community, a private entity would probably not be appropriate as a permanent repository. With regard to repositories for archeological information, it is imperative that the locations of archeological resources be treated as confidential with access to the records limited to qualified researchers and planners. Many State Historic Preservation Officers and State archeologists have procedures for limiting access to this information. Photographic Files Photographic files should be able to accommodate three kinds of photographic material: prints, negatives, and slides. Photographic materials require special conditions for storage and handling. Because of their varying size, use, and conservation needs, they should be filed separately from paper records 59 and from each other. They should be stored in a location having a moderately low relative humidity and cool temperature, safe from direct sunlight and air pollutants such as dust, smoke, and chemical fumes. Temperatures from 65 to 68 degrees Fahrenheit with a relative humidity of 40 to 45 % should provide both proper storage and comfortable working conditions. Photographic materials should be stored vertically in baked enamel metal filing cabinets (wooden boxes or cabinets contain harmful resins and glues). If protective envelopes or sleeves are used, they should be made of inert materials such as polyester, triaceta te, polypropolene, or polyethylene (cellophane and glassine envelopes should not be used). Files should be free of paper clips, rubber bands, glues, tape, papers or cardboard, or other materials that will in time damage the photographs. White cotton gloves should be used when handling photographic materials, and materials should always be handled along the edges so that the emulsion is never touched. Photographic prints may be stored most easily if they are mounted on acid free or alkaline buffered cardboard of a standard size; the dimensions of the board should be greater than those of the photograph to allow for handling without touching the photograph. Prints receiving considerable use may also be placed in clear plastic envelopes, sleeves, or print files made of inert materials (polyester, triacetate, etc.). For longterm stability, photographs should be archivally processed on fiber-based photographic paper (resin-coated papers should not be used); if mounted, photographs should be held in place by paper hinges attached with wheat starch paste (dry mount tissue or adhesives such as rubber cement should not be used). The mounting board or envelope should be labeled with the name of the property, identification number, location, view (e.g. SW elevation), photographer's name, and date of the photograph. Photographs may be organized by geographical location or property name or number. Historic photographs, exhibition prints, or photographs for which no negatives are available_should receive special care. They should be filed separately from paper records or other kinds of . photographic materials. If regular usage for publica_tion or study is anticipated, reference pnnts should be made and the originals stored under archival conditions. Because they can be replaced, reference prints do not require the archival storage condition of original materials and may be filed with other 60 materials, including survey forms, maps, and other documents. Negatives should be stored in acid free or alkaline buffered envelopes made of inert material (polyester, triacetate, etc.) with the emulsion side away from any seams. Large format negatives (S-by-7, 4-by-5, etc.) should be placed in separate envelopes. Smaller negatives (35 mm), which come in rolls, should be cut into strips 5 to 6 frames in length (do not cut into individual frames; this makes storage and printing difficult). Each strip should then be stored in a separate plastic sleeve or envelope made of inert material. Clear plastic negative files are available that provide pockets for 5 or 6 strips having 5 to 6 frames each, making it possible to store an entire roll on one sheet and to locate easily a specific frame. Negatives may be classified using a simple three-part numbering system which identifies the film format, number of roll and frame number. For example, the number 35-110-12 identifies the 12th frame of the 110th roll of35 mm film. Protected negatives may be stored byconsecutive roll and frame numbers and crossreferenced according to location, or may be fileddirectly by location.Because negatives are generally original material and cannot be replaced, they should be stored separately from other materials under archival conditions. Contact prints may be made for filing with other survey records. A form attached to or filed with the contact print can easily reference the roll and frame numbers, and provide information for each negative such as property name, location, identification number, name, view, photographer, and date. Slides should be stored separately from other materials in closed baked enamel metal compartment files. Because color materials are more susceptible to deterioration and damage due to heat, light, and humidity than other photographic materials, color slides should be stored at a lower temperature, between SO to 60 degrees, if possible. Slides should always be handled along the cardboard mount, and placed in clear plastic sleeves made of inert material when being transported or used for study purposes. Information including property name, location, identification number, view, photographer, and date may be printed on the cardboard mount. Slides may be filed in various ways including geographical location, property name, or identification number. Review and Organization of Survey Data Use of Survey Data 1n • Planning The U.S. Supreme Court, in its decision Penn Central Transportation Co. v. New York City, commented that identifying (historic) properties and areas ... is critical to any landmark preservation effort ( 438 U.S. 104, 110, 1978). The Conservation Foundation's Handbook on Historic Preservation Law (see Bibliography), commenting on the Court's observa tion, notes that surveys are a key element in making city preservation planning and development goals complementary. But how does this key element relate to other aspects of planning? This section will address questions about how survey data can actually be used. Since each community's planning needs are unique, this discussion will necessarily be general, and some elements of it will apply to some communities better than others. Two kinds of planning will be discussed: preservation planning and community development planning. These are not unrelated; indeed as will be stressed, they should be closely coordinated, and they often in volve the same activities and strategies, but they will be discussed individually here for ease of presentation. What are the major components of preservation planning? Preservation planning, as used in this publication, means planning for the continued identification and evaluation of historic properties and for their protec tion and enhancement. Ideally these efforts should be guided by a comprehensive historic preservation plan that integrates the various activities and gives them coherence and direction, as well as relates the com munity's preservation efforts to community develop ment planning as a whole. A comprehensive historic preservation plan typically has several elements: an identification element, an evaluation element, and a protection element, the last incorporating a range of possible strategies for keep ing historic properties in place, maintaining their in tegrity, and, in the words of the National Historic Preservation Act, letting them exist in productive har mony and fulfill the social, economic, and other re quirements of present and future generations (16 U.S.C. 470-1(1). A realistic preservation plan will also include provision for those instances in which historic resources cannot be physically preserved-when other community needs demand that they be removed, demolished, or dug up. How are survey data used in ongoing identification? As the survey progresses, it is almost certain that historic contexts not recognized or fully defined at the time the survey was planned will become evident. Sometimes contexts that were initially defined very broadly are divided into multiple contexts as they are refined based on incoming survey data. For example, an initial context might be the dei.!elopment of warelzousing as a major city industry and, as survey data developed, it might be found that in fact the city's history had been characterized by two major phases of warehouse development-one associated with steamship commerce, the other, in another period of Use of Survey Data in Planning time, with railroads, and each represented by distinc tive kinds of warehouses in different parts of town. Dividing the context into two would be appropriate to ensure that both kinds of warehouses and the historic and architectural significance of each were given due consideration. Within each context, the analysis and synthesis of in coming survey data will almost always lead to the identification of property types and locational pat terns not fully anticipated at the time the survey was planned, resulting in continual adjustments to the 61 survey design. As information gaps established as priority targets for survey during initial survey plan ning are filled, new gaps will become apparent. This should not be a surprise, but should be welcomed as evidence of a maturing survey effort. The incoming survey data should be used to adjust and retarget subsequent phases of archival research and fieldwork. To take maximum advantage of the natural feedback between the survey work itself and survey planning, it is usually wise to conduct survey in phases. first con ducting a broad-brush reconnaissance, then using the results of the reconnaissance data to design subse quent phases of work. Unless some urgent develop ment priority demands it, it is usually unwise simply to undertake a community-wide intensive survey at the outset, or to target a particular area for intensive survey while postponing giving attention to the rest of the community. Lacking the information provided by initial reconnciissance of the entire community, the in tensive survey is likely to be poorly focussed, and im portant resources may be unnecessarily lost. How are survey data used in making evaluation decisions? Survey data obviously provide the raw material on which decisions about the significance of particular properties are made, but they are important to evaluation decisionmaking in more subtle ways as well. Since decisions regarding the evaluation of prop erties involves placing properties in historic contexts, the more that is known about a given context, the better will be the evaluation decisions made about particular properties. Recalling the example given above, for instance, when the question of how many and which warehouses to nominate to the National Register arises, the answer may vary considerably depending on whether a single warehouse-related con text or two such contexts are recognized. In short, as the survey progresses, evaluation decisions should become steadily better and better informed. The level of information upon which an evaluation decision is made can be particularly important if the decision is likely to be controversial. Where a decision is likely to be challenged, for example by a property owner who feels that recognizing a building as historic will impede its demolition or by preservationists who feel that a property is more historic than the survey data indicate, it is essential that the decision made be based not only on information about the property itself but also on the historic context of which it is (or is not) a part. Evaluation decisions can be made on the basis of in complete survey data, but it is wise not to make them without some information on the community's historic contexts and their component property types. As a result, it may be best, unless there is some urgent reason to do otherwise, to defer decisions about the significance of particular properties until at least some initial survey data have been collected concerning the ---------------------------- relevant historic contexts. For example, even though a particular property owner is very anxious to have his or her building nominated to the National Register at the very outset of the survey effort, it may be in the best interests of an orderly and defensible process of evaluation to defer the nomination until at least reconnaissance-level data are available on that par ticular context or contexts to which the building may relate. More importantly, a decision that a given property is not significant should never be made without access to a reasonable body of survey data on relevant historic contexts, since such an uninformed decision may result in the property's destruction without attention to its historic values. This is not to say that no evaluation decisions should be made until the survey effort has reached some par ticular level of maturity; sometimes there are good reasons to give priority to consider the significance of a particular property before much contextual informa tion has been gathered. For example, if a particular site or structure is threatened by a development proj ect, or if an evaluation of a building is important to a rehabilitation plan, it may be necessary to give the property's evaluation a higher priority than would normally be the case in the overall survey process. When an evaluation must be made without a firm understanding of the relevant historic contexts, however, it should be made on the basis of as much relevant data as it is possible to accumulate, and with full recognition of the fact that it may result in the destruction of a property that might later on the basis of complete survey results be found to be very signifi cant, or in the investment of money and other resources in a property later found to lack historic value. How can survey data contribute to strategies for the preservation and enhancement of historic resources? A community historic preservation plan may include a wide range of strategies for the preservation and enhancement of historic properties. A summary of 62 many such approaches can be found in Remember the Neighborhoods, by the Advisory Council on Historic Preservation (see Bibliography). Several commonly Use of Survey Data in Planning used strategies will be discussed below, with reference to the contribution survey data can make to them. General Historic Preservation Ordinances Community-wide historic preservation ordinances are effective ways to ensure that historic properties are considered in community planning as a whole, and in the development of different areas of the community. A community seeking certification under Section lOl(c) of the National Historic Preservation Act must have and enforce such an ordinance. The Conservation Foundation's Handbook on Historic PreservationLaw (see Bibliography) gives a good outline of the key provisions of a general-purpose preservation ordinance (though with insufficient attention to the treatment of archeological sites), and provides useful advice about how to draft such ordinances. Theoretically, a historic preservation ordinance could be established based on no information at all about a community's historic resources, but merely on the general supposition that there might be something in the community having historic significance. In fact, however, some body of information on the community's resources is usually necessary simply to generate the awareness that there is something to protect, and the more survey data that are available, and the more comprehensive such data are, the better the ordinance can be drafted to address the community's actual preservation opportunities and constraints. Historic preservation ordinances typically provide for the existence of a review body of some kind to oversee the preservation program and specifically to make evaluation decisions. Survey data can help define the kinds of expertise that should be represented on the review body. For example, if on the basis of initial archival research or other survey work it appears that the community was the site of significant prehistoric development, the presence on the review body of an archeologist specializing in prehistory might be called for, while if it appears that the community contained many buildings representing different schools of design, periods of construction, and architectural styles, the presence of an architectural historian would be appropriate. Representation by sociologists or anthropologists might be called for if evaluation decisions were likely to involve the consideration of ethnic neighborhoods or other resources associated with particular contemporary social groups. Ordinances also spell out the scope of authorities assumed by the review body and the preservation program it oversees. Survey data can help define what authorities are needed. If the community contains many historic buildings that may be candidates for adaptive use and rehabilitation, but which may also be subjected to insensitive renovation, the preservation program may need to have the authority to review and approve renovation activities as well as Use of Survey D<lta in I'lanning outright demolition. If the visual qualities of certain streetscapes are likely to be important, the program may need the authority to review alterations to building exteriors. If the community is likely to contain significant subsurface archeological resources, the program may need the authority to review grading permits or other authorizations for ground disturbance. Finally, ordinances usually set forth the procedures and standards that will be used by the preservation program in evaluation decisions and in decisions about approval or disapproval of particular kinds of activities that may affect historic properties. Survey data can help ensure that such procedures and standards are actually appropriate to the community's resources. For example, if the community's central business district contains many historic buildings suitable for rehabilitation, ordinance drafters may want to pay particular attention to the establishment of standards for rehabilitation and procedures for reviewing renovation-projects. If an important historic context is agricultural development in what are now the suburbs of a city. special attention may need to be paid to standards and procedures for dealing with visual and physical intrusions on surviving farmsteads and agricultural buffers. The relationship between the survey process and the development of an ordinance is a dynamic one. On the one hand, the ordinance will be most sensitive to the community's needs if it is based in part on some survey data. On the other hand, the survey will probably be most effective if it is backed up and structured by an ordinance. If a community has the luxury to establish its preservation plan in an orderly, step-bystep manner, it may be best to conduct at least initial survey planning, establishing basic historic contexts, and perhaps to conduct some level of reconnaissance work, before drafting an ordinance, and then to draft the ordinance with an eye toward facilitating further survey as well as fulfilling other preservation objectives. In any event, drafters of ordinances should take into account whatever survey data is available as they carry out their work. Historic District Ordinances Historic district ordinances differ from general historic preservation ordinances in that they apply only within particular designated historic districts and in that they are typically much more specific in their terms. They often provide that particular kinds of changes, for example, any alteration to the exterior of a building or structure, can be undertaken only after issuance of a permit by the city historic preservation office or by a historic district commission. Drafters of historic district ordinances will need survey data of the kinds discussed above, but in addition, of course, survey data will be needed to define the historic district to 63 which the ordinance applies. If the district is to be nominated to the National Register, fairly complete data based on intensive survey will be needed. If it is to be designated at the local level only, less (or in some cases, more) information will be required, depending on local law and policy. To establish justifiable controls, it is necessary to know enough about the historic resources that make up the district to decide what their important characteristics are, and for this task, good survey data are needed. Financial Incentives Financial incentives for the preservation, rehabilitation, and adaptive use of historic properties can take many forms, some carried out completely at the local level, some featuring a partnership with State and Federal agencies. Examples include: •tax incentives, such as Federal investment taxcredits and local exemptions from or reduction ofproperty tax;•grants from the State Historic Preservation Officer,the National Park Service, the Department of Housingand Urban Development, the National Endowmentsfor the Arts and Humanities, the National Trust forHistoric Preservation, and other public and privateagencies;•Federal, State, and local subsidies to assist keybusinesses and to support low-income housing, helping to stabilize deteriorating commercial areas andneighborhoods; the Department of Housing and Urban Development has published examples of such programs that are worth consideration (e.g., Leveraging your CDBG, see Bibliography);•the charitable contributions of partial interest in anhistorically important land area or certified historicstructure that can be deducted from taxes; and•the use of revolving funds and low interest loans tosupport such activities as sensitive rehabilitation andfacade restoration.Information and advice on possible financial incentives can be obtained from the State Historic Preservation Officer. Survey data are important in the administration of financial incentive programs not only to identify specific historic properties whose owners or developers might be offered such incentives, but also to give the community an early idea about what kinds of incentives might be appropriate. To return to an earlier example, the community whose central business district contains many buildings that could be rehabilitated may want to give special attention to tax incentives for rehabilitation, and perhaps to donations of facade easements, while the community whose agricultural hinterland is important may take special interest in the purchase or receipt by donation of conservation easements. 