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NATIONAL NCHRP REPORT 542 COOPERATIVE HIGHWAY RESEARCH PROGRAM Evaluating Cultural Resource Significance: Implementation Tools

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TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 2005 (Membership as of February 2005) OFFICERS Chair: Joseph H. Boardman, Commissioner, New York State DOT Vice Chair: Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology Executive Director: Robert E. Skinner, Jr., Transportation Research Board MEMBERS MICHAEL W. BEHRENS, Executive Director, Texas DOT LARRY L. BROWN, SR., Executive Director, Mississippi DOT DEBORAH H. BUTLER, Vice President, Customer Service, Norfolk Southern Corporation and Subsidiaries, Atlanta, GA ANNE P. CANBY, President, Surface Transportation Policy Project, Washington, DC JOHN L. CRAIG, Director, Nebraska Department of Roads DOUGLAS G. DUNCAN, President and CEO, FedEx Freight, Memphis, TN NICHOLAS J. GARBER, Professor of Civil Engineering, University of Virginia, Charlottesville ANGELA GITTENS, Consultant, Miami, FL GENEVIEVE GIULIANO, Director, Metrans Transportation Center, and Professor, School of Policy, Planning, and Development, USC, Los Angeles BERNARD S. GROSECLOSE, JR., President and CEO, South Carolina State Ports Authority SUSAN HANSON, Landry University Professor of Geography, Graduate School of Geography, Clark University JAMES R. HERTWIG, President, CSX Intermodal, Jacksonville, FL GLORIA J. JEFF, Director, Michigan DOT ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley HERBERT S. LEVINSON, Principal, Herbert S. Levinson Transportation Consultant, New Haven, CT SUE MCNEIL, Director and Professor, Urban Transportation Center, University of Illinois, Chicago MICHAEL MORRIS, Director of Transportation, North Central Texas Council of Governments CAROL A. MURRAY, Commissioner, New Hampshire DOT JOHN E. NJORD, Executive Director, Utah DOT PHILIP A. SHUCET, Commissioner, Virginia DOT MICHAEL S. TOWNES, President and CEO, Hampton Roads Transit, Hampton, VA C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin LINDA S. WATSON, Executive Director, LYNX--Central Florida Regional Transportation Authority MARION C. BLAKEY, Federal Aviation Administrator, U.S.DOT (ex officio) SAMUEL G. BONASSO, Acting Administrator, Research and Special Programs Administration, U.S.DOT (ex officio) REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA (ex officio) GEORGE BUGLIARELLO, Chancellor, Polytechnic University, and Foreign Secretary, National Academy of Engineering (ex officio) THOMAS H. COLLINS (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard (ex officio) JENNIFER L. DORN, Federal Transit Administrator, U.S.DOT (ex officio) JAMES J. EBERHARDT, Chief Scientist, Office of FreedomCAR and Vehicle Technologies, U.S. Department of Energy (ex officio) EDWARD R. HAMBERGER, President and CEO, Association of American Railroads (ex officio) JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials (ex officio) ROBERT D. JAMISON, Acting Administrator, Federal Railroad Administration, U.S.DOT (ex officio) EDWARD JOHNSON, Director, Applied Science Directorate, National Aeronautics and Space Administration (ex officio) RICK KOWALEWSKI, Deputy Director, Bureau of Transportation Statistics, U.S.DOT (ex officio) WILLIAM W. MILLAR, President, American Public Transportation Association (ex officio) MARY E. PETERS, Federal Highway Administrator, U.S.DOT (ex officio) SUZANNE RUDZINSKI, Director, Transportation and Regional Programs, U.S. Environmental Protection Agency (ex officio) JEFFREY W. RUNGE, National Highway Traffic Safety Administrator, U.S.DOT (ex officio) ANNETTE M. SANDBERG, Federal Motor Carrier Safety Administrator, U.S.DOT (ex officio) WILLIAM G. SCHUBERT, Maritime Administrator, U.S.DOT (ex officio) JEFFREY N. SHANE, Under Secretary for Policy, U.S.DOT (ex officio) CARL A. STROCK (Maj. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers (ex officio) NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Transportation Research Board Executive Committee Subcommittee for NCHRP JOSEPH H. BOARDMAN, New York State DOT (Chair) MARY E. PETERS, Federal Highway Administration JOHN C. HORSLEY, American Association of State Highway ROBERT E. SKINNER, JR., Transportation Research Board and Transportation Officials MICHAEL S. TOWNES, Hampton Roads Transit, Hampton, VA MICHAEL D. MEYER, Georgia Institute of Technology C. MICHAEL WALTON, University of Texas, Austin