64 Archeological Programs Programs to protect and use archeological sites come in several forms. Provisions applicable to other kinds of historic properties can be adapted to archeological purposes; for example, conservation easements can be used to protect archeological sites from land disturbance, and tax credits can be offered for the contribution of funds to archeological excavation or for the contribution of the artifacts recovered from such excavations to the government or a non-profit corporation. Preservation ordinances can provide for the review of grading permits and other actions that permit subsurface disturbance, and can require that archeological salvage excavations be done when a significant site is to be disturbed. All these provisions can be best and most sensitively put in place if some survey data are in hand. For example, development interests in a community may object strenuously to an ordinance giving a preservation program review authority over all grading permits, but may object less if the authority is restricted to particular areas where survey data indicates the likelihood of significant subsurface resources. Because archeology is concerned with the preservation, recovery, and interpretation of information about the community's past, there are certain strategies that can be applied to archeological preservation more effectively than to the preservation of other kinds of resources. Salvage archeology-the excavation of sites that must be destroyed and the translation of the data they contain into books, archives, and exhibits-is an example of such a strategy. There is a great potential for public involvement in salvage archeology, which typically requires a large workforce and many skills and levels of experience. Some communities have public archeology programs that stimulate interest and provide recreational opportunities under professional supervision while supporting local museums and interpretive programs and salvaging archeological sites at low cost. Such programs not only use survey data to determine where to dig, but also can be used to carry out the archeological component of a survey program itself. An excellent example of such a program is described in the National Park Service publication Approaches to Preserving a City's Past (see Bibliography). Interpretive Programs Programs that interpret historic properties, and the community's history, prehistory, and architecture in general, for the public can be powerful tools in preservation. They can generate public interest in and sympathy for preservation, and make the objects of preservation understandable to taxpayers, voters, and decisionmakers. Examples of interpretive programs include the development of house museums, the sponsorship of walking tours, the publication of brochures and books on the community's past, the Use of Survey Data in Planning establishment of displays in museums, public buildings, and open spaces, and the on-site interpretation of historic buildings, structures, and sites. Survey data are important to interpretive programs not only for the identification of properties that may be interpreted, but also for the establishment of contexts in which interpretation can be carried out. An interpretive program will be most meaningful to the public if it presents an integrated view of the community's past, based on significant history contexts developed in the course of survey work. Public Involvement The more the public can be involved in a community's preservation program, the more likely the program is to succeed. Not only can survey data contribute to public support by helping the public understand what is important about the community's past, but the survey effort itself can be a powerful stimulus to public involvement. Because a survey can, and indeed must, draw on a wide range of talents, and because most survey work can be done by trained volunteers under professional supervision, a community's residents can become deeply involved in the conduct of the survey itself, and it can serve to catalyze their participation in the community's preservation program as a whole. Where Destruction Must Occur Historic properties cannot always be preserved in place, even with the best of preservation plans and programs. Modern economic and social requirements sometimes cannot be accommodated by the adaptive use of historic buildings, and in the competition for urban space, such buildings must sometimes be the losers no matter how earnestly the community may wish to preserve them. Archeological sites are even more prone to destruction, since even a rehabilitation project may involve disturbance of the ground under and around a building. Where historic properties must give way to modern development, or to natural processes of erosion and decay, several strategies can be undertaken to avoid complete loss. In some cases historic buildings can be relocated to new sites with compatible surroundings where they can be preserved and rehabilitated. Often such buildings are marketed for relocation-offered for sale at a low price (the cost of demolition, or less) to anyone who will relocate and rehabilitate them. If demolition must occur, buildings are often recorded so that a body of information will remain about them. The Historic American Buildings Survey and the Historic American Engineering Record, both in the National Park Service, can provide detailed information on architectual recordation. In some cases, architectural elements are salvaged for reuse in new development, or for curation in a museum. Archeological sites are often subjected to salvage excavation or data recovery; this involves the conduct of archeological research aimed at extracting the useful information such sites contain before they are destroyed. Guidelines for archeological salvage research projects, and examples of such projects, can be obtained from the National Park Service. How can survey data be used in community development planning? Historic preservation can be viewed both as an opportunity for community development and as a constraint upon such development. In the past it has largely been viewed as the latter; today it is increasingly seen as the former, but in fact it properly is both. From the standpoint of constraints, such survey data as the description of historic contexts, predictive maps, and inventories are vital to the identification of conflicts between development planning and local preservation priorities, and can facilitate determining what will need to be done to meet State and Federal environmental review requirements. From the standpoint of opportunities, survey data can be used to identify the historic contexts and their constituent elements-buildings, streetscapes, building uses, cultural activities, and other resources-on which community development can build in order to make the most of the community's unique historic qualities. Ideally, development planning should use survey data to identify opportunities for the use of the community's historic character in creating its future, to minimize conflicts between preservation and develop- Use or Survey Data in Planning ment, and to provide for the orderly resolution of those conflicts that inevitably will occur. The National Park Service publication Economics of Revitalization (see Bibliography) provides a prescription for integrating historic preservation positively into development planning. The essential steps in the process involve: 1.Identifying opportunities and constraints, including:•defining and characterizing the target area,•identifying community goals,•identifying assests for and constraints on development,•identifying the Federal, State, and local regulationsthat might control or influence the development,and•describing existing proposals or alternatives fordevelopment. 65 2.Overview analysis of:•market dynamics,•investment climate,•the capabilities of the community and the developer(s) involved,•the social and community interests and concernsthat pertain to the development area, and•the potential of the development to catalyze addi-tional positive development.3.Screening options, involving assessment of:•economic impacts, both positive and negative,•social impacts, both positive and negative,•the potential of each option to catalyze furtherpositive development, and•the development opportunities that will be foregoneif a particular development option is chosen.Survey data are vital to carrying out many of the above steps in orderly development planning. It is obvious that survey data can and should be used to identify development assets such as historic buildings suitable for rehabilitation and adaptive use, and historic neighborhoods whose cultural cohesion provides a basis for economic growth without loss of character or displacement of residents. Survey data can also be useful in identifying community goals and social interests and concerns, especially with reference to the goals of neighborhood groups, social groups, businesses, and others who may wish to preserve and enhance the historic and cultural character of particular areas of the community. Similarly, survey data can provide a basis for measuring aspects of the social impact of a proposed development, by identifying the kinds of changes that will be welcome and those that will be distasteful to those who value the character of the areas that may be affected. Survey data can also help in the assessment of a project's catalytic potential, by identifying properties and areas with the potential for rehabilitation and reuse in the vicinity of a proposed development project. Ideally, development planning should relate to an area's historic resources in a positive manner, viewing existing structures, views, streetscapes, social groups and activities, and cultural attributes of the area as things to be understood and built upon. Using survey data at an appropriate scale, development planning should seek to characterize the historic resources of the area and to identify the key elements that define its character-both such tangible elements as buildings, street plans, and archeological sites, and such intangible elements as social groups and patterns of activity. These should be used to help define the development plan in a way that uses the area's character rather than destroys it. 66 Even where survey data cannot be integrated into planning in such a positive manner, such data are still vital in identifying constraints and in establishing orderly processes for dealing with them. At a bare minimum, what a development planner needs to know about historic resources is a) where they are and b) what can feasibly be done to care for them in the development process. Survey data can, of course, provide such information. A completed survey will allow planners to identify precisely what historic resources exist in a proposed project area and, by providing a statement of each property's significance, will provide one key piece of information needed to determine how each property should be treated. However, a survey need not be completed to provide vital information for development planning purposes. For example, based on archival research and reconnaissance level field investigation of an area where development is being planned, it should be possible todocument: •the historic contexts relevant to the area;•the basic types of historic properties likely to befound;•the contemporary cultural, social, and economicuses of such properties, and the way these structurethe use of space;•the general changes that are occurring in the architectural fabric and social uses of the area;•the social groups, ethnic groups, organizations, andothers having historic and cultural interests in thearea;•the historic preservation goals and priorities thatcurrently apply to the area, and to some extent,likely future goals and priorities;•in some cases, the mechanisms that might be usedto resolve conflicts with preservation-related interests, and•sources of additional information on the area'sresources.For example, imagine that a community wishes to undertake a program to revitalize an area consisting of an economically depressed residential neighborhoodand a commercial street, and that an historic resources survey of the area has progressed only to the reconnaissance level. Based on archival research, windshield survey, interviews with local residents and organizations during survey planning, and minor archeological fieldwork, the survey data might document: 1.Three major historic contexts are thus far known tobe relevant to the area. The earliest is based on use ofthe area in the 18th century as a cattle ranch, and isimportant to economic historians studying the early Use ,,t Survey Data in Planning development of the beef industry. The second involves commercial development stimulated by economic boom conditions in the 1880s and 1890s, and the third is the immigration of ethnic populations during the early 20th century. 2.It is unlikely that any standing structures survive to represent the cattle ranching historic context, but thearcheological remains of the ranch center are likely tooccur in a two-block area under existing low-densityhousing. Many of the area's commercial buildingsdate from the late 19th century boom. Theneighborhood subject to effect by the project includesrow houses built originally to house Irish immigrantsand later adapted by an Italian immigrant group; thearea remains heavily influenced by Italian customs today. 3.The cattle ranching historic context has no apparent influence on modern uses of space, and its archeological sites are not significantly influenced by contemporary activities. The commercial buildingscontinue in use, primarily serving the day-to-dayneeds of the neighborhood. The neighborhood appears to be close-knit; archival research and initial interviews indicate that related families tend to occupyadjacent or nearby houses, where they regularly interact and assist one another. Field reconnaissancesuggests that this has resulted in the formation of somewhat distinctive mini-neighborhoods in which exterior painting, landscaping, and minor details of architectural ornamentation vary from one group offamilies to another; it is assumed that the same patterns would be observed if the interior organization ofhouses were examined. 4.The entire area is suffering decay as a result of itsdepressed economy. Owners of commercial buildingshave damaged their buildings by deferring maintenance and by using inappropriate materials andtechniques to cover up damage or to modernize theappearance of the buildings. In the residentialneighborhood, it appears that some clusters of houses,representing particular groups of families, are wellmaintained, while other clusters are rapidlydeteriorating. It is assumed that the well-maintainedclusters represent groups of families that continue thetradition of cooperation and self-help, while thosethat are deteriorating reflect family clusters that aredisintegrating. 5.A group of businesspeople has been cooperatingwith the survey, and its members have expressed interest in rehabilitation. A neighborhood group has expressed suspicion about the intentions of the surveyteam during initial interviews, but its representativeshave spoken eloquently about their desire to retainthe character of the neighborhood and reverse the patterns of disintegration they observe around them. t_;se or Survey Data in Planning 6.Current preservation goals applicable to the areainclude determining the integrity and significance ofany archeological remains of the cattle ranchinghistoric context, defining the significant characteristicsof the area's commercial buildings as a basis for rehabilitation planning, and studying the residentialneighborhood as a potential historic district. Dealingwith the commercial buildings is given highest prioritybecause of their deteriorating condition and the interest that their owners have shown in rehabilitation.Study of the neighborhood is given second prioritybecause of the potential for using historic preservationstrategies over the long run to help its residentsreverse the process of decay. Addressing the archeological remains of the ranching context is givenlowest priority because the remains are in no immediate danger. 7.The businesspeople do not form an organizedgroup, but could probably be brought together tocooperate with local government and developers in aredevelopment effort. Some of the major leaders ofthe residential neighborhood do not speak English astheir first language, so efforts should be made to ensure that project plans are described and discussed inItalian as well. An effort should be made to ensurethat representatives of each family cluster are contacted to discuss project planning, preferably with thecooperation of trusted neighborhood leaders. 8.A master's thesis on file with the history department at a nearby college is the major organized sourceof information on the cattle ranching historic context,and describes how the location of the ranch centerwas established through the study of historicalrecords. The anthropology department at the samecollege developed a proposal for a field school inhistorical archeology at the ranch center site, but failed to obtain funding; this proposal could serve as thebasis for designing a testing program to determinewhat physical remains actually exist on the site, andperhaps for designing an archeological salvage projectif the site is to be disturbed. The boom period of thelate 19th century is well documented in records on fileat the local courthouse and in the city library, thoughlittle work has yet been done on the study of its architectural products per se. Initial interviews haveresulted in the identification of several individualswho can provide oral historical and ethnographic information on the Italian use of the residentialneighborhood, but information on the initial Irishperiod is very sparse at present. Based on such information, development planners and preservation authorities can work together to integrate preservation goals and priorities into the development process. Disturbance of the area likely to contain the remains of the historic ranch can be avoided if possible; if avoidance is not feasible, an archeological program can be designed to establish what remains actually exist and, if they have real value for research, 67 to recover pertinent data from them. Businesspeople interested in rehabilitating their buildings can be organized to work with developers and planners, and the project can be planned to the extent feasible to be compatible with their interests. Revitalization of the neighborhood can be planned to build on its social strengths and perhaps to correct the weaknesses that are leading to its deterioration, preserving its cultural character and, thereby, its particular architectural values. Not all of these happy results may be possible. It may not be feasible to preserve so much of the area's historic and architectural fabric and still have an economically viable project. Even if in the end nothing is preserved, however, the application of survey data will not have been in vain. If nothing else, the data will provide the basis for understanding what is being lost and making informed decisions about whether to sacrifice it. It will also provide the basis for considering measures to mitigate loss of the resources, through relocation, recordation, and salvage. Finally, it will help ensure that people and groups interested in preserving and maintaining the character or the area participate in the planning process, rather than feeling that the project was imposed upon them without considering their concerns. The major point to be remembered is that survey data can be mobilized and employed at virtually any point in the progress of a survey to provide information useful in development planning. If the survey itself is well planned, at each step in its progress survey leaders will have some idea of the historic contexts relevant to various parts of the community, and some set of goals and priorities for each context. Development planners should take these goals and priorities into account in carrying out their work, seeking to address them in carrying out their own programs. If the survey is at a very early stage when it intersects with development planning, development planners will be able to draw only on general, preliminary survey data. They will probably have to be prepared for planning delays while historic contexts are developed, initial surveys are conducted, and preservation goals and priorities are established, before they can try to blend such goals and priorities with those of development. As the survey matures, development planners will have to worry less and less about the identification of contexts and properties and the establishment of goals and priorities; these will have been established, and the challenge for development planners will be to seek ways to accommodate them. Survey data are most useful to development planning if they are systematically integrated into the community's general planning. This is done by establish- 68 ing a preservation element in the community's general plan, and by adjusting the general plan as a whole to ensure that the guidance it provides to decisionmakers is not inconsistent with preservation interests. Zoning is of particular importance to preservation. Whatever incentives to preservation a community may adopt, if its zoning is designed to encourage high-density development of areas containing historic resources, such development is likely to occur, It is desirable to incorporate historic preservation concerns into a community's zoning system, so that historic areas and areas around key historic sites and structures are zoned only for development that is compatible with the character of the historic resources. If this is not feasible, then the general plan may overlay onto the zoning plan a requirement for review and approval of development schemes by an historic preservation or architecultural design review body. Ideally, the historic preservation component of a community's general plan should be ronzµrc/1e11si,,c- that is, it should deal with all kinds of resources important to understanding, appreciating, and experiencing the community's past. This requires that the community have at least the results of some archival research, and usually some reconnaissance-level survey data, in hand when it begins work on the plan. Enough should be known to have at least a general idea about such matters as: •an initial formulation of historic contexts that mayhave characterized the community's history:•whether the community is likely to have significantprehistoric or historic archeological resources, andin what areas these may be concentrated;•the general types of buildings and structures thatmake up the community's built environment, andwhat their major important characteristics are;•the general locations and boundaries of likelyhistoric districts:•the general nature and characteristics of anycultural landscapes; and•the social and cultural characteristics of the community and its neigborhoods that may influencepreservation decisions.At the same time, it should be remembered that a survey need not be complete to serve as the basis for development of a preservation plan. Plans can be developed at relatively early stages in the conduct of a survey, as long as they provide for ongoing survey and evaluation, and for adjustments to the plan itself as new survey data are acquired. Use of Survey Data in Planning ----!iii------ Publications One of the major ways in which an historic resources survey benefits historic preservation in a community is that it builds public awareness of the community's built environment and historic heritage. As the survey progresses toward completion, increasing amounts of information will be available to help achieve this objective. Publications using this information are an effi- cient means of communicating preservation concerns and recommendations to a variety of people in the public and private sectors-community planners, local decisionmakers, residents, and educators. This section discusses ways of making survey data available to a broad audience through a range of publications and promotional material. What should be published once a survey is completed? The decision of what and how much to publish depends on the community's own goals and priorities. Among the factors to consider are the purpose to be achieved, the potential audience of the publication, and the amount of money available for publication. Communities should be aware that publication may be the single most expensive part of the survey process. A publication is evidence of local commitment to ongoing preservation activity, however, and may be instrumental in generating enthusiasm and obtaining support and funding for carrying out the overall community preservation plan and other preservation projects. A single publication that attempts to convey the full range of detailed survey information may be overwhelming. The general public may be interested in some but not all of the information that is important to the professional historian, archeologist, architect, or planner or to local government officials. All may be interested in the historical, architectural, and archeological resources of their community, but extensive explanation of methodology, standards and criteria, and development and alternatives for further action may be of interest only to limited, particular audiences. To make effective use of survey data, a community may want to schedule several publications reflecting the varied interests of local citizens and organizations. General interest publications can provide information on the architectural, archeological, historical, cultural, and environmental character of the community. Pub- Publications lications that can make citizens aware of their cultural heritage and provide the impetus for local preservation activity include summaries of local history and prehistory, guidebooks, historic and archeological monographs, photographic essays, illustrated selections from the inventory, and leaflets on individual properties or areas. Other ideas include the production of walking tour maps and posters summarizing survey results or illustrating the community's heritage. Publications containing more technical information may be used to communicate the goals and methods developed in the preservation plan to local administrators and decisionmakers. These may summarize an entire inventory, present the results of archival research, reconnaissance, or intensive survey as overlay maps showing areas where particular kinds of historic properties may be expected, prese11t the survey process and methodology, and provide detailed guidelines for preservation, restoration, or rehabilitation. The following types of information should be published as the results of surveys, though not necessarily all in the same volume: •The name of the group or agency conducting thesurvey and identification of personnel involved.• A brief introduction to preservation and explanation of the reasons for undertaking the survey.• A brief description of the historic contexts, goals,and priorities that structured the survey. 69 •An explanation of criteria used in evaluating properties.•An explanation of survey methodology.• A general description of the area covered by thesurvey.• A discussion of the historic property types representative of each historic context.•Particularly in the case of a reconnaissance levelsurvey, a discussion of the likely locational distributions of different historic property types.•Examples of, or a complete list of, the propertiesidentified. A list of some or all properties in the inventory. If a large number of structures and sites areincluded in the inventory, description of all the properties may prove overwhelming to the general reader.•Illustrations of significant resources; maps, photographs, line drawings.• A discussion of the visual and physical interrelationship among environmental features, large andsmall, manmade and natural. Discussion of the visualeffect of new buildings juxtaposed with older ones;pivotal structures with less important neighbors; therelationship of buildings to open spaces. Discussion ofnatural features such as rivers, bluffs, and hills whichdefine an area's character: also other elements such asvistas and views, paths, focal points, edges and land- marks, signs, graphics, landscaping, pavement, lighting, and street furniture. Discussion of pertinent social and cultural characteristics of historic districts and other properties. •Outline of long and short term goals (as defined in the preservation plan).•Recommendations for community action based on the survey, and discussion of techniques and strategiesfor accomplishing these objectives: legal and financialtools, sources of funding, architectural and planningoptions.•Information explaining how the survey may resultin or affect local designations, and how the localhistoric preservation commission and review process,if any, function.•Glossary and bibliography.•Additional planning data, such as current buildinguse, social factors, and zoning.•State, Federal, and local preservation activity,related groups, and programs.