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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 542 Evaluating Cultural Resource Significance: Implementation Tools MARK R. EDWARDS REBECCA L. PEER EMILY LINDNER URS Group, Inc. Gaithersburg, MD TERRY H. KLEIN SRI Foundation Rio Rancho, NM S UBJECT A REAS Energy and Environment Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2005 www.TRB.org

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NATIONAL COOPERATIVE HIGHWAY RESEARCH NCHRP REPORT 542 PROGRAM Systematic, well-designed research provides the most effective Project 8-40(2) approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local ISSN 0077-5614 interest and can best be studied by highway departments ISBN 0-309-08824-0 individually or in cooperation with their state universities and Library of Congress Control Number 2005922579 others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to 2005 Transportation Research Board highway authorities. These problems are best studied through a coordinated program of cooperative research. Price $19.00 In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States NOTICE Department of Transportation. The project that is the subject of this report was a part of the National Cooperative The Transportation Research Board of the National Academies Highway Research Program conducted by the Transportation Research Board with the was requested by the Association to administer the research approval of the Governing Board of the National Research Council. Such approval program because of the Board's recognized objectivity and reflects the Governing Board's judgment that the program concerned is of national understanding of modern research practices. The Board is uniquely importance and appropriate with respect to both the purposes and resources of the suited for this purpose as it maintains an extensive committee National Research Council. structure from which authorities on any highway transportation The members of the technical committee selected to monitor this project and to review subject may be drawn; it possesses avenues of communications and this report were chosen for recognized scholarly competence and with due cooperation with federal, state and local governmental agencies, consideration for the balance of disciplines appropriate to the project. The opinions and universities, and industry; its relationship to the National Research conclusions expressed or implied are those of the research agency that performed the Council is an insurance of objectivity; it maintains a full-time research, and, while they have been accepted as appropriate by the technical committee, research correlation staff of specialists in highway transportation they are not necessarily those of the Transportation Research Board, the National matters to bring the findings of research directly to those who are in Research Council, the American Association of State Highway and Transportation a position to use them. Officials, or the Federal Highway Administration, U.S. Department of Transportation. The program is developed on the basis of research needs Each report is reviewed and accepted for publication by the technical committee identified by chief administrators of the highway and transportation according to procedures established and monitored by the Transportation Research departments and by committees of AASHTO. Each year, specific Board Executive Committee and the Governing Board of the National Research areas of research needs to be included in the program are proposed Council. to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. Published reports of the The needs for highway research are many, and the National NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of are available from: mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or Transportation Research Board duplicate other highway research programs. Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: Note: The Transportation Research Board of the National Academies, the National Research Council, the Federal Highway Administration, the American Association of State Highway and Transportation Officials, and the individual http://www.national-academies.org/trb/bookstore states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of this report. Printed in the United States of America