•Storage and repository systems: explanation ofwhere and how to find information on propertiessurveyed. What are some considerations in production and distribution of survey publication? The primary considerations in production and distribution are the format and quality of the publications desired, the intended means of distribution, and the amount of funding needed. Funding a publication usually involves resourcefulness, imagination, and persistence. Although a community should expect to bear most, if not at all, of the cost of publishing, Federal and State funding sources can sometimes be helpful; the State Historic Preservation Officer should be consulted for advice. Locally, businesses and chambers of commerce may be persuaded to underwrite the cost of such publications; also, groups whose members were involved as volunteers in the survey process may wish to contribute, as may other civic groups and clubs. Realtors and organizations or realtors may contribute to publication, particularly where they are active in the sale of real estate in historic districts. Editors and designers may also be persuaded to donate their time to production of the publication. An alternative means of paying for publishing costs is to obtain the services of a local university or environmental press willing to undertake such a publication. Bank loans may provide another means of funding publications: though rare, the technique has been used successfully by several organizations. 70 In creating a publication, it is important to consider format and tone. Well-designed publications will communicate the urgency and challenge of preservation efforts, educate residents and local officials, and stimulate greater visual awareness; unwieldy, verbose, or visually unattractive publications can negate the impact of the most interesting and valuable body of information. In tone, format, and content, a publication should be designed to interest as well as inform those to whom it is directed. A well-designed publication need not be expensive: imaginative use of line drawings, type copy, and paper color will enhance format at relatively little cost. Obtaining the services of a designer, and possibly an editor, may result in a more professional-quality publication. Ideally, editors working on the project should have done similar work (with local historical or environmental groups, for example), and have interest or experience in preservation. Designers should be familiar with paper stock, typefaces, and page design, and be able to deal effectively with photographs, drawings, maps, and other graphic material. A printer is usually selected on the basis of bids, and the press selected is generally the one that offers the Publications best quality at the lowest cost. Usually a publication schedule is not worked out until the project is well underway, at a point when the project manager can estimate the number of pages, amount of graphic material, kind of paper, type of cover, and number of copies needed. Distribution and promotion considerations apply primarily to general interest publications. For these publications, alternative methods of distribution need to be considered: whether a publication is to be distributed free of charge (i.e., to every house in a particular area, at a lecture, tour or other event, or at a particular location), or sold. If sold, will it be sold by a particular organization or commercially, and at cost or for profit? Press releases and advertisements are useful in promoting a publication. Sending review copies to the State Historic Preservation Officer and local newspapers, journals, and radio and television stations, and publicity copies to municipal libraries, archives, and other public information centers, may encourage review and display of the publication. Thought may also be given to visual or graphic promotion of the publication; posters may be placed in post offices, grocery stores, libraries, and schools, or copies of the publication may be displayed in store windows. What are some alternatives to traditional publication? It should be stressed that there is seldom a need to publish all the data resulting from a survey; what is important is to make it available to those who need it for planning and related purposes. The basic survey data should be maintained in flexible, open-ended files with appropriate catalogue systems, as discussed in Chapter III. Publications should present summary data, data needed to back up plans and recommendations, and material of direct public interest. In the storage and presentation of primary survey data themselves, micropublication may be useful and economical. The most common form of micropublica- Publications tion is microfiche, where each 4-by-6 inch plastic fiche contains the images of up to 100 pages of text and pictures. Commercial microfilming companies can generally produce multiple copies at a much lower per-page cost than printing companies. Such newer technologies as videodisc recording should also be explored; videodisc recording is relatively inexpensive and can handle a greater range of material than any other form of data storage and presentation. It also can be integrated with computer systems and used in the analysis of data as well as in its storage and presentation. 71 Appendix I: Archeological Surveys As discussed in the preceding chapters, efforts to identify archeological sites and other properties containing important information about the past are normal parts of comprehensive historic resources surveys. Some special discussion of archeology is necessary, however, because archeological surveys require special methods and, more significantly, because they involve certain ways of looking at one's surroundings-and thinking about them-that may be relatively unfamiliar. What is Archeology? Archeology is a systematic, scientific attempt to reconstruct activities and social groups that have occurred or existed in the past, and to see how these have changed through time. The perspective of archeology is essentially that of history-that if we can account for the past, we can better understand the present and the future. Archeology, however, is strongly influenced by the social sciences, particularly anthropology. As a result, archeology's attempts to account for the past tend to be comparative and scientific: archeologists try to ask definite questions about the past, pose hypothetical answers, and test the validity of these answers by examining comparative data, often from many sites and areas. Many archeological questions are of purely local or short-term interest. For example, archeology may be used to obtain information necessary for the accurate restoration of a building, to check the validity of a reported historic event, or to reconstruct the culturehistory of a particular area. The questions asked in such studies, while they may be important in understanding the community's history, serve no large historical or social-scientific purpose, except to provide bodies of information that may eventually be combined with other data in large-scale anthropological or historical research. An increasingly large segment of modern archeological research is devoted to a search for answers to questions of major anthropological significance; for example, archeologists seek to understand the effects of environmental change and population pressure, the reasons for war, the bases for various forms of political organization, and the effects of change from one economic system to another. It is important to realize that these big questions often require many little answers from many little and big sites. Like any other science, archeology is less involved with spectacular discoveries than with testing modest hypotheses about rather humble phenomena. The accumulated results of such tests provide the basis for large scale research. Thus, no one should be surprised at the fact that archeologists often are more interested in small, simple, 72 ordinary, and seemingly redundant properties than in big, impressive monuments. On the other hand, not everything that an archeologist might possibly study is worth studying. Some research questions that might be studied in a community may be trivial, and others may have already been effectively answered through other research, or be better studied using other resources, making it redundant to invest time and trouble in seeking to study them using the community's particular archeological resources. Since archeology can be expensive, communities should be careful in designing the archeological components of their surveys. The historic contexts to which archeological data may be relevant should be carefully defined, and decisions should be made about the research questions that are truly significant enough to pursue, before beginning fieldwork. The Secretary of t/1e Interior's Standards and Guidelines for Arclieological Dornmentation and Treatment of Archeological Resources. a publication of the Advisory Council on Historic Preservation (see Bibliography), provide guidance in how archeological resources may productively be approached. Things that are of archeological importance may be very subtle, hard to see and record. Usually it is not artifacts themselves that are important but the locations of artifacts relative to one another. Deetz, Fagan, McHargue and Roberts, and Brace (see Bibliography) give good basic introductions to archeological field methods. Many, perhaps most, archeologists in the United States specialize in µreliistoric archeology, which in this country means the study of the archeological remains of American Indian societies as they existed before substantial contact with Europeans. The National Historic Preservation Act treats prehistory as a part of history for purposes of national policy, and it is treated as such in this publication-in other words, it is assumed that a comprehensive historic preservation program should be concerned with properties created during µrehistoric time periods as well as with those created since literate observers arrived on the scene and history began in a technical sense. At the same time, it is important not to consider archeology as only prehistory, and not to think that archeological data exist only under the ground. Archeologists are concerned not only with prehistory but also with even the most recent past. One group of archeologists, for example, has studied industrial water power systems form the 19th and 20th centuries in Troy, New York, and Paterson, New Jersey, while Archeological Surveys another group has concentrated on the very recent past by studying the garbage of modern Tucson, Arizona, to seek understanding of changing economic conditions and how people cope with them (Rathje 1977). Many archeologists specialize in historic ar cheology-that is, the archeology of sites and structures dating from time periods since significant contact between American Indians and Europeans, and some specialize in industrial archeology-the study of sites and structures reflecting changing industrial processes and practices. The kinds of archeological expertise needed by a particular community in its survey effort should become apparent during the initial definition of historic contexts. If it appears that the community may have been the scene of substantial prehistoric American Indian activity, specialists in prehistory should be consulted. If early industrial developments may be important, a specialist in industrial archeology should be sought out. If the processes of growth and development in the community since the time of contact between American Indians and Europeans may have left evidence in the ground or in buildings or structures that could be profitably studied by archeologists, a specialist in historical archeology should be contacted. The State Historic Preservation Officer and the National Park Service Regional Offices can be of assistance in defining the kinds of assistance needed, and such organizations as the Society for Historical Archeology, the Society for Industrial Archeology, and the Society of Professional Archeologists (see p. 19) may be helpful. The Archeology of Buildings and Structures To an archeologist, a building or structure is a complex artifact, created and used by people for activities that reflect their social, cultural, and economic needs and interests. The construction and organization of the building or structure, its modification through time, and the evidence of activities that occurred in it may all be important. For example, the way a house is constructed may reveal things about the builder's perceptions of how space should be organized. Modifications of the floor plan during the life of the house may reveal how occupants at different times wished to organize their life-space in response to changes in social conditions, population size, economic status, technology (e.g., the introduction of electricity), and so on. The things left in and around the house by its past occupants-furniture, papers, wallpaper, graffiti-may reveal facets of their daily lives, interests, preferences, and beliefs. Not only may the things themselves contain such information but their organization within the house may indicate things about the occupants' view of themselves and their world. The ways in which we organize and fill our living spaces can reveal a great deal about how we view ourselves and wish to be viewed by others. In industrial structures, such things as scars on the Archeological Surveys floors left by belt-drive, marks left by the mounting of machinery, and patterns of grease or other stains reflecting drippage from pieces of equipment may provide evidence of vanished machinery and abandoned industrial techniques. The Archeology of Sites A site is less obvious than a building because it does not protrude above the ground. It may, of course, contain elements (including buildings and structures) that do protrude above the ground. It is important to remember that most historic structures and buildings are surrounded and underlain by historic archeological sites-the debris remaining from the decay or demolition of outbuildings, deposition of trash, and so on. These sites are often of value not only for general archeological research but for developing a detailed understanding of the buildings or structures that stand on them. Other sites, of course, are not associated with buildings or structures now standing. Their buildings or structures may have disappeared or been reduced to subsurface remnants (e.g., prehistoric village sites, many early historic structures), or they may never have been associated with buildings or structures (e.g., campsites, trails, battlefields, hunting stations). Immediately under a modern elevated expressway, archeologists ex cavate the remains of the 19th century Henley Distillery in Boston, Massachusetts. (Linda Gifford, Public Archeology Laboratory, Brown University, and Massachusetts Department of Public Works) 73 Sites are often very hard to recognize, especially for untrained persons. Prehistoric sites are sometimes the most difficult to notice, because they do not contain familiar manufactured items. A prehistoric campsite, for example, may have nothing on the surface of the ground but a few flakes of stone resulting from the manufacture of spear-points, and a few cracked rocks from cooking fires. On the other hand, sites representing more recent historic periods may be hard to recognize precisely bemuse the debris they contain is so familiar; such a site may be represented on the surface only by a scatter of bottle fragments or pieces of porcelain or brick, indistinguishable by the untrained eye from modern trash. Some sites may be entirely buried making it important to understand the geology and recent depositional and construction history of the area being surveyed in order to predict where such buried sites might occur. Historical data may indicate that a particular area experienced recurrent flooding in the past that may have buried archeological sites, including the remains of early structures, under silt, or that an area had been subjected to purposeful landfill. Archeologists in port cities like New York and San Francisco have found whole ship hulls preserved under such landfill. On the other hand, historical data on an area's construction history may reveal that the construction of buildings with deep basements has penetrated the levels at which archeological sites might be expected to be buried, leaving little likelihood that such sites remain undisturbed. The Archeology of Districts Definition of an archeological district implies not only that sites, buildings, structures, or objects of archeological value are present but that there is some plausible connection or relationship among them. Archeologists often define as a district the area that was probably used by a social group in its daily activities. For example, a watershed containing a prehistoric village site and a number of campsites may be regarded as a district on the basis of archeological and or ethnographic evidence that the whole area was used for hunting, gathering plant foods, or shifting agriculture, with the village and the campsites representing different types of activities engaged in by the same population. An area that was a recognizable ethnic neighborhood in the past-for example, a C/1inatow11 or the location of a free Black community after the Civil War-may be defined as a district, as may an area of definable commercial or industrial activity such as a port area or a commercial street. The Archeology of Objects Archeologists are unaccustomed to thinking of the subjects of their inquiry as objects; because the subjects are almost always stationary, they are thought of as sites instead. Objects, some still movable such as 74 totem poles, may have archeological value in much the same way as do structures and buildings, in that they may contain evidence of the way life and activities were organized in the past. Prehistoric objects such as isolated rocks covered with petrogylphs (pecked or inscribed rock-art) or pictographs (painted art rockart) are of archeological value as indicators of religious or artistic activities and often as markers of trails, hunting areas, social boundaries, water holes, dangerous areas, and other aspects of the environment that must be studied to understand prehistoric relationships between social groups and the natural world. Such objects may also retain cultural and religious importance to groups of American Indian extraction in the community. Selecting an Archeologist Because of the subtlety, fragility, and complexity of the archeological record, it is vital that an archeological survey be professionally supervised and that surveyors be fully trained. In selecting an archeologist to supervise a survey it is important to recognize that not all professional archeologists are equal in their training or interests. For example, an archeologist who has specialized in studies of prehistory may be at a loss when confronted with the archeology of historic buildings, structures, or relatively recent sites. As noted above, the State Historic Preservation Officer, regional offices of the National Park Service, and relevant professional associations may be of aid in matching the community's needs with available archeological expertise. The community may also find it helpful to seek the advice of other communities that have obtained archeological services; the State Historic Preservation Officer and the National Alliance of Historic Preservation Commissions (see p. 19)should be able to identify such communities andprovide information on contact people.During the selection process, the supervisory archeologist should be made thoroughly familiar with the purposes of the survey and the historic contexts identified during survey planning to which archeological research may contribute. Guidelines for the actual conduct of archeological surveys are included in Chapter II, and references to useful supplementary guidance are provided in the bibliography. The State Historic Preservation Officer should be consulted for guidelines specific to the State. Some States have State Archeologists, separate from the office of the State Historic Preservation Officer, who also should be contacted. Archeological Surveys Appendix II: Federal Legislation Affecting Historic Preservation A large number of Federal laws affect historic preservation in various ways-by authorizing Federal support for preservation programs, by establishing such programs and defining their functions, by establishing procedures relevant to different kinds of preservation activities, and by creating particular opportunities for the preservation of different kinds of resources. This appendix briefly outlines the major pertinent legisla tion in existence as of 1985, with particular attention to the statutes most directly pertinent to local historic preservation programs. Since Federal law is constantly changing, communities interested in current information on applicable statutes should check with their State Historic Preser vation Officer rather then relying on the following in formation to be comprehensive. Statutes directly pertinent to local preservation programs National Historic Preservation Act of 1966, as amended (Public Law 89-665) 16 U.S.C. 470-470w This Act is the centerpiece of the national historic preservation program. As amended in 1980, it authorizes the Secretary of the Interior to expand and maintain the National Register of Historic Places, and establishes procedures for doing so; provides for gubernatorial appointment of State Historic Preserva tion Officers and specifies their duties; specifies how local governments are to be certified for participation in the program; authorizes grants-in-aid by the Secretary of the Interior to States and local govern ments for preservation purposes; sets forth responsibilities for Federal agencies in historic preservation; establishes the Advisory Council on Historic Preservation and specifies its responsibilities; and directs the Secretary of the Interior and the Advisory Council to conduct various studies and provide various types of guidance and regulations. Section 106 of the Act requires Federal agencies to consider the effects of their activities on historic properties, and to give the Advisory Council an opportunity to comment on such activities. Importantly for local communities, as amended in 1980, the Act also provides for the cer tification of local historic preservation programs for special participation in the activities authorized by the Act. The full text of the Act with all amendments, in a convenient brochure form, can be obtained free of charge from the Advisory Council. Pertinent regulations implementing various portions of the Act include 36 CFR Part 60, dealing with National Register nominations and determinations of eligibility, 36 CFR Part 61, providing procedures for approved State and local government historic preservation programs, and 36 CFR Part 800, providing procedures for compliance with Section 106. Federal Legislation Federal Tax Law Federal tax law supports historic preservation in two major ways. First, investment tax credits are provided for the substantial rehabilitation of historic commercial, industrial, and rental residential buildings, provided that both the historic significance of the building and the professional quality of the rehabilitation have been certified by the Secretary of the In- The Railroad Exchange Building (The Santa Fe Building), Chicago, Illinois, has undergone a successful rehabilitation that is consistent with the Secretary of the Interior's Standards for Rehabilitation. The owners were able to take advantage of the tax incentives pro vided by the Economic Recovery Tax Act of 1981. (Courtesy of Santa Fe Railway) 75 terior. Second, the law permits income and estate tax deductions for the charitable donation of interest in historic properties, including certified historic structures and land areas (e.g., archeological and other historic sites). The availability of investment tax credits for historic rehabilitation has been a major factor in engendering financial support for many local historic preservation programs, and has been important in defining survey priorities in many cases. Recent tax legislation supporting historic preservation has included the Tax Treatment Extension Act of 1980, Economic Recovery Tax Act of 1981, Tax Equity and Fiscal Responsibility Act of 1982, and Tax Reform Act of 1984. Changes to the tax laws occur frequently, and current information should be obtained from the State Historic Preservation Officer or the National Park Service when considering how Federal tax law may affect a particular program at a particular time. National Environmental Policy Act of 1969 (Public Law 91-190) 42 U.S.C. 4321 et seq. (1970) This legislation obligates Federal agencies to consider the environmental costs of their projects as part of the Federal planning process. It provides for the preparation and review of environmental assessments and impact statements during the planning of projects. The Council on Environmental Quality promulgates regulations for implementation of this act; these are found at 40 CFR Part 1500 and subsequent sections of the Code of Federal Regulations. Housing and Community Development Act of 1974, as amended (Public Law 93-333 as amended) 42 U.S.C. 5300 et seq. Like the tax laws, the housing and community development laws change frequently, and since 197 4, many provisions have been included that affect historic preservation. In 1974, the existing law was changed to combine a number of categorical grant programs into a single program under which the Department of Housing and Urban Development (HUD) provides Community Development Block Grants (CDBG) to local governments, which have broad discretion in their use. CDBG funds can be used to support historic preservation activities, as well as activities that may damage historic properties. The 1974 act also authorized HUD support for programs of urban homesteading, which can provide the basis for rehabilitation of historic residential buildings. Subsequent amendments created such special grant programs as the Urban Development Action Grant (UDAG) and Housing Development Action Grant (HoDAG) programs. Among the unusual features of the Housing and Community Development Act, as amended, are the fact that CDBG funds can be used as though they were non-Federal funds to match historic preservation grants from the Department of the Interior, and the fact that, for purposes of the CDBG, UDAG, and HoDAG programs, the local government that receives the grants, not the Department of Housing and Urban Development, is responsible for compliance with the National Environmental Policy Act and Section 106 of the National Historic Preservation Act. Special provisions dealing with historic preservation were included in amendments dealing with the UDAG and HoDAG programs, and have resulted in special regulations published by the Advisory Council on Historic Preservation at 36 CFR Part 801 (dealing with UDAG) and by HUD at 24 CFR Part 850 (HoDAG). Participation in a local government's housing and community development program, including the provision of planning assistance in its compliance with the National Environmental Policy Act and Section 106 of the National Historic Preservation Act, is an important activity for many local preservation programs, which provides a context for the application of survey data to local planning. Statutes that may provide special opportunities for local preservation programs "Surplus Real Property Act," 1972 Amendment to the Federal Property and Administration Services Act of 1949 (Public Law 92-362) 40 U.S.C. 484(K)(3) This act authorizes the General Services Administration to convey approved surplus Federal property to any State agency or municipality free of charge, provided that the property is used as a historic monument for the benefit of the public. To qualify for this provision, the structure must be included or eligible for inclusion in the National Register. This act is also applicable to revenue-producing properties if the income in excess of rehabilitation or maintenance costs is used for public historic preservation, park, or 76 recreation purposes and the proposed incomeproducing use of the structure is compatible with historic monument purposes, as approved by the Secretary of the Interior. The act includes recapture provisions under which the property would revert to the Federal government should it be used for purposes incompatible with the objective of preserving historic monuments. Public Buildings Cooperative Use Act of 1976 (Public Law 94-541) 90 STAT. 2505, 40 U.S.C. 175 This act makes it national policy to acquire structures of historic or architectural significance for Federal office buildings, to encourage the public use of such Federal Legislation buildings by accommodating commercial, cultural, educational, and recreational uses of them both during and outside regular Federal working hours, and to provide the handicapped access to them. AMTRAK Improvement Act of 1974 (Public Law 93-496) as amended by the Rail Transportation Improvement Act of 1976 (Public Law 94-555) 45 U.S.C.501These acts authorize the Department of Transportation and the National Endowment for the Arts to develop National Register listed railroad stations for use as inter-modal transportation centers, or civic or cultural centers, while preserving their historic integrity. Emergency Home Purchase Assistance Act of 1974 (Public Law 93-449) 12 U.S.C. 1723e This act authorizes Federal insurance for loans to finance the restoration or rehabilitation of residential structures listed in or eligible for the National Register. The Department of Transportation Act of 1966 (Public Law 89-670) 23 U.S.C. 138 Among other things, this act directs the Secretary of Transportation not to approve any program or project that requires the use of land from a historic site of national, State, or local significance as determined by Federal, State, or local officials having jurisdiction thereof unless 1) there is no feasible and prudent alternative to the use of such land, and 2) such program includes all possible planning to minimize harm to such historic property. This means that the Federal Highway Administration, the Federal Aviation Administration, the Urban Mass Transportation Administration, and the U.S. Coast Guard must give special consideration to the potential effect of their projects on historic resources whether or not the historic resource affected is in or determined to be eligible for the National Register. Archeological and Historic Preservation Act of 1974 (Public Law 93-291) 16 U.S.C. 469a-c This act provides for the recovery of archeological data that would otherwise be lost as the result of Federal construction or other federally licensed or assisted activities. It authorizes Federal agencies to recover such data when their activities will lead to its loss, and authorizes the Secretary of the Interior to conduct such recovery operations on behalf of other agencies and where such agencies do not do so themselves. Archeological Resources Protection Act of 1979 (Public Law 96-95) 16 U.S.C. 470aa-11 This act prohibits the unauthorized disturbance of archeological resources on Federal and Indian lands, prescribes criminal penalties for such disturbance, and authorizes the establishment of regulations setting forth procedures for obtaining permits. Significantly for local preservation programs, it also prohibits interstate traffic in antiquities obtained illegally from any lands, public or private, providing a basis for prosecution in the Federal courts of parties who excavate archeological material in contravention of local statutes or trespass laws and move such material across State lines. Federal authorities of secondary interest to local preservation programs Antiquities Act of 1906 (Public Law 59-209) 16 U.S.C. 431-33 (1970)This act authorizes the President to designate National Monuments and provides for the protection of historic and prehistoric ruins and objects of antiquity located on Federal lands. Historic Sites Act of 1935 (Public Law 74-292) 16 u.s.c. 461-67 (1970)This act gives the Secretary of the Interior the power to make historic surveys and to document, evaluate, acquire, and preserve archeological and historic sites across the country. Executive Order 11593, Protection and Enhancement of the Cultural Environment, 16 U.S.C. 470 (Supp. 1, 1971) This order directs Federal agencies to take leadership in preserving, restoring, and maintaining the historic Federal Legislation and cultural environment of the Nation. Federal agencies must survey, inventory, and nominate all historic resources under their jurisdiction or control (to the extent that the agency substantially exercises the attributes of ownership) to the National Register. Until these processes are completed, agency heads must exercise caution to assure that potential qualified Federal property is not inadvertently transferred, sold, demolished, or substantially altered. Many of the provisions of this order were incorporated into the National Historic Preservation Act by amendments in 1980. 77 Appendix III: Legal and Financial Tools Used to Preserve and Enhance Historic Resources As discussed in Chapter IV, a community's preservation efforts will be best served if it adopts a comprehensive historic preservation plan. Such a plan serves to guide both the community's preservation efforts per se-its survey, its program of evaluation and inventory, its programs to restore and rehabilitate historic properties and to provide for their study, archeological salvage, and adaptive use, and its programs to encourage rehabilitation and reuse by the private sector-as well as its efforts to ensure that preservation concerns are addressed in development and land-use planning. The purpose of this appendix is to list and briefly discuss the legal and financial tools that can be incorporated into a preservation plan. It should be recognized that this list is by no means exhaustive, and that new and creative uses of financial and legal tools are being developed constantly. Legal Tools A wide variety of legal approaches to preservation can be tailored to meet the needs and goals of a particular community; however, any local ordinance must recognize State constitutional restrictions, common law requirements, and existing legislation dealing with preservation and related areas. The existence of State enabling legislation for historic preservation can provide a legal framework in which local governments can base their preservation programs, commissions, and zoning ordinances. A thorough investigation of State and local laws, with the assistance of legal experts, is essential in determining which legal mechanisms are best suited to fulfilling local preservation needs. 1.Community Historic Preservation OrdinancesCommunity historic preservation ordinances cover an entire city, county, or other political subdivision. They are often called landmarks commission ordinances because one of their major features is the establishment of a board of review, often called a landmarks commission, to oversee the community's preservation program and make judgements about the significance of resources. This terminology may be a little misleading, however, since it implies a concern only with landmarks rather than with the general historic, architectural, and cultural fabric of the community. Increasingly, more general terms like historic preservation commission are being used to describe the bodies that oversee local preservation programs. 78 Historic preservation commissions are generally responsible for designating significant individual resources or districts in accordance with criteria established by the ordinances under whose authority they operate. Such ordinances also often give them some measure of authority to control the alteration or demolition of designated properties, and sometimes to review the quality of new design in the vicinity of such properties, or within historic districts. Commissions sometimes are provided with staff which they oversee in carrying out the community's overall preservation program; in other cases, commissions are advisory to planning departments or other agencies of local government whose personnel carry out the dayto-day work of the program. The degree of authority granted to such commissions varies widely; in some cases, properties may not be designated as historic without the permission of their owners; in other cases, designation depends solely on the judgement of the commission. Some ordinances place great power in the hands of the commission to control alteration or demolition of designated resources, while others place none, and still others require that the views of the commission be taken into account in decisionmaking, but not necessarily heeded. Local governments seeking certification to participate in the national historic preservation program under Section lOl(c) of the National Historic Preservation Act must establish historic preservation commissions by ordinance, and give them responsibilities and authorities mirroring and coordinating with those of the State Historic Preservation Officer with respect to survey, nomination of properties to the National Register, preservation planning, grants administration, consultation with Federal, State, and local agencies to help them avoid damaging historic properties, and provision of education and information to the public (36 CFR Part 61.S[c][2]). Guidelines for ordinance development can be found in A Handbook on Historic Preservation Law (see Bibliography), which also contains a model ordinance and sample ordinances, and can be obtained from the National Trust for Historic Preservation. 2.Historic District OrdinancesHistoric district ordinances protect specific designated districts-commercial, industrial, rural, or residential areas-within a community. Such ordinances generally define specific boundaries, limit development or otherwise protect the district, and establish a review board or commission to oversee compliance with the Legal and Financial Tools protective clauses. As is the case with community historic preservation commissions, the degree of authority granted to historic district commissions varies widely; they may act simply as advisory boards, reviewing and making recommendations on applications for building permits for proposed alterations, or the legislation may enable them to stay, grant, or deny demolition, alteration, and new construction. Generally, the ordinance also establishes procedures for appealing decisions of the historic district commission. The discussion of ordinance creation in A Handbook on Historic Preservation Law will be useful for those considering creation of historic district ordinances, and sample district ordinances are available from the National Trust for Historic Preservation. 3. ZoningIt is particularly important that a community's historic preservation plan is coordinated with its zoning ordinance. If permissible under local and State law, it is advantageous to create an historic preservation classification within the local zoning ordinance. Alternatively, an ordinance could provide for the overlay of preservation review, with reference to architectural design or modification of existing structures, on the existing zoning of historic districts. The important thing to strive for is to minimize conflict between preservation and existing zoning. However urgently a community's historic preservation plan Legal and Financial Tools seeks to promote retention and rehabilitation of historic structures, if the underlying zoning permits conflicting uses that have the potential for higher economic return, in the long run preservation will lose out. Conversely, if preservation planning and zoning are coordinated, they can work together to promote the beneficial use of historic resources. The National Park Service has acquired scenic easements to protect the unique rural character of the Old Natchez Trace, Attala Coun ty, Mississippi, and to restrict undesirable commercial development. (Courtesy of National Park Service) 4. Easements Easements are acquired interests in property owned by another. Since an easement is less than a total or fee interest in property, it may be a cheaper means of controlling use than outright purchase. Acquisition of an easement which precludes a property owner from making nonconforming alterations to the facade of his or her historic house, for example, is a common and often effective preservation tool. Preservation or conservation easements are of three general types. a.Open Space, Conservation, or Scenic Easements-Open space, conservation, or scenic easementsare a well recognized general form of land use controlwhich has been used for many years in the UnitedStates to conserve undeveloped land areas. An example of the use of this type of easement is the NationalPark Service program to acquire scenic easements torestrict development and maintain the picturesquequalities of lands along the Blue Ridge and NatchezTrace Parkways. This type of easement has also beenused to control the development of lands surroundinghistoric properties and to keep archeological sites safefrom development of the lands in which they exist.b.Exterior or Facade Easements-Exterior or facadeeasements restrict the development, use, or alterationof the exterior portions of a building or structure.Such easements are particularly useful where thearchitectural or visual quality of the exteriors ofbuildings is a major concern, for example, in historicdistricts where the ambiance of streetscapes is important.c.Interior Easements-Interior easements can be written to prevent alteration of interiors of buildings orstructures. They can apply to an entire building interior or to particular elements, for example, providing that the detailing in a particular room not bealtered without permission, or prohibiting the removalof a staircase.Potentially, easements have several advantages over other types of less-than-fee controls: •They may be assignable to other parties-transferred from the original purchaser to another.•They may run with the land-be binding on subsequent purchasers of the property affected. 79 •They may be acquired through gift or purchase. Donors of easements, and those who sell them for less than their appraised value, may be able to deduct the value of their donations from Federal and State in come and estate taxes. In addition, the sale or dona tion of an easement may substantially reduce the fair market value of a property, thus allowing possible decreases in local property taxes and other Federal, State, and local taxes. Implementing an easement program is not a simple operation. The legal instruments that convey ease ments must be carefully drawn up, and easements re quire conscientious policing by their holders to insure that the property owners are complying with them. The following preliminary steps are important: •Investigation of relevant Federal and State laws and passage of enabling legislation, where necessary. •Meticulous drafting of the legal instrument creating the easement, accompanied by adequate documenta tion describing the exact qualities or conditions of the property to be preserved. •Careful identification of appropriate organizations to receive, hold, and police easements. Such organiza tions may be agencies of local government-for exam ple, local preservation commissions or parks depart ments-or private organizations such as historical or archeological societies. Decisions about easement re cipients should be explored with legal counsel, because in many jurisdictions, the protection afforded a property will depend on who holds the easement. Legal counsel is vital in the development and ad ministration of an easement program, because of the need for the documents conveying each easement to be sound and appropriate under Federal, State, and local law. The validity of the entire easement program will depend on its relationship to the existing frame work of State property laws. Despite its advantages, an easement program may not necessarily be the most effective tool for preservation nor the most financially expedient in the long run. Although purchase of an easement is often cheaper than acquiring the entire fee, in some cases, the value of the development rights of a property, for example, may constitute the major portion of a property's fair market value, so that the acquisition of an easement restricting these rights would be almost as expensive as purchasing the property itself and wo..ild require policing. 5.Covenants and Reverter Clauses Covenants are contractual agreements between private parties that run with the land, thereby restricting uses that may be made of the property. Reverter clauses in deeds stipulate that unless certain conditions are followed, ownership of the property involved will return to the conveyor or to a designated third party. 80 Both may be used to maintain the historic integrity of a property. When properly drafted, they may also bind subsequent owners to abide by the conditions contained in them. These legal tools may be useful in purchase and resale or leaseback arrangements where properties have been acquired and will be later disposed of subject to the conditions of convenants. They may be useful in situations where property has been acquired through eminent domain and will be later disposed of subject to the condition of a covenant. An advantage in using covenants is that specific pro visions for penalties or other remedies may be includ ed in them to come into effect if the terms of the agreement are broken. Reverter clauses lack this flexibility, providing only for reversion of title to the conveyor or the conveyor's designee in event of a breach of the condi tions agreed to. Their use could be an inappropriate means of attempting to enforce compliance with preservation goals where reversion of ownership would be a financial burden to the original seller, for example. It should be noted that unless covenants or reverter clauses are very carefully drafted and contain the precise legal elements appropriate in the jurisdiction in which they are to apply, they may not run with the land, i.e., be binding on subsequent purchasers. In ad dition, they may be difficult to enforce over a long period of time, particularly if conditions present at the time of the agreement have changed. 6. Transfer of Development Rights By permitting a property owner to sell the air rights over his or her property to another, a community can create the basis for compensating an owner who is not permitted to develop a parcel to what would ordinari ly be its maximum potential. A local ordinance per mitting transfer of development rights can make it possible, for example, for the local government or a preservation organization to exchange the right to develop a nonhistoric parcel for the air rights over an historic building, where otherwise a high-rise building could be constructed if the historic structure is demolished. Appraising the value of air rights when a sale or exchange is proposed may be complicated, but providing the opportunity for such transfers in the design of local ordinances can make a useful tool available for preservation in many circumstances. 7. Tax Advantages Federal tax law at present encourages preservation and rehabilitation of historic properties by allowing corporate and individual taxpayers to deduct the value of the donation of conservation easements from their income taxes and by providing investment tax credits (ITCs) to taxpayers who carry out certified Legal and Financial Tools rehabilitation projects on income-producing certified historic buildings. Many communities have found that the Federal tax laws provide a powerful tool for local preservation, both to encourage rehabilitation in particular parts of the community and to help build partnerships with developers and property owners who might othewise be hostile to, or at least unresponsive to, preservation concerns. Because of the fluid nature of Federal tax law, communities should be sure to have the most up-to-date available information on Federal tax incentives before relying heavily on them to help build a local program. The State Historic Preservation Officer and the regional offices of the National Park Service can provide current information. It should also be recognized that over-reliance on Federal tax incentives can lead to some distortion in a local preservation program's priorities. The fact that Federal ITCs are available only for the rehabilitation of income-producing property has caused some communities to concentrate their attention on commercial areas and on historic contexts relevant to commercial buildings at the expense of other aspects of the community and its heritage. Care should be taken to avoid ignoring other important preservation problems and opportunities in the face of enthusiasm over the tax advantages of rehabilitating income-producing properties. State and local tax laws have traditionally worked to discourage the preservation and rehabilitation of historic and cultural properties. This is rapidly changing in many parts of the Nation, but in formulating preservation plans, communities should carefully study the local and State tax codes to identify potentially useful amendments. Listed below are tax incentives which can work to encourage preservation: •Tax credits or deductions on State income or property taxes for rehabilitation and maintenance ofhistoric properties or for donations of easements forpreservation purposes.•Tax credits or deductions on local property taxes.•Abatement or partial abatement of property taxes,i.e., partial or complete exemptions on qualified properties.•Alternate methods of valuation, i.e., assessment ofproperty value on the basis of existing use or otherthan fair market value.Alternate valuation of historic and cultural properties can help to alleviate the development pressures on historic properties and other undeveloped areas caused by their assessment at fair market value. Where a property has substantial development potential, its fair market value is often much greater than the value of the property at its existing use. If a basis other than fair market value can be established for Legal and Financial Tools valuation, the pressure created by taxation to convert the property to its highest and best use can be alleviated. Effective use of alternate methods of valuation requires accurate means of assessing the value of historic resources. These means must be developed carefully to insure fairness and objectivity. Tax incentives for preservation need not always be applied on a community-wide basis, or in perpetuity. For example, it may be appropriate to target a particular area containing a concentration of historic buildings in need of rehabilitation, and reduce the assessed valuation of or provide tax credits to rehabilitated buildings in the area for a specific period of time. The time period established and the amount of the reduction or credit should be sufficient to stimulate significant investment in the area; at the same time, care must be taken to ensure that the incentive program is fair and does not work to the detriment of other parts of the community. Development of State and local programs for tax credits, deductions, or abatement should include consideration of the following factors: •Criteria for the recognition of properties eligible fortax credits, deductions, or abatement, such as National Register listing or inclusion in the communityinventory.•Definitions of activities for which credit or deductions would be allowed (kinds of rehabilitation,maintenance, etc.).•Amount of credit or deduction allowed per property, per activity, or per period of time.•Length of time for amortization of allowable expenses.•Relationship between State and local tax benefitprograms, and between these programs and theFederal program. 8.State and Local Environmental LawsMany States have adopted laws designed to ensure that both the natural and cultural environments are considered in government decisionmaking; these can provide an important basis for the integration of historic preservation into local planning. Such laws are usually modelled on the National Environmental Policy Act (NEPA) and are referred to as State Environmental Policy Acts or SEP As in the legal literature. SEPAs typically require the preparation of an environmental impact report or statement whenever a State or local goverment agency proposes an action that might affect the environment-for example, approval of a subdivision, issuance of a major grading permit, provision of financial assistance to a development, or undertaking capital construction. The environmental impact document involves identifying 81 those aspects of the environment that may be af fected, projecting the effects, and analyzing alter natives. It is then up to the government decision maker-the State agency, the city council, the plan ning board-to use the environmental document in deciding whether to proceed with the action and if so, whether to adopt conditions on the action to mitigate its effects on the environment. Virtually every SEPA includes historic properties in its definition of the environment that it seeks to protect, so SEP As can provide a powerful tool for use by local governments and preservation organizations to ensure that preservation is considered in planning. What is often a problem in making SEPAs work for preserva tion is ensuring that historic properties and preserva tion issues are actually identified in the environmental impact document. Here, of course, the availability of survey data can be very important. On the other hand, if a preservation agency or organization has a good working relationship with the local decision makers who require and review environmental docu ments under a SEPA, it can work to ensure that studies undertaken to prepare the environmental documents do identify historic properties and do so in a manner that contributes to the survey data base. Once accurate information on historic properties and preservation issues has been presented in an en vironmental document, the next problem is to en courage the relevant decisionmakers to consider preservation alternatives in a positive light. Such con sideration will be most likely if the community has a comprehensive historic preservation plan in place, providing access to some or all of the preservation tools discussed in this appendix. Where a SEPA exists, community preservation agen cies and organizations will find it useful to become familiar with its terms and how they are interpreted by local and State decisionmakers. It should then be possible to incorporate the use of the review process prescribed by the SEPA into the community's historic preservation plan. Local ordinances can also be developed to build on the provisions of the SEP A. If no SEPA exists, the community might consider adopt ing a similar law itself. The Handbook on Historic Preservation Law (see Bibliography) provides a useful discussion of SEPAs and their uses, with references to the rapidly growing literature on the topic that will be helpful to those designing or using such laws. 9. Social Impact Ordinances In order to minimize conflict between development and other community interests, and to maximize citizen participation in decisionmaking, some com munities have adopted ordinances providing for analysis of the social impacts of proposed actions, and for organized participation by affected social groups in decisions about development and land use. Often these ordinances provide for negotiation between af- 82 fected groups and development interests or govern ment agencies, or for mediation of disputes. The City of Honolulu, for example, adopted an ordinance in 1981 that required the preparation of social impact analyses in advance of development projects, in con sultation with affected neighborhood groups and other interests, and the conduct of meetings with all con cerned parties to resolve conflicts (see Bibliography). Social impact analysis and negotiation to resolve en vironmental disputes are being used increasingly at State and Federal government levels as well, both in the United States and in other nations (see Baldwin, Kent, Social Impact Assessment, Susskind and Wein stein, and Talbot in Bibliography). Because neighborhood concerns about development and land use changes often focus on perceived injury to neighborhood character, cultural values, and prop erty value, they often are closely related to, or in coporate, historic preservation interests. A communi ty's preservation agency or organization can benefit from exploring ways to ensure that preservation in terests and alternatives are fully considered in social impact analysis and the negotiation of solutions to conflicts between development and neighborhood con cerns. 10. Regulating Consultant Quality Environmental documents prepared under SEPAs, under the National Historic Preservation Act, and with reference to the National Historic Preservation Act are usually done by or with the aid of profes sional consultants. A community can help ensure that preservation issues will be properly considered in its own planning and in that carried out by State and local agencies if it finds ways to regulate the quality of the consultants who prepare such documents. At a minimum, consultants who prepare the historic preservation elements of environmental documents should be required to meet the professional qualifica tion standards in the Secretary of the Interior's Stand ards and Guidelines for Archeology and Historic Preservation, and should have a demonstrated record of doing good historic preservation work of the type for which a consultant is needed. For archeologists, a community may wish to consider requiring certifica tion by the Society of Professional Archeologists (SOP A). SOPA reviews the qualifications of ar cheologists and certifies them in various specialities, also requiring them to abide by a code of ethics and professional standards equivalent to, but more de tailed than, the relevant parts of the Secretary of the Interior's Standard and Guidelines. Agencies and organizations interested in regulating the quality of consultants should discuss options carefully with legal counsel. There are strong legal strictures on requiring consultants to be members of particular organizations, but in most jurisdictions it is legal to Legal and Financial Tools require that an individual's professional qualifications be certified by an organization of peers. Alternatively, formal licensing by the local government might be considered. Financial Tools 1. Revolving Funds Revolving funds are designed to provide a preservation organization with the financial capacity to buy, sell, and maintain property without large sources of long-term financing. They have proven to be effective preservation techniques in a wide range of situations. As the name implies, funds in a revolving fund revolve; they are invested in a property, recovered-ideally at a profit, and invested in another. Organizations with preservation revolving funds can respond quickly to emergencies by purchasing endangered sites or buildings directly rather than look ing for a sympathetic buyer or trying to raise funds for special purchase. By buying endangered properties, the organization buys time. Buildings and structures may be rehabilitated, easements may be placed on them, and they may be resold or leased to parties who will maintain them. Alternatively, properties can be transferred and rehabilitated by the new owner according to agreements accompanying the sale. Archeological sites may be sold with covenants restricting excavation or permitting only certain kinds of land use, or might be subjected to a program of research excavation and then sold without restrictions once their important data have been extracted. When the properties are sold, the money returns to the revolving fund and can be used again to save other properties. Use of revolving fund techniques places the community or preservation organization in the real estate market. As the organization begins to buy and sell property, local business people begin to take note, and if the program is successful they can develop respect for preservation as a new economic force in the community. Properties bought and sold gain in value as they are rehabilitated, and the rehabilitation itself generates other economic activity. When several properties in an area have been bought and rehabilitated, the area is likely to become more attractive to private investors. Bank loans may be more easily obtained, and other property owners in the area may begin to rehabilitate their property. The net value is increased property values and an increased tax base for the community-proof that historic preservation can be good business. The problems involved in establishing and operating a revolving fund are to obtain the money to make the initial purchases, to turn these around quickly enough to generate momentum rather than allowing the fund to stall with its first few projects, and to operate the fund in a businesslike manner. Some communities use Community Development Block Grants to establish Legal and Financial Tools revolving funds, while others have obtained initial funding through community-based fundraising efforts, local appropriations, grants from private foundations, and bequests. Revolving funds may also be established on a statewide basis. The advantage of State revolving funds is that they have a broader base of support. For additional information on revolving funds see Revolving Funds for Historic Preservation, by Arthur Ziegler, Leopold Adler, and Walter Kidney (see Bibliography). 2.Grants Community Development Block Grants and certain Federal categorical grants available through the U.S. Department of Housing and Urban Development are popular sources of funding for preservation activities. Block grants have few limitations that apply to their use, and can be applied to survey, operation of a general historic preservation program, establishment of revolving funds, direct rehabilitation projects, and a wide variety of other preservation functions. Categorical grants are typically more limited in their application. The State Historic Preservation Officer may be a source of grant funds from the Historic Preservation Fund managed by the National Park Service. The National Historic Preservation Act provides for the passthrough of Historic Preservation Fund money to local governments whose preservation programs have been certified by the State Historic Preservation Officer and the Secretary of the Interior; these funds can then be used at the local government's discretion for historic preservation purposes, within guidelines established by the National Park Service. The basic procedures to be followed by certified local governments are published in the Code of Federal Regulations at 36 CFR Part 61. The State Historic Preservation Officer can also provide matching grants from the Historic Preservation Fund for particular preservation activities, including those carried out by local governments that have not been certified in accordance with 36 CFR Part 61, and often administers grant programs established by the State as well. State Arts and Humanities Councils and folklife programs are possible sources of funding for particular preservation-related projects, and may be able to offer advice about other sources. Other State funding opportunities are likely to be available from time to time, often in connection with economic development programs; it is wise to maintain contact with State legislators to keep track of potentially useful legislation. Grants may also be available from such Federal agencies as the National Endowment for the Arts, the National Endowment for the Humanities, and various 83 agencies of the Departments of Housing and Urban Development, Agriculture, Commerce, and Transportation, for particular project and program activities. The availability of grants for particular purposes changes from year to year as Congress approves new programs and allows others to expire or remain in existence without appropriations. The State Historic Preservation Officer should be consulted for current information. Private sources of grant funds can also be important. The National Trust for Historic Preservation maintains a variety of grant programs, and should be contacted directly to determine what is currently available. A wide range of private foundations offer support for activities related to preservation, ranging from research to restoration, and some local philanthropic organizations specialize in supporting worthwhile projects in particular communities. The local library or university grants office is a good place to consult directories of foundations and other potential private sources of grant support. 3.Contracts Some local preservation programs contract with Federal, State, and local agencies, private developers, and regulated industries to carry out the surveys, evaluations, and other studies that may be required of them under the National Historic Preservation Act, the National Environmental Policy Act, or relevant SEPAs. This has several advantages; it ensures that the work done on such studies is consistent with the standards and policies of the local preservation program, builds up the survey data base, can usually be done efficiently, and helps support the local program by covering overhead costs. The practice can lead to real or perceived conflicts of interest if the local program is also involved in review of the undertakings on which it does studies. Care should be taken, and the advice of legal counsel sought, in establishing any such contracting operation. 4.Syndication Syndication is an increasingly popular way of financing rehabilitation projects; it involves bringing together investors and preservation interests into legally constituted syndicates for the purpose of carrying out a project or projects from which all will theoretically benefit. Several large private firms now specialize in syndication; the State Historic Preserva- 84 tion Office may have information on such specialists, and may be able to advise about the applicability of syndication to a particular project. 5.Development Bonuses A community can encourage rehabilitation of historic buildings or preservation of historic open space by providing development bonuses. For example, a corporation that agrees to rehabilitate certain historic buildings as part of a development in an historic district might be given an increase density allowance for another part of the development. Such arrange ments typically involve zoning variances and are one good reason for close coordination between historic preservation planning and zoning. 6.land Cost Subsidies A community can provide a strong incentive to rehabilitation by purchasing historic properties and then selling them to developers at a reduced price. Particularly in large cities with a high level of economic activity, land prices are often among the biggest expense items faced by a developer, and may be a major factor in making rehabilitation less costeffective than demolition and construction of a larger, taller building with greater marketable floor space. By reducing the cost of the land through a partial subsidy, the community can reduce, or even reverse, the differential between rehabilitation and new construction. 7.Reduction in Interest Rates Another way to encourage the private rehabilitation of historic buildings is to reduce the interest rates on construction loans or mortgages. Some local governments use Community Development Block Grants or other grant funds to provide developers with lowinterest loans, while others use their revenue bond powers to raise the necessary capital. The use of such techniques as syndication, reduction in interest rates, and land cost subsidies requires a high level of cooperation among preservationists, local government, funding sources, and the development community. An effective community historic preservation plan should be developed in consultation with such interests so that these and other innovative approaches to financing historic preservation activities can be fully explored. Legal and Financial Tools Appendix IV: Bibliography Communities may wish to consult the following publications for further information on the identifica tion, evaluation, and protection of historic resources. These publications are a sampling of the information currently available and are not meant to comprise an exhaustive list. For an encyclopedic treatment of available sources on virtually every aspect of historic preservation, see the National Trust for Historic Preservation's All About Old Buildings: the Whole Preser vation Catalogue. Washington, DC: The Preservation Press, 1985. In the discussion below, publications are listed under six headings: 1.Survey and Planning Methodology 2.Examples of Preservation Plans 3.Preservation Tools and Strategies 4.Legal Reference Material 5.Examples of Survey Publications 6.General References1.Survey and Planning MethodologyEssential Readings National Park Service publications. The following publication is available from the National Park Service. For information contact the Regional Director in your National Park Service Regional Office, or write: Associ ate Director, Cultural Resources, and Keeper, National Register of Historic Places, National Park Service, P.O. Box 37217, Washington, DC 20013-7127. Secretary of the Interior's Standards and Guidelines for Preservation Planning, Identification, Evaluation, and Registration. Federal Register, Thursday, September 29, 1983, pp. 44716-28 (48 FR 44716-28). Available with other standards and guidelines as the Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation. State Historic Preservation Officer publications. The following documents, either in published form or as drafts or compilations of documents, should be avail able from the State Historic Preservation Officer of the State applicable to a community planning survey. The titles given below are generic. Bibliography Comprehensive Statewide Historic Preservation Plan. Guidelines and standards applicable to the Comprehen sive Statewide Historic Properties Survey. Advisory Council publications. The following publica tion is available free of charge from the Advisory Council on Historic Preservation, 1100 Pennsylvania Avenue, NW, Washington, OC, 20004. Identification of Historic Properties: Decisionmaking Guide for Managers. 'Working With Section 106" series. Washington, OC: Advisory Council on Historic Preser vation and U.S. Department of the Interior, September 1988. Specialized Readings National Park Service publications Eighmy, Jeffrey L. Archeomagnetism: A Handbook for the Archeologist. Springfield, VA: National Technical Information Service, 1977. NTIS Publication No. PB 81- 175515. King, Thomas F. The Archcological Survey: Methods and Uses. Washington, DC: U.S. Government Printing Office, 1978. Stock No. 024--016-00091. Lyons, Thomas R., and Thomas E. Avery. Remote Sensing: A Handbook for Archeologists and Cultural Resource Managers. Springfield, VA: National Technical Information Service, 1977. NTIS Publication No. PB 88- 201694. Melnick, Robert Z., Daniel Sponn, and Emma Jane Saxe. Cultural Landscapes: Rural Historic Districts in the National Park System. Springfield, VA: National Technical Information Service, 1977. NTIS Publication No. PB 85- 106037 (Note: This publication deals not only with the National Park Service, but also provides comprehensive guidelines for identifying and evaluating rural historic districts). Morris, Stephen A. "Zoning and Historic Preservation." Washington, OC: U.S. Department of the Interior, National Park Service, Interagency Resources Division, Local Preservation Series, 1989. Sal wen, Bert, and Geoffrey Gyrisco. Archeology of Black American Culture: An Annotated Bibliography. Washing ton, DC: U.S. Department of the Interior, National Park Service, Interagency Archeology Services, n.d. Talmage, Valerie, and Olga Chesler. The Importance of Small, Surface, and Disturbed Sites as Resources of Signifi cant Archeological Data. Springfield, VA: National Technical Information Service, 1977. NTIS Publication No. PB 270930/ AS. 85 Cultural Resources in Massachusetts: A Model for Manage ment. Washington, DC: U.S. Department of the Interior, Interagency Resources Division, Preservation Planning Series, August 1979. Historic Preservation Certifications Pursuant to the Tax Reform Act of 1976, The Revenue Act of 1978, The Tax Treatment Extension Act of 1980, and The Economic Recavery Tax Act of 1981. Codified as 36 CFR Part 67. National Register of Historic Places: Criteria for Statewide Historic Surveys and Plans. 36 CFR Part 60. National Register of Historic Places Bulletins-periodi cally issued practical guides to aspects of the nomina tion process. U.S. Department of the Interior, National Park Service, Interagency Resources Division, National Register of Historic Places, P.O. Box 37127, Washington, DC 20013-7127. National Register Bulletin 4: Contribution of Moved Build ings to Historic Districts. National Register Bulletin 5: Tax Treatments for Moved Buildings. National Register Bulletin 7: Definition of Boundaries for Historic Units of the National Park System. National Register Bulletin 8: Use of Nomination Documents in the Part I Certification Process. National Register Bulletin 12: Definition of National Register Boundaries for Archeological Properties. National Register Bulletin 13: Haw to Apply National Register Criteria to Post Offices. National Register Bulletin 15: How to Apply the National Register Criteria for Evaluation. National Register Bulletin 16: Guidelines for Completing National Register of Historic Places Forms. 16A: How to Complete the National Register Registration Form and 16B: Haw to Complete the National Register Multiple Property Documentation Form. National Register Bulletin 17: Certification of State and Local Statutes and Historic Districts. National Register Bulletin 18: Haw to Evaluate and Nomi nate Designed Historic Landscapes. National Register Bulletin 19: Policies and Procedures for Processing National Register Nominations. National Register Bulletin 20: Nominating Historic Vessels and Shipwrecks to the National Register of Historic Places. National Register Bulletin 21: How to Establish Boundaries for National Register Properties. 86 National Register Bulletin 22: Guidelines for Evaluating and Nominating Properties That Have Achieved Significance Within the Last Fifty Years. National Register Bulletin 23: How to Imprave the Quality of Photos for National Register Nominations. National Register Bulletin 24: Guidelines for weal Surveys: A Basis for Preservation Planning. National Register Bulletin 26: Certified Local Governments in the National Historic Preservation Program. National Register Bulletin 28: Using the UTM Grid System to Record Historic Sites. National Register Bulletin 29: Guidelines for Restricting Information about Historic and Prehistoric Sites. National Register Bulletin 30: Guidelines for Evaluating and Documenting Rural Landscapes. National Register Bulletin 32: Guidelines for Evaluating and Documenting Properties Associated With Significant Persons. National Register Bulletin 34: Guidelines for Evaluating and Nominating Historic Aids to Navigation. National Register Bulletin 35: National Register Casebook: Examples of Documentation. National Register Bulletin 38: Guidelines for Evaluating and Documenting Traditional Cultural Properties. National Register Bulletin 39: Researching a Historic Building. Publications of others. Adams, Katherine. Investing in Volunteers: A Guide to Effective Volunteer Management. Washington, DC: The Preservation Press, 1985. American Folklife Center. The Process of Field Research: Final Report on the Blue Ridge Parkway Folklife Project. Washington, DC: Library of Congress, 1981. Bartis, Peter T. Folklife and Fieldwork: A Layman's Intro duction to Field Techniques. Washington, DC: American Folklife Center, 1979. Blumenson, John J. G. Identifying American Architecture: A Pictorial Guide to Styles and Tenns, 1600-1945. Nash ville, TN: American Association for State and Local History, 1981. Brace, Paul. Archaeological Resources and Land Develop ment: A Guide to Assess Impact. Washington, DC: Ameri can Society of Landscape Architects, Landscape Archi tecture Technical Information Series 7, 1984. Bibliography Bureau of Land Management. Visual Resource Mar ... 6,:; ment Program. Washington, DC: U.S. Department of the Interior, Bureau of Land Management, n.d. Bureau of Land Management, Social Effects Project. Guide to Social Impact Assessment. Washington, DC: U.S. Department of the Interior, Bureau of Land Manage ment, 1982. Cerny, James W. "Scenic Analysis Assessment." Critical Reviews in Environmental Control, 4:2. June 1974. Clay, Grady. Close-Up: How to Read the American City. Chicago: University of Chicago Press, 1980. Collier, John, Jr. Visual Anthropology: Photography as a Research Method. New York: Holt, Rinehart & Winston, 1967. Dunaway, David K., and Willa K. Baum, eds. Oral History: An Interdisciplinary Anthology. Nashville, 1N: American Association for State and Local History, 1984. Georgia Department of Natural Resources, Historic Preservation Section. Historic Preservation Handbook. Atlanta: Georgia Department of Natural Resources, 1976. Getzels, Judith, and Charles Thurow, eds. Rural and Small Town Planning. Chicago: American Planning Association, 1978. Harris, Cyril M. Historic Architecture Sourcebook. New York: McGraw-Hill, 1977. Ives, Edward D. The Tape-Recorded Interview: A Manual for Field Workers in Folklore and Oral History. Knoxville: University of Tennessee Press, 1980. Jacobs, Alan B. Making City Planning Work. Chicago: American Planning Association, 1978. Jackson, Donald C., and T. Allan Comp. Truss Bridge Types: A Guide to Dating and Identifying. Technical Leaflet No. 95. Nashville, 1N: American Association for State and Local History, 1977. Jolly, Brad. Videotaping Local History. Nashville, 1N: American Association for State and Local History, 1982. Kidder-Smith, George E. Architecture of the United States. New York: Doubleday, 1981. King, Thomas F., Patricia P. Hickman, and Gary Berg. Anthropology in Historic Preseroation: Caring for Culture's Clutter. New York: Academic Press, 1977. Kyvig, David E., and Myron A. Marty. Ne11rby History: Exploring the Past Around You. Nashville, 1N: American Association for State and Local History, 1982. Bibliography Library of Congress. National Union Catalogue of Manu script Collections. Washington, DC: Library of Congress, 1959-84. Liljlcbad, Sue Ellen, and Charles M. Brown. A Guide to Historic Preservation Research and Preservation Planning in Alaska. Anchorage: Office of History and Archeology, Alaska Division of Parks, 1976. Lynch, Kevin. The Image of the City. Cambridge: MIT Press, 1960. ----. What Time is This Place? Cambridge: MIT Press, 1972. Macfarlane, Alan. Reconstructing Historical Communities. Cambridge: Cambridge University Press, 1977. Mantell, Michael A., Stephen F. Harper, and Luther Propst. Creating Successful Communities: A Guidebook to Growth Management Studies. Washington, DC: Island Press, 1990. Massachusetts Historical Commission. Archeology and Public Pl11nning. Boston: Massachusetts Historical Commission, 1976. ----. Historic Properties Survey Manual. Boston: Massachusetts Historical Commission, n.d. Massey, James C. How to Organize an Architectural Survey, rev. ed. Washington, DC: National Trust for Historic Preservation, 1971. Mayer-Oakes, William J., and Alice W. Portnoy, eds. Scholars as Contractors. Washington, DC: U.S. Govern ment Printing Office, 1979. Stock No. 024-016-00107-9. McAlester, Virginia and Lee. A Field Guide to American Houses. New York: Alfred A. Knopf, 1984. McKee, Harley J. Recording Historic Buildings. Washing ton, DC: U.S. Government Printing Office, 1970. Morgan, William N. Prehistoric Architecture in the F.astern United States. Cambridge: MIT Press, 1980. Mueller, James W., ed. Sampling in Archeology. Tuscon: University of Arizona Press, 1975. Murtagh, William J. 'The Meaningful Assessment of the Built Environment." Architectural Preseroation Forum, December 1979. Murtagh, William J., and Giulio C. Argan. Historic Districts: Identification, Social Aspects, and Preseroation. Washington, DC: National Trust for Historic Preserva tion, 1975. 87 National Historical Publications and Records Commis sion. Directory of Archives and Manuscript Repositories. Washington, OC: National Historical Publications and Records Commission, 1978. National Research Council, Environmental Studies Board. Assessing Cultural Attributes in Planning Water Resources Projects: Report of the Panel on Cultural Attributes in Water Resources Projects. Washington, DC: National Research Council, 1982. Nevada Division of Historic Preservation and Archaeol ogy. Procedures Manual for Compiling a Statewide Inven tory of Cultural Resources. Carson City: Nevada Depart ment of Conservation and Natural Resources, 1978. New York State Parks and Recreation, State Board for Historic Preservation. Historic Resources Survey Manual, rev. ed. Albany: New York State Parks and Recreation, 1974. Poppcliers, John, S. Allen Chambers, and Nancy B. Schwartz. What Style Is It? Washington, OC: The Preservation Press, 1977. Rudofsky, Bernard. Streets for People: A Primer for Americans. Garden City, NY: Doubleday, 1969. Society for American Archeology. "Guidelines for the Preparation and Evaluation of Archeological Reports," Chapter 3, The Management of Archeological Resources: The Airlie House Report. Washington, DC: Society for Ameri can Archeology, 1977. South Dakota Office of Cultural Preservation. Historic Sites Survey Handbook. Vermillion, SD: Office of Cultural Preservation, 1973. State Historical Society of Colorado. Guidelines-History and Archeology. Denver: State Historical Society of Colorado, n.d. ----. So-You Have a Nomination to the National Register. Denver: State Historical Society of Colorado, 1973. Stokes, Samuel N., Elizabeth Watson, Genevieve P. Keller, and J. Timothy Keller. Saving America's Country side: A Guide to Rural Conservation. Baltimore: Johns Hopkins University Press, 1989. Texas Historical Commission. Resource Planning Process for Texas. Austin: Texas Historical Commission, 1981. Townsend, Frederick E. "A Selected and Annotated Bibliography on the Remote Sensing of Historical and Archeological Sites." In Historic Preservation and the Cultural Landscape: An Emergency Land Use Planning Concern. Edited and compiled by William H. Tishler and Randy Garber. Madison: Department of Landscape 88 Architecture/ Environmental Awareness Center, University of Wisconsin, 1976. U.S. Geological Survey. Guide to Obtaining USGS Informa tion. Circular 900, Washington, OC: U.S. Department of the Interior, U.S. Geological Survey, 1985. Weinstein, Robert A., and Larry Booth. Collection, Use and Care of Historical Photographs. Nashville, TN: American Association for State and Local History, 1977. Weitzman, David. Traces of the Past: A Field Guide to History on Your Doorstep. New York: Scribner's, 1980. Wells, Camille, ed. Perspectives in Vernacular Architecture. Annapolis, MD: Vernacular Architecture Forum, 1982. Whiffen, Marcus. American Architecture Since 1780: A Guide to Styles. Cambridge: MIT Press, 1981. Whiffen, Marcus, and Frederick Koeper. American Architecture 1607-1976. Cambridge: MIT Press, 1981. White, William H., Jr. The Social Life of Small Urban Spaces. Washington, DC: The Conservation Foundation, 1980. Wiggington, Eliot, ed. The Foxfire Book. Garden City, NY: Doubleday, 1972 (subsequent volumes published semiannually-annually). Wright, Russell. A Guide to Delineating Edges of Historic Districts. Washington, DC: National Trust for Historic Preservation, 1976. 2.Examples of Preservation Plans Since preservation plans arc not always published, it is often not easy for those outside the community or State to which they apply to review them. Copies of some State Historic Preservation Plans arc available from the National Park Service by inquiring of the Regional Director serving your area. To determine the availability of preservation plans discussed below, it is suggested that the relevant State Historic Preservation Officer be contacted. State Historic Preservation Officer addresses can be found in Appendix V. Since preservation plans often have multiple authors or compilers, or do not list authors as such, the following plans are listed in alphabetical order by title. An Archaeological Preservation Plan for Charleston, South Carolina, by Martha Zierden and Jeanne A. Calhoun. Charleston, SC: Charleston Museum Archaeological Contributions No. 8, 1984. Based on extensive archival research and study of the results of archeological excavations carried out in advance of construction projects in various parts of the Bibliography city, this study identifies the general locations in which different kinds of historic archeological resources (remains of fortifications, antebellum planters' homes, commercial establishments, piers, slave and free black residences, etc.) are likely to be found underground, and indicates them on maps. It goes on to outline a series of research questions to guide archaeological research in the city. Recommendations for linking archeological studies with planning arc relatively weak, but the volume is a good example of the mobilization of archival and archeological data to indicate where development planning should exercise caution to avoid damaging archeological resources. Austin Historic Preservation Plan. Charles Hall Page and Associates, Inc. San Francisco: Charles Hall Page and Associates, 198L This plan, prepared on the basis of relatively little survey data, provides a basis for further survey and inventory work. The plan focuses solely on architecture, without discussion of archeological resources. It pro vides an overview of the city's history, and goes on to discuss such preservation tools as the use of building codes, tax incentives, and zoning. It proposes the establishment of a city-wide inventory program, and offers implementation recommendations. Appendices are provided on local architectural styles, standards for granting certificates of appropriateness, and rehabilita tion guidelines. The Cache River Archeologi,cal Project: An Experiment in Contract Archeology. Michael B. Schiffer and John H. House, assemblers. Fayetteville, AR: Arkansas Archeo logical Survey Research Series No. 8, 1975. A classic study involving the use of archival research and controlled sample field surveys to determine the probable distribution and nature of archeological sites over a large (approximately 2,000 square mile) rural area, this plan was stimulated by proposed flood control construction projects of the U.S. Army Corps of Engi neers. Similar techniques could be applied to the study of archeology of a rural county or other substantial land area. The project was not an intensive archeological survey; instead it focused specifically on prehistoric archeology, guided by an explicit research design. Several aspects of the Cache River Project arc discussed in Schiffcr's and Cummerman's Conservation Archeology. College Hill Demonstration Study. Providence, RI: City Planning Commission in cooperation with the Provi dence Preservation Society and the Department of Housing and Urban Development, 1967. One of the earliest comprehensive plans for renewal of a historic area based on a survey, this study has served as the model for many subsequent surveys. It includes an excellent section on the area's historic architecture and on the city's development. Careful analysis of the Bibliography physical, social, and economic characteristics of the area provides the basis for general and detailed proposals. Its numerical evaluation system has also been a model for others; the scope and timetable of overall renewal programs are developed and detailed. The design proposals seem outdated, but do not mitigate the historical importance of this study. Cultural Resources in Massachusetts: A Model for Manage ment. Massachusetts Historical Commission. Washing ton, DC: U.S. Department of the Interior, 1979. The first comprehensive State Historic Preservation Plan developed along the lines advocated by the National Park Service in its Resource Protection Plan ning Process (RP3), this is still among the most available example of such a plan. It provides a description of methodology and orientation, an overview of the State's history leading to the establishment of historic contexts (study units), an evaluation of the levels of existing knowledge concerning different classes of resources, and patterns of their destruction, leading to the identifi cation of needs for policy changes and the establishment of preservation priorities. Cultural Resources Management Plan for Killens Pond State Park, by Cara L. Wise. Dover, DE: Delaware Division of Parks and Recreation, 1984. This brief publication is a good example of a simple plan for the preservation of historic (in this case, all archeo logical) resources in a lightly developed recreation area of modest size. The plan is based on an intensive survey of the park, which is reported in the publication. The plan outlines priorities for preservation in place and prescribes a series of decision-making steps to be followed in the event a project is planned that might disturb the archeological site. It goes on to set forth a modest interpretive plan, including preparation of a flyer and additions to a nature trail. Green Springs, Louisa County, Virginia: A I.and Use Study. Meade Palmer. Warrenton, VA: 1973. This study presents a land use plan for a rural historic area which includes a brief section on the community's historical development, landscape character, and its visual and architectural character. The study focuses primarily on a physical survey of the land (geology, soils, hydrology, etc.) as these suggest the parameters for future development. Hampton: An Archeological and Historical Overview of a Proposed Strip Mine Tract in South Central Arkansas. Timothy C. Klinger, assembler. Fayetteville, AR: Arkansas Archeological Survey Research Report 19, 1979. This study is an example of the use of archival research, interviews with local residents and artifact collectors, 89 and very small-scale field reconnaissance to develop initial predictions about the nature and distributions of historic properties in a rural area of about 36,000 acres. Although the study was motivated by an impending coal surface mine, the approach would be applied in other circumstances involving areas of similar scale and type. See also Settlement Predictions in Sparta. Historic and Archeological Resources of the Boston Arru. Boston: Massachusetts Historical Commission, 1982. A follow-up study to the Massachusetts Model for Management (see above), this study focuses on Boston and its hinterland. It is comprehensive in that both the existing built environment and the subsurface archeological resources are examined in all communities of the area, using archival research and compilation of data from numerous surveys of particular areas. General locations in which different kinds of historic properties representing different aspect's of the area's history and prehistory are likely to be found are identified. Generalizations are offered about the patterns of property survival that characterize urban cores versus peripheries. Recommendations are largely directed toward the Massachusetts Historical Commission itself, but some recommendations are offered for management of particular areas and kinds of resources in particular political subdivisions. The approach is strongly research-oriented, as it is designed to guide the Commission's survey efforts. As a general management document, it seems to give short shrift to the social and humanistic value of historic properties. This emphasis docs not detract from its value, however, as an example of how archival and partial survey data on a large, dynamic urban area can be organized to provide structure to an ongoing survey effort. Historic and Architectural Conservation Element. San Luis Obispo, CA: City of San Luis Obispo, n.d. This plan, an official element of the city's general plan, represents the history of the development of the city, and organizes the discussion of the city's urban environment around the architectural styles represented there. It identifies critical structures and general areas of conservation concern. It analyzes potential opportunities for and constraints on preservation, and recommends city policies and alternatives. Historic Richmond, Toward Architectural Preservation. Richmond, IN: City Planning Commission, 1970. A publication designed for a community with little preservation activity, this report covers the survey of Richmond's architecture and history and includes a survey of resident and tourist attitudes. It also outlines the range of preservation activities available to the communities and recommends which of these should be undertaken. The report also includes a good section on legal controls for preservation purposes. 90 Historic Survey and Appendix. San Antonio, TX: City Planning Department, 1972. Primarily a visual study intended to stimulate greater awareness of the visual quality of the city, this study employs photography extensively: shots of single buildings, details, and streets. The appendix explains survey methodology, cataloguing and use of data-index cards and maps, and evaluation system. Its broad survey criteria include natural and archeological resources as well as buildings. The appendix also includes a comprehensive section entitled "Historic Preservation and the Law for San Antonio," which traces the effects of Federal, State, and municipal laws that relate to preservation concerns and the amount of latitude these laws allow. Lancaster's Heritage. Lancaster, PA: Lancaster County Planning Commission, 1972. This study is an example of preservation at the county level. The study clearly defines the reasons for preservation; presents Federal, State, and local preservation activities, and includes selected examples from a county-wide inventory of historic sites. It includes good summaries of legal controls and education efforts. Chapter 7 emphasizes the importance of area preservation and identifies four kinds of areas: major significance areas, significant areas, interest areas, and large rural historic areas. The final chapter defines the need for a county-wide program to encourage rural and community preservation. Goals suggested for planning commissions include the development of wning ordinances, restructured tax systems, and environmental review procedures. Marshall, A Plan for Preservation. Marshall, MI: Marshall Historical Society, 1973. This publication presents the results of a community architectural survey. An explanation of local architectural styles and an explanation of the methodology of the survey are emphasized. Based on the survey, treatment areas are suggested and long and short range activities for community preservation are recommended. The book is outstanding for its graphic quality. Our Lasting Heritage: An Historical and Archeological Preservation Plan for Central Solano County. Solano County, CA: Central Solano County Cultural Heritage Commission, 1977. An example of a plan for a largely agricultural county, addressing both architectural and archeological resources, this plan was developed largely by local people with professional assistance. Based on partial survey data, the plan organizes information on known historic properties with reference to chronological periods from the Indian Presence through Recent History and describes the known resources of different cities and Bibliography parts of the county. It goes on to present an action program for the Cultural Heritage Commission that emphasizes public education, regulation of develop ment, and research. Pioneer Square Historic District Plan. Seattle, WA: Office of Urban Conservation, 1974. A sophisticated study of a recognized historic commer cial district, this plan includes careful analysis of the existing urban setting. Space use, parking, traffic, transportation, resident population, and housing provide the basis for development proposals. Commu nications guidelines and project specifications for continued redevelopment of the area are also included. A Plim for Historic Preservation in Denver. Robert Carper. Denver, CO: Denver Planning Office, 1974. This series of publications covers a comprehensive program for municipal preservation activities. The plan itself is intended for use by various councils, commis sions, agencies, and citizens' groups. Besides explaining inventory criteria, the publication includes sections on preservation at national, State, and local levels, preser vation philosophy, various kinds of preservation legislation, ordinances, and preservation financing. It also outlines methods used to accomplish preservation objectives. Appendices include an "Inventory of Denver Architecture," "Survey Manual,""Procedural Manual,"and "Project Record." Prehistoric Resources of East-Central New England: A Preliminary Predictive Study. Dena F. Dincauze and Judith Meyer. Washington, DC: U.S. Department of the Interior, National Park Service, Interagcncy Archcologi cal Services, 1976. This study presents a regional overview based on background research into prehistoric environments, documentation of known prehistoric site distributions, and ethnographic settlement patterns. Projections of possible differential sensitivity areas are made, and impacts of past, current, and probable future programs of land modification arc discussed. State laws and programs are analyzed for effectiveness in dealing with such impacts, and recommendations are offered. Preservation and Rehabilitation of a Historic Commercial Area: A Demonstration Study of a Waterfront Historic District. New Bedford, MA: New &dford Development Authority in cooperation with the New Bedford City Planning Department and the Waterfront Historic Arca League, 1967. This study is one of the first comprehensive design plans based on the area's existing physical and historic character. It includes a summary of the area's historic development, background information on historic preservation, a statement of goals, specific design Bibliography recommendations and developmental standards, a summary of methods of implementation, and an analysis of relative costs and benefits. Preservation Plan, Lowell, Massachusetts. Lowell: Lowell Historic Preservation Commission, 1980. This is an example of a plan for a small city with major historical interpretive opportunities, in this case, the Local Historic Preservation District, being developed by the National Park Service for the interpretation of the Industrial Revolution in the nineteenth century. The major strength of this plan lies in the way it shows how park interpretive development can be integrated with, and made supportive of, community development and the maintenance of social and architectural integrity. The plan promotes incentives for maintenance and rehabilitation of buildings in and around areas to be interpreted, and active involvement of the community in all aspects of the interpretive program. Riverfront Development Plan and Historic Preservation Plan. Jefferson County, MO: Planning and Zoning Commis sion, 1970. This planning study includes the history and analysis of development potential of riverfront areas. A historic district is proposed (and a copy of an ordinance in cluded) based on initial identification of historic sites and areas. The best section, however, includes analysis, recommendations, and proposals for revitalizing riverfront areas. Techniques discussed include acquisi tion of casements. The Russell Wright Report. Alexandria, VA: Department of Planning and Regional Affairs, 1970. The report is a complete examination of the rating system used in evaluating the architectural significance of buildings in historic Alexandria, and in developing priorities for preserving them. Sacramento "Old City": A Preservation Program. Sacra mento, CA: Sacramento Historic Structures Advisory Commission, 1974. Prepared before substantial survey had been under taken, this plan establishes goals and objectives for the city historic preservation program, and recommends actions to facilitate survey, registration, and a variety of protective activities and incentives to encourage reha bilitation. Salem, Massachusetts, Historic Arai Study. Salem: MA: Salem Planning Board and Massachusetts Department of Commerce, 1963. One of a series of eight reports of a community's comprehensive planning programs, this report traces the development of the area, maps buildings by style, 91 evaluates their quality, and defines potential conserva tion areas. The report also includes a general land use and circulation plan, makes specific recommendations with regard to the regulation of historic districts, and outlines development options in the historic areas (which are covered in greater detail in some of the other reports). The Sautee and Nacoochee River Valleys: A Preservation Study, by Allen D. Stovall, ASLA. Sautec--Nacoochee, GA: Sautee-Nacoochee Community Association, 1982. This award-winning study approaches the historic resources of two rural Georgia valleys from a compre hensive standpoint guided by the principles of land scape architecture. Archival and field data on archeol ogy, history, architecture, land use, scenic qualities, and natural resources are systematically organized and combined to provide a composite picture of the valleys' cultural values. Threats to their integrity and legal and financial opportunities for control of threats are care fully analyzed. Extensive community involvement in the study is documented. A comprehensive and detailed preservation plan is the result, containing both general and specific recommendations for actions by individuals and local, county, and State governments to restrain development and ensure that it is compatible with the historic and cultural character of the two valleys. Settlement Predictions in Sparta, by Robert H. Lafferty III, et. al. Fayetteville, AR: Arkansas Archcological Survey Research Series No. 14, 1981. A follow-up study to the Hampton report (see above), this publication further documents archival research and a 10% sample field reconnaissance, resulting in a sophisticated prediction of the distribution of historic properties of different types throughout the 36,000 acres study area. Southampton Village: Planning for Preservation. New York: Buckhurst Fish Hutton Katz for Southampton Associa tion, 1983. This is an example of a plan developed by a concerned community organization in response to perceived threats. The Southampton Association was concerned about a proposed master plan that called for substantial expansion of retail marketing in certain historic areas of the community, and arranged for development of a preservation plan to analyze alternatives. The plan summarizes the community's historical development, describes historic and existing patterns of land use, discusses the specific issues for historic preservation raised by the master plan, and offers recommendations for economically viable alternatives that will preserve historic properties, architectural design qualities, farmland, open space, and beach access. 92 The Southern Santa Clara Valley: A General Plan for Archeology. Thomas F. King and Patricia P. Hickman. San Francisco: A.E. Treganza. Anthropology Museum, San Francisco State University, 1973. This plan is a regional archeological study designed to assess the indirect impacts of a large water importation project. Background research and sample fieldwork permitted the prediction of zones of differential sensitiv ity for prehistoric sites, and a more general discussion of historic properties. Pertinent Federal and State laws and the general plans of local counties and cities are ana lyzed, leading to recommendations for planning actions to protect all kinds of archeological properties. A summary discussion of the project is provided in Schiffer and Gummerman's Conservation Archeology (see General Sources below). The Tulsa Historic Preservation Plan Report. Tulsa, OK: Tulsa Historic Preservation Office, 1980. Based on architectural surveys, this plan identifies 17 historic preservation areas in the city, and prescribes achievable preservation targets and policies for achiev ing them. It outlines legal and financial implementation tools applicable to each. Urban Design and Historic Preservation for Columbia. Columbia, SC: Central Midlands Regional Planning Council and the City of Columbia, 1974. This study explains and illustrates proposed designs for selected historic areas of the city. Emphasis is on linking several discrete areas through the use of improved landscaping, street furniture, etc., on the connecting streets. Urban Design Plan. San Francisco, CA: San Francisco Department of City Planning, 1972. This plan was prepared as a result of a two-year study by the Department of City Planning as a part of a master plan to guide public and private development as it affects the design of the city. Based on studies by varied consultants, resident polls, and other planning studies, four topics were selected as important: city pattern, conservation, major new development, and neighbor hood environment. Each of these receives in-depth study in this publication, based on a review of human needs, a statement of overall objective, a description of fundamental principles, and formulation of policies. Sections of principles and policies could provide models for other comm uni ties. The Urban Design Plan, Historic Hill, Newport, Rhode Island. Newport, Rhode Island: Redevelopment Agency of the City of Newport, 1971. A detailed plan for a historic city center based on thorough survey and analysis of the city's architec- Bibliography ture, public spaces, roads, signs, etc., this study includes consideration of land and building uses, architectural and historical significance, and structural conditions that provide further basis for design proposals. Good statements of preservation and development objectives and design criteria are included, as well as maps and sketches for individual areas and properties. Vieux Carre Historic District Demonstration Study. Vols 1-7.New Orleans, LA: Bureau of Government Researchfor the City of New Orleans, 1968. An extremely thorough study in seven volumes, the plan and program for the preservation of Vieux Carre is supplemented by a series of more technical publications: (1)Environmental Survey, (2) Legal and AdministrativeReport, (3) Economic and Social Study, (4) VieuxCarre-Its Plan, Its Growth, and Its Architecture, (5)Central Business District Traffic Study, (6) Evaluation ofthe Proposed Riverfront Expressway. The main planand program include a brief review of Volume D, thehistory of architecture of the Vieux Carre. Woodbury, Connecticut, A New England Townscape. Woodbury, CT: Old Woodbury Historical Society, 1975. A small, handsome study of a rural New England town intended to generate local interest in preservation, this study includes a discussion of the specific aspects of the townscape, amenities, land use, and historic character are based on a community survey. The study also explains the survey itself, summarizes the economics of local preservation, and recommends a program of historical research and cultural rural landscape study. 3.Preservation Tools and Strategies National Park Service publications Curtis, John Obed. Moving Historic Buildings. Springfield, VA: National Technical Information Service, 1979. NTIS No. PB 85-180792. Gayle, Margot, David W. Look, and John G. Waite. Metals in America's Historic Buildings: Uses and Preserva tion Methods. Springfield, VA: National Technical Information Service, 1978. NTIS Publication No. PB 90-206269. Gyrisco, Geoffrey M. Legal Tools to Protect Archeological Sites. In 11593, Fall 1980. Weiss, Norman R. Exterior Cleaning of Historic Masonry Buildings. Springfield, VA: National Technical Information Service. NTIS No. PB 85-180818. Secretary of the Interior's Standards and Guidelines for Historical, Architectural, and Archeological Documentation Professional Qualifications Standards. (The above are Bibliography available as part of The Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation). National Register of Historic Places 36 CFR Part 60. Secretary of the Interior's Standards for Historic Preservation Projects, with Guidelines for Applying the Standards. Ecorwmics of Revitalization: A Decisionmaking Guide for Local Officials. Washington, DC: U.S. Department of the Interior, National Park Service, Interagency Resources Division, January 1981. Federal Tax Provisions to Encourage Rehabilitation of Historic Buildings: An Assessment of Their Effect. National Register Bulletin 17: Certification of State and Local Statutes and Historic Districts. Washington, DC: U.S. Department of the Interior, National Park Service. Historic Preservation Certifications Pursuant to the Tax Reform Act of 1976, the Revenue Act of 1978, the Tax Treatment Extension Act of 1980, and the Ecorwmic Recovery Act of198136 codified as CFR Part 67. Preservation Briefs: Preservation Brief No. 1: The Cleaning and Waterproof Coating of Masonry Buildings. Preservation Brief No. 2: Repainting Mortar Joints in Historic Brick Buildings. Preservation Brief No. 3: Conserving Energy in Historic Buildings. Preservation Brief No. 4: Roofing for Historic Buildings. Preservation Brief No. 5: The Preservation of Historic Adobe Buildings. Preservation Brief No. 6: Dangers of Abrasive Cleaning to Historic Buildings. Preservation Brief No. 7: The Preservation of Historic Glazed Architectural Terra-Cotta. Preservation Brief No. 8: Aluminum and Vinyl Siding on Historic Buildings. Preservation Brief No. 9: The Repair of Historic Wooden Windows. Preservation Brief No. 10: Exterior Paint Problems on Historic Woodwork. Preservation Brief No. 11: Rehabilitating Historic Storefronts. Preservation Brief No. 12: The Preservation of Historic Pigmented Structural Glass (Vitrolite and Carrara Glass). 93 Preservation Brief No. 13: The Repair and Thermal Upgrad ing of Historic Steel Windows. Preservation Brief No. 14: New Exterior Additions to Historic Buildings: Preservation Concerns. Preservation Brief No. 15: Preservation of Historic Concrete: Problems and General Approaches. Preservation Brief No. 16: The Use of Substitute Materials on Historic Building Exteriors. Preservation Brief No. 17: Architectural Character Identifying the Visual Aspect of Historic Buildings as an Aid to Preserving Their Character. Preservation Brief No. 18: Rehabilitating Interiors in Historic Buildings-Identifying Character-Defining Elements. Preservation Brief No. 19: The Repair and Replacement of Historic Wooden Shingle Roofs. Preservation Brief No. 20: The Preservation of Historic Barns. Preservation Brief No. 21: Repairing Historic Flat Plaster Walls and Ceilings. Preservation Brief No. 22: The Preservation and Repair of Historic Stucco. Preservation Brief No. 23: Preserving Historic Ornamental Plaster. Advisory Council publications (sec above for availabil ity). Federal Tax Ltlw and Historic Preservation: A Report to the President and Congress. Washington, OC: Advisory Council on Historic Preservation, November, 1983. Treatment of Archeological Properties. Washington, DC: Advisory Council on Historic Preservation, February, 1981. Federal Historic Preservation Case Ltlw. Washington, DC: Advisory Council on Historic Preservation, July 1985. GPO Stock No. 052-003-01000-3. Publications of others. American Association for State and Local History. Directory of Historical Societies and Agencies in the United States and Canada. Nashville, TN: American Association for State and Local History, eleventh edition, 1978. American Institute of Architects. Design Review Boards: A Handbook for Communities. Washington, DC: American Institute of Architects, 1974. 94 American Planning Association. Planning. (Monthly magazine). Chicago: AP A Planners Press. American Society of Planning Officials/Planning Advisory Service. Transferable Development Rights. Chicago: American Society of Planning Officials, 1975. Andrews, Gregory E., ed. Tax Incentives for Historic Preservation. Washington, DC: The Preservation Press, 1980. Baldwin, Pamela, ed. Environmental Mediation: An Effective Alternative? Palo Alto, CA: Resolve Center for Environmental Conflict Resolution, 1978. Bowles, Roy T. Social Impact Assessment in Small Commu nities. Toronto, Ontario: Butterworths, 1981. Bowsher, Alice Merriwether. Design Review in Historic Districts. Washington, DC: The Preservation Press, 1978. Branch, Melville C., Jr. Comprehensive City Planning: Introduction and Expansion. Chicago: APA Planners Press, 1985. Brenneman, Russell L., and Sarah M. Bates. Ltlnd Saving Action. Covelo, CA: Island Press, 1984. Bryson, John M. Strategic Planning for Public and Non profit Organizations: A Guide to Strengthening and Sustain ing Organi:mtional Achievement. San Francisco: Jossey Bass Publishers, 1988. Bunnell, Gene. Built to Ltlst: A Handbook on Recycling Old Buildings. The Preservation Press, Washington, DC: 1977. Burchell, Robert W., and David Listokin. The Adaptive Reuse Handbook: Procedures to Inventory, Control, Manage, and Reemploy Surplus Municipal Properties. New Brunswick, NJ: Center For Urban Policy Research, 1981. Chambers, J. Henry. Cyclical Maintenance for Historic Buildings. Springfield, VA: National Technical Informa tion Service, 1979. NTIS Publication No. PB87-l 18659. Coughlin, Thomas A. Easements and Other Legal Tech niques to Protect Historic Houses in Private Ownership. Washington, DC: Historic House Association of America, 1981. Cantacuzino, Sherban. New Uses for Old Buildings. New York: Watson-Guptill, 1975. ----. Saving Old Buildings. London: The Architec tural Press, Ltd., 1980. Dandcdkar, Hemalata C., ed. The Planner's Use of Information. Chicago: APA Planners Press, 1988. Bibliography Daniels, Thomas L., and John W. Keller. The Small Town Planning Handbook. Chicago: APA Planners Press, 1988. DeGrove, John M. Land, Growth, and Politics. Chicago: APA Planners Press, 1984. Dennis, Stephen N. Do' s and Don' ts in Drafting a Preser vation Ordinance. Washington, DC: National Trust for Historic Preservation, 1982. Duerksen, Christopher J. "Local Preservation Law." In A Handbook on Historic Preservation Law, Chapter 2. Wash ington, DC: The Conservation Foundation and the National Center for Preservation Law, 1983. Feilden, Bernard M. Conservation of Historic Buildings. Woburn, MA: Buttersworths, 1982. Flanagan, Joan. The Grass Roots Fundraising Book: How to Raise Money in Your Community. Chicago: Swallow Press, 1977. Foundation Center. The Foundation Directory. New York: The Foundation Center, 1983 (updated periodically). Goetze, Rolf. Building Neighborhood Confidence: A Human istic Strategy for Urban Housing. Cambridge, MA: Ballinger Publishing Co., 1976. ----. Stabilizing Neighborhoods: A Fresh Approach to Housing Dynamics and Perceptions. Boston: Boston Redevelopment Authority, 1977. Gurin, Maurice C. What Volunteers Should Know for Successful Fund Raising. Briarcliff Manor, NY: Stein and Day, 1981. Hedman, Richard. Fundamentals of Urban Design. Chicago: APA Planners Press, 1985. Hester, Randolph T., Jr. Planning Neighborhood Space With People. New York: Van Nostrand Reinhold, 1984. Hillman, Howard, and Karin Arbanel. The Art of Winning Foundation Grants. New York: Vanguard Press, 1975. Keune, Russell V. The Historic Preservation Yearbook. Washington, D.C.: Adler and Adler, 1985. (This volume includes a great variety of articles documenting signifi cant policy developments and issues, and provides guidelines with examples of such diverse subjects as nomination of properties to the National Register, development of State legislation, and financial incen tives for preservation). Kidney, Walter C. Working Places: The Adaptive Use of Industrial Buildings. Pittsburgh, PA: Ober Park Associ ates, 1976. Bibliography Langenbach, Randolph. A Future for the Past: The Case for the Conservation and Reuse of Old Buildings in Industrial Communities. Boston: Massachusetts Department of Community Affairs, 1976. Lefferts, Robert. Getting a Grant in the 1980s: How to Write Successful Grant Proposals. Englewood Cliffs, NJ: Prentice Hall, 1982. Levitano, Adrienne M. Neighborhood Commercial Revital ization. Washington, DC: National Association of Housing and Redevelopment Officials, 1978. Lion, Edgar. Building Renovation and Recycling. New York: Wiley Interscience, 1982. McNulty, Robert H., and Stephen A. Kliments, eds. Neighborhood Conservation: A Handbook of Methods and Techniques. New York: Whitney Library of Design, 1976. Maddex, Diane, ed. All About Old Buildings: The Whole Preservation Catalogue. Washington, DC: National Trust for Historic Preservation, 1985. Meder-Montgomery, Marilyn. Preserving Easements: A Legal Mechanism for Protecting Cultural Resources. Denver: Colorado Historical Society, 1984. Nannen, Howard. A Guide to Financing and Development for Small Restoration Projects. Hartford, CT: Hartford Architectural Conservancy, 1976. National Center for Architecture and Urbanism. Energy Conservation and Solar Energy for Historic Buildings: Guidelines for Appropriate Design. Washington, DC: National Center for Architecture and Urbanism, 1981. National Institute of Building Sciences. Rehabilitation Guidelines, 1980. Washington, DC: U.S. Department of Housing and Urban Development, 1980. National Trust for Historic Preservation. Directory of American Preservation Commissions. Washington, DC: The Preservation Press, 1981. ----. Directory of Historic Preservation Lawyers. Washington, DC: The Preservation Press, 1984. ----. Landmark Yellow Pages. Washington, DC: The Preservation Press, 1992. ----. Main Street Revitalization Handbook. Wash ington, DC: The Preservation Press, 1977. ----. Main Street Training Manual. Washington, DC: The Preservation Press, 1981. ----. Preservation and Conservation: Principles and Practices. Washington, DC: The Preservation Press, 1981. 95 Pasiltiner, Ellen K., et. al., eds. Zoning and Historic Preservation: A Survey of Current Zoning Techniques in U.S. Cities to Encourage Historic Preservation. Chicago: Landmarks Preservation Council of Illinois, 1984. Ramati, Raquel. Haw To Save Your Own Street. Garden City, NY: Dolphin Books, Doubleday, 1981. Reiner, Laurence E. Haw To Recycle Old Buildings. New York: McGraw-Hill, 1979. Rothschild, Nan A., and Diane Rockman. ''Method in Urban Archeology: The State House Block." In Archeol ogy in Urban America. Roy S. Dickens, ed. New York: Acadamic Press, 1983. Salwen, Bert, Sarah T. Bridges, and Nan A. Rothschild. 'The Utility of Small Samples from Historic Sites: Onderdonk, Ointon Avenue, and Van Campen." Historical Archeology 15:1:79-94, 1981. Schuyler, Robert L., ed. Archeological Perspectives on Ethnidty in America, Afro-American and Asian-American Culture History. Farmingdale, CT: Baywood Publishing Co., 1980. Shirvani, Hamid. Urban Design Review: A Guide for Planners. Chicago: American Planning Association, Planners Press, 1981. Smith, Frank J ., and Randolph T. Hester, Jr. Community Goal Setting. New York: Van Nostrand Reinhold, 1982. Smith, Herbert. The Citizen's Guide to Planning. 2nd edition. Chicago: AP A Planners Press, 1979. So, Frank S., and Judith Getzels, eds. The Practice of Local Government Planning. 2nd edition. Washington, OC: International City Management Association, 1988. So, Frank S., Irving Hand, and Bruce McDowell, eds. The Practice of State and Regional Planning. Chicago: APA Planners Press, 1985. Social Impact Assessment Center. Social Impact Assess ment (newsletter). New York: Social Impact Assessment Center and International Association for Impact Assess ment, n.d. Society of Professional Archeologists. Directory of Professional Archeologists. Lincoln, NE: Society of Profes sional Archeologists, issued annually. Solomon, Sandra. Neighborhood Transition without Displacement: A Citizens' Handbook. Washington, DC: National Urban Coalition, 1979. Susskind, Lawrence, and Alan Weinstein. "Toward a Theory of Environmental Dispute Resolution." Boston College Environmental Affairs Law Review 9:2:311-57, 1981. 96 Talbot, Allan R. Settling Things: Six Case Studies in Environmental Mediation. Washington, DC: The Conser vation Foundation and the Ford Foundation, 1983. Technical Preservation Services, U.S. Department of the Interior, National Park Service. Respectful Rehabilitation: Answers to Your Questions About Old Buildings. Washing ton, DC: The Preservation Press, 1982. Tester, Frank J., and William Mykes, eds. Social Impact Assessment: Theory, Method, and Practice. Calgary, Alberta: Detselig Enterprises, 1981. Urban Land Institute. Adaptive Use: Development Econom ics, Process, and Profiles. Washington, DC: Urban Land Institute, 1978. U.S. Department of Housing and Urban Development. Guidelines for Rehabilitating Old Buildings: Principles to Consider When Planning Rehabilitation and New Construc tion Projects in Older Neighborhoods. Washington, DC: U.S. Department of Housing and Urban Development, 1976. ----. Public/Private Partnership: Leveraging Your CDBG. Washington, DC: U.S. Department of Housing and Urban Development, 1984. ----. Urban Homesteading Catalogue. Washington, OC: U.S. Department of Housing and Urban Develop ment, 1977. U.S. Department of Transportation. Recycling Historic Railrood Stations: A Citizen's Manual (with Technical Supplement). Washington, OC: U.S. Department of Transportation, 1978. Waters, John C. Maintaining a Sense of Place: A Citizen's Guide to Community Preservation. Athens: University of Georgia, 1983. Weiler, Conrad. Handbook on Reinvestment Displacement: HUD's Role in a New Housing Issue. Washington, DC: National Association of Neighborhoods, 1978. Ziegler, Arthur P., Jr. Historic Preservation in Inner City Areas: A Manual of Practice. Pittsburgh, PA: Allegheny Press, 1971 (revised 1974). Ziegler, Arthur P ., Jr., Leopold Adler, and Walter C. Kidney. Revolving Funds for Historic Preservation. Pitts burgh, PA: Ober Park Associates, 1975. 4.Legal Reference Material Advisory Council on Historic Preservation. Federal Historic Preservation Case Law. Washington, DC: Advi sory Council on Historic Preservation, July 1985. GPO Stock No. 152-003-01000-3. Bibliography American Law Institute. Model Land Development Code. Draft No. 2, 1970. Brenneman, Russell L. "Techniques for Controlling the Surroundings of Historic Sites." Law and Contemporary Problems 36:416, 1971. ----. "Historic Preservation Case Law." Wake Forest Law Review 12 (Spring) :227-75, 1976. Costonis, John J. Space Adrift: Saving Urban Landmarks Through the Chicago Plan. Urbana: University of Illinois Press, 1974. Dennis, Stephen N. 'When Commissions Go To Court: A Summary of Favorable Treatment of Challenges to Ordinances and Commission Decisions." Washington, DC: U.S. Department of the Interior, National Park Service, Interagency Resources Division, 1988. (Part of the Local Preservation Series). Duerksen, Christopher J., ed. A Handbook on Historic Preservation Law. Washington, DC: The Conservation Foundation and the National Center for Preservation Law, 1983. National Center for Preservation Law. Preservation Law Update. Washington, DC: National Center for Preservation Law (periodical). National Trust for Historic Preservation. Preservation Law. New York, NY: Practicing Law Institute, Real Estate Law and Practice Course Handbook, 1981, 1982. ----. Rehabilitating Historic Properties 1984: Practicing Preservation Law. New York, NY: Practicing Law Institute, Real Estate Law and Practice Course Handbook Series No. 253, 1984. Thurber, Pamela, and Robert Moyer. State Enabling Legislation for Local Preservation Commissions. Washington, DC: National Trust for Historic Preservation, Preservation Policy Research Paper No. SLP-001, 1984. 5.Examples of Survey PublicationsBenchley, Elizabeth D. An Overview of the Prehistoric Resources of the Metropolitan St. Louis Area. Washington, DC: U.S. Department of the Interior, National Park Service, Interagency Archcological Assistance Division, 1976. Brandywine Conservancy. Protecting Historic Properties: A Guide to Research and Preservation (with examples for the Delaware Valley). Chadds Ford, PA: Brandywine Conservancy, 1984. Cambridge Historical Commission. Survey of Architec tural History of Cambridge, Vols 1-5. Cambridge MA: Cambridge Historical Commission, 1965-1975. Bibliography Corbett, Michael R. Splendid Suroivors: San Francisco's Downtown Architectural Heritage. San Francisco: Foundation for San Francisco's Architectural Heritage, 1979. Delaware Valley Regional Planning Commission. Inventory of Historic Sites. PA: Delaware Valley Regional Planning Commission, 1969. Department of Research and Planning. Duluth's legacy, Volume 1: Architecture. Duluth, MN: Department of Research and Planning, 1974. Department of Zoning and Planning. Historical Preserva tion Inventory. Saint Joseph, MO: Department of Zoning and Planning, 1972. Environmental Research Group. South Philadelphia Historic Sites Survey. Philadelphia: Philadelphia Landmarks Commission, 1980. Gaede, Robert C., and Kim F. Zamey. Chattanooga: Hamilton County Landmarks Survey & Preservation Plan. Medina, OH: Townscape, 1977. Greater Portland Landmarks. Portland. Portland, ME: Greater Portland Landmarks, 1973. Land Clearance for Redevelopment Authority. Historic Preservation Analysis. Kansas City, MO: Land Clearance for Redevelopment Authority, 1973. Landmarks Heritage Preservation Commission. A Comprehensive Plan for Historic Preservation in Omaha. Omaha, NE: Landmarks Heritage Preservation Commission, 1980. Maryland Historical Trust. Inventory of Historic Sites in Calvert County, Charles County, and Saint Mary's County, Maryland. Annapolis: Maryland Historical Trust, 1980. Matheson, Janet, and F. Bruce Haldman. Historic Resources in the Fairbanks North Star Borough. Fairbanks, AK: Fairbanks North Star Borough Planning Department, 1981. Mathis, Mark A (assembler). North Carolina Statewide Archeological Survey: An Introduction and Application to Three Highway Projects in Hertford, Wilkes, and Ashe Counties. Raleigh: North Carolina Archcological Council and North Carolina Division of Archives and History, 1979. Minnesota Historical Society. Minnesota Statewide Archeological Survey, Summary: 1977-1980. St. Paul: Minnesota Historical Society, 1981. Monroe County Historical Commission. 19th Century Buildings of Monroe County. Monroe County, MI: Monroe County Historical Commission, n.d. 97 North Carolina Department of Archives and History. Beaufort, North Carolina. Raleigh: North Carolina Depart ment of Archives and History, 1970. Peterson, Dan. Petaluma's Architectural Heritage. Petaluma, CA: City of Petaluma, 1978. Planning Department. Historic Preservation Inventory. Grand Rapid, MI: Planning Department, 1973. Rhode Island Historical Preservation Commission. Pawtuxet Village, Cranston and Warwick, Rhode Island. Providence: Rhode Island Historical Preservation Commission, 1973. ----. Special Report. (A series begun in 1974; many on surveys are now available). ----.. Warren, Rhode Island. Providence: Rhode Island Historical Preservation Commission, 1975. Southeastern Illinois Regional Planning and Develop ment Commission. Historic Scenic Guide Map to Southern Illinois. Harrisburg, IL: Southeastern Illinois Regional Planning and Devclopmen t Commission, 1968. Syracuse University School of Architecture. Architecture Worth Saving: Onondaga County. Syracuse, NY: Syracuse University School of Architecture, 1964. Tacoma Department of Community Development. Historic Preservation in Tacoma, Washington. Tacoma: Department of Community Development, 1982. Topeka-Shawnee County Metropolitan Planning Commission. Remembrances in Wood, Brick, and Stone. Topeka, KS: Topeka-Shawnee County Metropolitan Planning Commission, 1975. Urban Aesthetics Commission. Racine Architectural Survey. Racine, WI: Urban Aesthetics Commission, 1974. University of Arizona, College of Architecture. Barrio Historico. Tuscon: University of Arizona, College of Arc hi tccture, 1972. U.S. Department of Transportation. A Nation in Motion: Historic American Transportation Sites. Washington, DC: U.S. Government Printing Office, 1976. Wacamaw Regional Planning and Development Council. Environmental, Historical, and Recreational Atlas of the Wacamaw Region. Georgetown, SC: Wacamaw Regional Planning and Development Council, n.d. 6.General References Dickens, Roy S., Jr., ed. Archeology in Urban America: The Search for Pattern and Process. New York: Academic Press, 1983. 98 Fitch, James M. American Building: The Historical Forces that Shaped It. Vol 1. (rev. ed.), Boston: Houghton Mifflin Co., 1966. Fleming, John, et al. Penguin Dictionary of Architecture. New York: Penguin Books Inc., 1973. Hale, Richard W., Jr., Methods of Research for the Amateur Historian. Nashville, TN: American Association for State and Local History, 1969. King, Thomas F., Patricia P. Hickman, and G. Berg. Anthropology in Historic Preseroation: Caring for Culture's Clutter. New York: Academic Press, Inc., 1977. McGimsey, Charles R. Public Archeology. Seminar Press, 1972. McKee, Harley J. Amateur's Guide to Terms Commonly Used in Describing Historic Buildings. Rochester, NY: Landmarks Society of Western New York, 1970. McHargue, Georgess and Michael Roberts. A Field Guide to Conservation Archeology in North America. New York: Lippincott, 1977. National Park Service, American Association of State and Local History, and National Conference of State Historic Preservation Officers. National Register of Historic Places, 1966-1991. Washington, DC: The Preser vation Press, 1991. National Trust for Historic Preservation. A Guide to State Historic Preservation Programs. Washington, DC: The Preservation Press, 1976. ----.. Landmark Yellow Pages. Washington, DC: The Preservation Press, 1992. Pevsner, Nikolaus, John Fleming, and Hugh Honour. A Dictionary of Architecture. New York: Overook Press, 1976. Saylor, Henry H. Dictionary of Architecture, New York: John Wiley and Sons, 1952. Schiffer, Michael, and George Gurnmerman. Conserva tion Archeology. New York: Academic Press, 1977. Smith, Michael J. Heritage Projects: A Practical Guide For Community Preservation Organiz.ation. Lansing, MI: Michigan Department of State, History Division, 1975. South, Stanley. Method and Theory in Historical Archeol ogy. New York: Academic Press, 1977. Bibliography Fagan, Brian M. In the Beginning. Boston: Little, Brown, 1972. Talmage, Valerie, and Olga Chesler. The Importance of Small, Surface, and Disturbed Sites as Resources of Signifi cant Archeological Data. Springfield, VA: National Technical Information Service, 1977. NTIS Publication No. PB 270930/ AS. Thomas, David J. Predicting the Past. New York: Holt, Rinehart, and Winston, 1974. U.S. Department of the Interior, National Park Service, Office of Archeology and Historic Preservation. The National Register of Historic Places, 1976. Washington, DC: U.S. Government Printing Office, 1976. ----. The National Register of Historic Places. Vol.II. Washington, OC: US Government Printing Office, 1978. Bibliography Whiffen, Marcus. American Architecture Since 1780: A Guide to Styles. Cambridge: MIT Press, 1981. Williams, Norman, Jr., Edmund H. Kellogg, and Frank B.Gilbert, eds. Readings in Historic Preseroation. New Brunswick, NJ: Center for Urban Policy Research, Rutgers University, 1983. Wilson, Rex L., and Gloria Loyola, eds. Rescue Archeology. Washington, DC: National Trust for Historic Preservation and Organization of American States, The Preservation Press, 1982. Ziegler, Arthur P., Jr., and Walter C. Kidney. Historic Preservation in Small Towns: A Manual of Practice. Nash ville, TN: Association for State and Local History, 1980. 99 A endix V: ContactsppListed below are major national contacts for aspects of historic preservation survey and planning. NATIONAL PARK SERVICE For the National Register of Historic Places, Historic American Buildings Survey, Historic American Engineering Record, Preservation Assistance Division, Archeological AssistanceDivision, contact: Associate Director, Cultural Resources, Keeper, National Register of Historic Places National Park Service P.O. Box 37127 Washington, OC 20013-7127 or one of the regional offices of the National Park Service: Alaska Regional Office National Park Service 2525 Gambell Street Anchorage, AK 99503 Phone: (907) 257-2684 Mid-Atlantic Regional Office National Park Service 143 South Third Street Philadelphia, PA 19106 Phone: (215) 597-7013 Rocky Mountain Regional Office National Park Service 12795 West Alameda Parkway P.O. Box 25287, Denver Federal Center Denver, CO 80225-2500 Phone: (303) 234-2500 Southeast Regional Office National Park Service 75 Spring Street, SW Atlanta, GA 30303 Phone: (404) 841-5185 Western Regional Office National Park Service 600 Harrison Street, Suite 550 San Francisco, CA 94102-1372 Phone: (415) 484-3985 100 Advisory Council on Historic Preservation Old Post Office Building 1100 Pennsylvania Avenue, N.W., Suite 802 Washington, OC 20004 Denver, CO 80225-2500 Phone: (202)786-0503 NATIONAL CONFERENCE OF STATE HISTORIC PRESERVATION OFFICERS Hall of States 444 North Capitol Street, Suite 332 Washington, OC 20001 Phone: (202) 624-5465 STATE HISTORIC PRESERVATION OFFICERS Alabama State Historic Preservation Officer Alabama Historical Commission 725 Monroe Street Montgomery, AL 36130-5101 Phone: (205) 242-3184 FAX: (205) 242-3128 Alaska State Historic Preservation Officer Division of Parks Office of History & Archeology P.O. Box 107001 Anchorage, AK 99510-7001 Phone: (907) 762-2622 FAX: (907) 762-2535 American Samoa Historic Preservation Officer Department of Parks & Recreation Government of American Samoa Pago Pago, AS 96799 Phone: (684) 699-9614 FAX: (684) 699-4427 Arizona State Historic Preservation Officer Arizona State Parks 800 W. Washington, #415 Phoenix, AZ 85007 Phone: (602) 542-4009 FAX: (602) 542-4180 Contacts Arkansas State Historic Preservation Officer Arkansas Historic Preservation Program 225 E. Markham, Suite 200 Little Rock, AR 72201 Phone: (501) 324-9346 FAX: (501) 324-9345 California State Historic Preservation Officer Office of Historic Preservation Department of Parks & Recreation P.O. Box 942896 Sacramento, CA 94296-0001 Phone: (916) 653-6624 FAX: (916)653-9824 Colorado State Historic Preservation Officer Colorado Historical Society 1300 Broadway Denver, CO 80203 Phone: (303) 866-2136 FAX: (303)866-5739 Connecticut State Historic Preservation Officer Connecticut Historical Commission 59 South Prospect Street Hartford, CT 06106 Phone: (203) 566-3005 Delaware State Historic Preservation Officer Division of Historical & Cultural Affairs P.O. Box 1401 Hall of Records Dover, DE 19901 Phone: (302) 739-5313 District of Columbia State Historic Preservation Officer District Building 1350 Pennsylvania A venue, NW Washington, DC 20004 Phone: (202) 727-6365 FAX: (202) 727-8040 Contacts Aorida State Historic Preservation Officer Division of Historical Resources Department of State R.A. Gray Building 500 S. Bronaugh Street Tallahassee, FL 32399--0250 Phone: (904) 488-1480 FAX: (904) 488-3353 Georgia State Historic Preservation Officer Office of Historic Preservation 205 Bu tier Street, SE 1462 Floyd Towers East Atlanta, GA 30334 Phone: (404) 656-2840 FAX: (404) 656-2285 Guam Historic Preservation Officer Guam Historic Preservation Office Department of Parks & Recreation 490 Naval Hospital Road Agana Heights, GU 96910 Phone: (671) 477-9620 FAX: (671)477-2822 Hawaii State Historic Preservation Officer Department of Land & Natural Resources P.O. Box621 Honolulu, HI 96809 Phone: (808) 548-6550 Idaho State Historic Preservation Officer Idaho State Historical Society 210 Main Street Boise, ID 83702 Phone: (208) 334-2682 Illinois State Historic Preservation Officer Illinois Historic Preservation Agency 1 Old State Capitol Plaza Springfield, IL 62701-1512 Phone: (217) 785-1153 FAX: (217) 524-7525 101 Indiana State Historic Preservation Officer Department of Natural Resources 402 West Washington Street Indiana Government Center, South Room C-265 Indianapolis, IN 46204 Phone: (317) 232-4020 FAX: (317) 232-8036 Iowa State Historic Preservation Officer State Historical Society of Iowa Capitol Complex East 6th & Locust Street Des Moines, IA 50319 Phone: (515) 281-8837 FAX: (515)282-0502 Kansas State Historic Preservation Officer Kansas State Historical Society 120 West Tenth Topeka, KS 66612 Phone: (913) 296-3251 FAX: (913)296-1005 Kentucky State Historic Preservation Officer Kentucky Heritage Council 12th Floor, Capitol Plaza Tower Frankfort, KY 40601 Phone: (502) 564-7005 FAX: (502)564-6578 Louisiana State Historic Preservation Officer Office of Cultural Development Department of Culture, Recreation and Tourism P.O. Box 44247 Baton Rouge, LA 70804 Phone: (504) 342-8200 FAX: (504) 342-3207 Maine State Historic Preservation Officer Maine Historic Preservation Commission 55 Capitol Street, Station 65 Augusta, ME 04333 Phone: (207) 289-2132 FAX: (207) 289-2861 102 Marshall Islands, Republic of the Historic Preservation Officer Secretary of the Interior and Outer Islands Affairs P.O. Box 1454 Majuro Atoll Republic of the Marshall Islands 96960 Phone: (692) 625-3413 FAX: (692)625-3412 Maryland State Historic Preservation Officer Division of Historical & Cultural Programs Department of Housing and Community Development 100 Community Place, 3rd Floor Crownsville, MD 21032-2023 Phone: (410) 514-7600 FAX: (410) 987-4071 Massachusetts State Historic Preservation Officer Massachusetts Historical Commission 80 Boylston Street, Suite 310 Boston, MA 02116 Phone: (617) 727-8470 FAX: (617) 727-5128 Michigan State Historic Preservation Officer Bureau of History, Department of State 717 West Allegan Street Lansing, MI 48918 Phone: (517) 373-0511 FAX: (517)373-0851 Micronesia, Federated States of (Chuuk, Kosrae, Pohnpei, Yap) Historic Preservation Officer Office of Administrative Services Division of Archives & Historic Preservation FSM National Government P.O. Box PS 35 Palikir, Pohnpci, FSM 96941 Phone: (691) 320-2343 FAX: (691)320-2597 Chuuk Historic Preservation Officer Department of Resources & Development Moen, Chuuk, FSM East Caroline Islands 96942 Phone: (691) 330-3309 FAX: (691)330-2232 Contacts Kosrae Historic Preservation Officer Division of History & Cultural Preservation Department of Conservation & Development Kosrae State, FSM East Caroline Islands 96944 Phone: (691) 370--3078 FAX: (691)370--3003 Pohnpei Historic Preservation Officer Department of Land Pohnpei State Government P.O. Box 158 Kolonia, Pohnpci, FSM East Caroline Islands 96941 Phone: (691) 320--2715 FAX: (691) 320--2505 Yap Historic Preservation Officer Office of the Governor Colonia, Yap, FSM West Caroline Islands 96943 Phone: (691) 350--2194 FAX: (691)350--2381 Minnesota State Historic Preservation Officer Minnesota Historical Society 690 Cedar Street St. Paul, MN 55101 Phone: (612) 296-2747 FAX: (612) 296-1004 Mississippi State Historic Preservation Officer Mississippi Department of Archives & History P.O. Box 571 Jackson, MS 39205-0571 Phone: (601) 359-6850 FAX: (601) 359-6905 Missoun State Historic Preservation Officer State Department of Natural Resources 205 Jefferson P.O. Box 176 Jefferson City, MO 65102 Phone: (314) 751-4422 FAX: (314) 751-8656 Contacts Montana State Historic Preservation Officer Historic Preservation Office Montana Historical Society 225 North Roberts Helena, MT 59620--9990 Phone: (406) 444-7715 FAX: (406)444-2696 Nebraska State Historic Preservation Officer Nebraska State Historical Society P.O. Box 82554 Lincoln, NE 68501 Phone: (402) 471-4787 Nevada State Historic Preservation Officer Division of Historic Preservation & Archeology 123 West Nye Lane, Room 208 Carson City, NV 89710 Phone: (702) 687-5138 New Hampshire State Historic Preservation Officer Division of Historical Resources P.O. Box 2043 Concord, NH 03301 Phone: (603) 271-3483 New Jersey State Historic Preservation Officer Department of Environmental Protection CN-402, 401 East State Street Trenton, NJ 08625 Phone: (609) 292-2885 FAX: (609) 292-8115 New Mexico State Historic Preservation Officer Historic Preservation Division Office of Cultural Affairs Villa Rivera 228 East Palace A venue Santa Fe, NM 87503 Phone: (505) 827-6320 FAX: (505)827-7308 103 New York State Historic Preservation Officer Parks, Recreation, & Historical Preservation Agency Building #1 Empire State Plaza Albany, NY 12238 Phone: (518) 474-0443 FAX: (518) 474-4492 North Carolina State Historic Preservation Officer Division of Archives & History Department of Cultural Resources 109 East Jones Street Raleigh, NC 27601-2807 Phone: (919) 733-7305 FAX: (919) 733-5679 North Dakota State Historic Preservation Officer State Historical Society of North Dakota Heritage Center 612 East Boulevard A venue Bismarck, ND 58505 Phone: (701) 224-2667 Northern Mariana Islands, Commonwealth of the Historic Preservation Officer Department of Community & Cultural Affairs Commonwealth of the Northern Mariana Islands Saipan, Mariana Islands 96950 Phone: (670) 322-9722/9556 FAX: (670) 322-4058/5096 Ohio State Historic Preservation Officer Historic Preservation Division Ohio Historical Society 1985 Velma Avenue Columbus, OH 43211 Phone: (614) 297-2470 FAX: (614) 297-2411 Oklahoma State Historic Preservation Officer Oklahoma Historical Society 2100 North Lincoln Boulevard Oklahoma City, OK 73105 Phone: (405) 521-2491 FAX: (405) 525-3272 104 Oregon State Historic Preservation Officer State Parks & Recreation Department 525 Trade Street, SE Salem, OR 97310 Phone: (503) 378-5019 FAX: (503)378-6447 Palau. Republic of Historic Preservation Officer Ministry of Community & Cultural Affairs P.O. Box 100 Koror, Republic of Palau 96940 Phone: (680) 488-2489 FAX: (680)488-1725/1662 Pennsylvania State Historic Preservation Officer Pennsylvania Historical & Museum Commission P.O. Box 1026 Harrisburg, PA 17108 Phone: (717) 787-2891 FAX: (717) 783-1073 Puerto Rico State Historic Preservation Officer Office of Historic Preservation P.O. Box 82, La Fortaleza San Juan, PR 00901 Phone: (809) 721-2676 FAX: (809)723-0957 Rhode Island State Historic Preservation Officer Rhode Island Historical Preservation Commission Old State House 150 Benefit Street Providence, RI 02903 Phone: (401) 277-2678 FAX: (401) 277-2968 South Carolina State Historic Preservation Officer Department of Archives & History P.O. Box 11669 Columbia, SC 29211 Phone: (803) 734-8592 FAX: (803) 734-8820 Contacts South Dakota State Historic Preservation Officer South Dakota State Historical Society 900 Governors Drive Pierre, SD 57501 Phone: (605) 773-3458 FAX: (605) 677-5364 Tennessee State Historic Preservation Officer Department of Conservation 701 Broad way Nashville, TN 37243-0442 Phone: (615) 742-6758 FAX: (615) 742-6594 Texas State Historic Preservation Officer Texas Historical Commission P.O. Box 12276, Capitol Station Austin, TX 78711 Phone: (512) 463-6100 FAX: (512)463-6095 Utah State Historic Preservation Officer Utah State Historical Society 300 Rio Grande Salt Lake City, UT 84101 Phone: (801) 533-5755 FAX: (801)364-6436 Vermont State Historic Preservation Officer Agency of Development and Community Affairs 109 State Street Montpelier, VT 05069-0501 Phone: (802) 828-3211 FAX: (802) 828-3233 Virgin Islands State Historic Preservation Officer Department of Planning and Natural Resources Nisky Center #231 No. 45 A Estate Nisky St. Thomas, USVI 00802 Phone: (809) 774-3320 Contacts Virginia State Historic Preservation Officer Deparbnent of Historic Resources 221 Governor Street Richmond, VA 23219 Phone: (804) 786-3143 FAX: (804) 225-4261 Washington State Historic Preservation Officer Office of Archeology & Historic Preservation 111 West21 st Avenue,KL-11 Olympia, WA 98504 Phone: (206) 753-4011 FAX: (206) 586-0250 West Virginia State Historic Preservation Officer Department of Culture and History Capitol Complex Charleston, WV 25305 Phone: (304) 348-0220 FAX: (304) 348-2779 Wisconsin State Historic Preservation Officer Historic Preservation Division State Historical Society of Wisconsin 816 State Street Madison,WI53706 Phone: (608) 264-6500 FAX: (608) 264-6404 Wyoming State Historic Preservation Officer Parks and Cultural Resources Division Department of Commerce 1825 Carey A venue Cheyenne, WY 82002 Phone: (307) m-7013 FAX: (307) 777-6005 105 LOCAL HISTORIC PRESERVATION COMMISSIONS For information on local historic preservation commis sions and agencies, and those States where State alli ances of historic preservation commissions have formed, contact: National Alliance of Historic Preservation Commissions Hall of the States 444 North Capitol Street, Suite 332 Washington, IX 20001 Phone: (202) 624-5465 FEDERAL AGENCY HISTORIC PRESERVATION OFFICERS Section 110(c) of the National Historic Preservation Act directs all Federal agencies to appoint agency prescrva- 106 tion officers. These officials are good contacts for information about particular agency programs in historic preservation, and about agency projects that may affect historic properties. For a current listing of agency preservation officers, contact the Advisory Council on Historic Preservation. NATIONAL TRUST FOR HISTORIC PRESERVATION The National Trust for Historic Preservation is a feder ally chartered nationwide membership organization that provides a wide variety of preservation services. For information contact: National Trust for Historic Preservation 1785 Massachusetts A venue, NW Washington, OC 20036 Phone: (202) 673-4000 Contacts Date: September 8, 2020 Agenda Item #: VIII.A. To:Heritage Preservation Commission Item Type: Other From:Emily Bodeker, Assistant City Planner Item Activity: Subject:Lonnquist CCD Survey Summary Discussion CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: None. INTRODUCTION: Commissioner Lonnquist sent staff the attached summary document to discuss at the meeting. ATTACHMENTS: Description CCD Survey Summary COUNTRY CLUB DISTRICT SURVEY SUMMARYCompiled August, 2020 by HPC member Jane LonnquistFrom 2008 Plan of Treatment: District Re-SurveyHeritage Preservation ResourcesAs Percent of Homes Built 1924-1944 with Facade Integrity*555 Total HomesSurvey Done By1980National Register Nomination51893%Lynne VanBrocklin Spaeth2003First Plan of Treatment2008Second Plan of Treatment50791%?2019Ten Year Resurvey48888%Robert Vogel*Current Interpretation; '21-'58 considered in pastNotes from 2019 Survey- existing heritage resource inventories do not distinguish between“contributing” and “non-contributing” properties**** Emily does have a list of 42 homes that are non-contributing based on date of construction. (25 homes non-contributing for other reasons.)District Re-SurveyThe City will arrange for a re-survey of the Edina Country Club District every ten years to document changes in the appearance and historic integrity of historic properties; to revise the list of heritage preservation resources and non-heritage preservation resources present within the district boundaries; and to revise the district plan of treatment as needed. The next re-survey will take place circa 2017.- A relatively small number of historic homes have been substantially altered from their as-built appearanceand no longer qualify for protection—the HPC should consider issuing a list of these Date: September 8, 2020 Agenda Item #: IX.A. To:Heritage Preservation Commission Item Type: Other From:Emily Bodeker, Assistant City Planner Item Activity: Subject:Preserve MN-State Preservation Conference Information CITY OF EDINA 4801 West 50th Street Edina, MN 55424 www.edinamn.gov ACTION REQUESTED: INTRODUCTION: State Historic Preservation Office (SHPO) August 24, 2020 2020 PreserveMN is almost here! T he Minnesota SHP O would like to invite you to the 2020 PreserveMN Webinar series! T he scaled down, on-line only conference will include a total of six educational sessions, with two per week, one on a Tuesday and one on a Thursday. T he dates for the sessions are 9/15, 9/17, 9/22, 9/24, 9/29, and 10/1. All sessions will be from 10:00-11:00 a.m. Each session will be recorded and available on our website for future viewing. Keep an eye on the Preserve Minnesota Annual Conference webpage for details and registration information. Don't forget, it is FREE to attend this year! Here is information on this year's sessions. September 15, 10:00 a.m. Protecting Historic Places in Perpetuity: An Overview of Preservation Easements. Raina Regan, National Trust for Historic Preservation and Ethan Boote, Rethos: Places Reimagined The easement is one of the strongest protections in your preservation toolkit. Easements can be used to protect a variety of property types and can be individually drafted to reasonably protect a historic resource. This session will include an overview of the legal aspects of preservation easements, including explaining the differences between the legal framework of preservation easements and local preservation laws. It will also give an overview of best practices in holding preservation easements for local organizations, along with how to make an easement from the inquiry stage to closing. Participants will learn how existing easements are stewarded by preservation organizations, including regular easement monitoring, enforcement, and reviewing alterations. A representative from Minnesota will help provide the statewide context on how easements have been used, but also how they might be useful for local organizations. This session will be useful for preservation practitioners looking to identify new ways to protect resources, but also local groups who may be considering accepting easements for the first time. September 17, 10:00 a.m. Collaborative Planning for Indian Mounds: An Indigenous Burial Ground. Brenda Williams, Quinn Evans; Bianca Paz, City of Saint Paul Parks & Recreation Department; and Cheyanne St. John, THPO, Lower Sioux Indian Community The land we now call Indian Mounds Regional Park, located atop the bluffs of the Mississippi River on the eastern side of downtown Saint Paul, is rich in geological and cultural history and is sacred to many Indigenous Communities. The City of Saint Paul Parks and Recreation staff has been working with representatives of Tribal Nations to build partnership around the protection, messaging and stewardship of the site. A Cultural Landscape study is an initial step to update the City's practice for the preservation, awareness and understanding of the significance of this place. T he site is listed in the National Register of Historic Places and is protected by the Field Archeology Act (MN Statutes 138.40) and Private Cemetery Act (MN Statutes 307.08). T he project is guided by collaboration with formal representatives of Dakota and other Indigenous communities and presented to the public, neighbors and current park users to build understanding and awareness of the significance of this place and find common ground for its proper use and care. It also presents an important opportunity to recognize and support current Indigenous connections to the landscape. This presentation will explain how the study documents the historic landscape, evaluates the significance and integrity of the site, and provides a compelling vision and plan for messaging, respect and care of the landscape. It will also describe how the collaborative approach will serve as a model for future protocol and engagement processes, both formal and informal, within and near sacred and culturally sensitive sites in Saint Paul. September 22, 10:00 a.m. Engaging in Place: Working with Community to Define and Map its Cultural Assets. Sarina Otaibi and Emily Kurash Casey, Rethos: Places Reimagined In 2016, Rethos began a pilot program to engage four Minneapolis neighborhoods to define and map their cultural assets. T his approach provided the data essential to the creation and implementation of sustainable development policies and proactive preservation. Communities across the country face rapid change and the prospect of physical and cultural displacement. This moment demands both novel strategies to address these challenges and space for communities to tell their stories in authentic ways that provide meaning behind policies. With a focus on the power of place, preservationists are uniquely equipped to lead this effort. In this session, attendees will learn how Rethos modified the approach to implement in rural Minnesota communities. Through our downtown assessment and cultural asset mapping work, we will share the community engagement methods, case studies and toolkit so that attendees may replicate a similar approach in their communities. September 24, 10:00 a.m. Untangling Preservation Planning: From Context Statements to Conditions Assessments.Ginny Way, National Register Architectural Historian, MN State Historic Preservation Office and Tamara Halvorsen Ludt, New History What is the difference between a historic context and a historic resource survey? Is a Historic Structure Report the same thing as a Conditions Assessment? And why do we need all of these reports anyway? Preservation planning documents can be powerful tools when deciding where to invest, construct, rehabilitate, advocate, or redevelop. Understanding the need for planning documents – and how to use them effectively can equip preservationists at all levels to make informed decisions about historic properties. This session provides a basic understanding of the primary preservation planning document types and their uses, including research designs, historic contexts, historic resource surveys, Historic Structure Reports, conditions assessments, and designation documents. You will learn how preservation professionals use these documents to help guide decision making and the benefits of proactive preparation. September 29, 10:00 a.m. Unseen Significance: Archaeology, Parks and the National Register of Historic Places. David Mather, Steven Blondo, Lindsey Reiners, Jasmine Koncur and Kelly Wolf Listing in the National Register of Historic Places provides a clear recognition of historical significance, but it is important to remember that the nominations do not necessarily tell the full story. This is a common problem for properties that were nominated in the early years of the National Register program, before current standards were developed. This session presents a classic example of unseen historical significance, where an older National Register nomination does not identify all contributing resources. Coney Island of the West was a historic resort on an island in Lake Waconia, in Carver County west of the Twin Cities. It was listed in the National Register of Historic Places in 1976, for the architectural significance of the hotel and other buildings. Unfortunately, the resort was no longer in use by then and over time the buildings fell into disrepair. The island had been privately owned but was recently acquired by Carver County for development and preservation as a park. Archaeological studies since then have identified archaeological remains of the historic resort even though the buildings were now gone, and also identified American Indian presence on the island dating back thousands of years. The National Register documentation is now being updated to recognize the broader period of significance, and areas of significance, with a shift from architecture to archaeology. National Register documentation is intended to be updated, and interdisciplinary review of old nominations is recommended to consider whether they provide adequate information for present-day management. October 1, 10:00 a.m. TBD. mn.gov/admin/shpo |651-201-3287 |MNSHPO@state.mn.us