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board's mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board's varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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COOPERATIVE RESEARCH PROGRAMS STAFF FOR NCHRP REPORT 542 ROBERT J. REILLY, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Manager, NCHRP CHARLES W. NIESSNER, Senior Program Officer EILEEN P. DELANEY, Director of Publications BETH HATCH, Assistant Editor CATHY FRYE, Contract Editor NCHRP PROJECT 8-40(2) PANEL Field of Transportation Planning--Area of Forecasting GAIL ANNE D'AVINO, Georgia DOT (Chair) ROBERT S. NEWBERY, Wisconsin DOT ROBERT L. BEARDSLEY, DES, Conservation Division, Fort Riley, KS FRANK N. BURKETT, FHWA, Columbus, OH MARGARET L. BUSS, California DOT BEVERLY CHIARULLI, Indiana University of Pennsylvania, Indiana, PA JILL DOWLING, Lee and Associates, Inc., Washington, DC RICHARD STARZAK, Jones & Stokes, LLC, Los Angeles, CA KATIANN WONG-MURILLO, FHWA Liaison Representative KIMBERLY FISHER, TRB Liaison Representative AUTHOR ACKNOWLEDGMENTS This research was performed under the National Cooperative Hobbs, GIS Technical Lead, Minnesota Department of Transporta- Highway Research Program (NCHRP) Project 8-40(2), FY 2000, tion; Mr. Eric Ingbar, Director of Research, Gnomon, Inc.; and by URS Group, Inc. (URS). Mr. Mark R. Edwards was the project Ms. Fennelle Miller, King County Department of Transportation-- manager/principal investigator and is the senior author of this Road Services, King County, Washington. Not only did the focus report. The other authors of this report are Rebecca Peer, Ph.D., and group members enthusiastically and ably explore proposed IT proto- Ms. Emily Lindner. Dr. Peer oversaw all information technology types at this meeting, they continued to be involved with the project (IT) components of this study, with the assistance of Ms. Lindner. long after this meeting concluded. Many focus group members helped Mr. Terry H. Klein of SRI Foundation was a contractor for this "spread the word" about these IT prototypes, which greatly assisted in study and is also an author of this report. the external prototype evaluation portion of the project. Focus group The URS project team would like to acknowledge and thank the members continued to provide input, on a volunteer basis, with the members of the IT focus group that evaluated the project's proposed URS project team to help refine ideas for this final report. The sup- IT solutions at a March 26, 2003, meeting in Washington, D.C. port and enthusiasm of this group of individuals went beyond our Focus group members included Mr. John Byrne, National Register expectations, was greatly appreciated by our project team, and cer- Database Manager, National Park Service; Dr. Charles Hall, State tainly will not be forgotten. Terrestrial Archaeologist, Maryland Historical Trust; Dr. Elizabeth

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This report presents the findings of a research project to develop information tech- FOREWORD nology (IT) tools that improve and streamline the National Register evaluation of cultural By Charles W. Niessner resources. The researchers developed two IT prototypes: a searchable database of historic Staff Officer contexts and a collection of National Register evaluation documents. The second proto- Transportation Research type provides an explicit, but flexible tool for improving National Register eligibility Board determinations. This report will be of particular interest to cultural resource management professionals. Since the mid 1990s, transportation and historic preservation professionals have been calling for an improvement in how National Register eligibility determinations of struc- tures, landscapes, buildings, archaeological sites, traditional cultural properties, and other cultural resources are made. Typically, eligibility evaluations are performed on a piece- meal, project-by-project basis, rarely taking into account previous studies or past decisions on resource significance. Further, cultural resource information collected by state and fed- eral agencies over the last 20 to 30 years is generally not used to evaluate National Regis- ter eligibility. Access to this information is often difficult, and there is limited awareness of the availability of the information. Under NCHRP Project 8-40, "Evaluating Cultural Resource Significance Using Infor- mation Technology," URS Group, Inc. (URS), undertook research to (1) identify current methods used nationwide to manage and organize cultural resource inventory data and his- toric contexts, (2) determine if IT applications have been useful in developing resource inventories and historic contexts, and (3) provide recommendations regarding IT applica- tions to improve the development and use of resource inventories and historic contexts as tools for determining resource significance. This research demonstrated that historic con- texts and cultural resource inventories are generally not used in making decisions on National Register eligibility, though consistent application of National Register criteria requires the use of historic contexts and existing resource data. NCHRP Project 8-40 also found that historic preservation and transportation professionals were very interested in IT applications that improved access to existing historic contexts (and inventories) and facil- itated their use in everyday decision making. NCHRP Project 8-40(2), "Evaluating Cul- tural Resource Significance--Implementation Tools," developed two prototype tools that will facilitate both the use of and access to historic contexts and other National Register evaluation documentation, in addition to resource inventories. The researchers developed two prototypes: the Historic Property Screening Tool (HPST) and the Electronic Cultural Resource Evaluation Library (ECREL). The HPST provides a database for the management and use of historic contexts and cultural resource inventory information. This tool also records National Register eligibility decisions for future use. The HPST guides the user through the decision-making process that is typically used when applying National Register criteria. ECREL is designed to improve accessibil- ity to National Register evaluation documents, including historic contexts.

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CONTENTS 1 SUMMARY 5 CHAPTER 1 Introduction and Background Phase 1, 5 Phase 2, 6 Tool 1: A Historic Context Development Tool, 6 Tools 25: A Historic Significance Attribute Table, an MS Access Database, a Common Electronic Format for Contexts, and ESRI's Geography Network, 7 Report Organization, 7 8 CHAPTER 2 Selection of Information Technology Tools for Development Introduction, 8 Second SHPO and State DOT Survey, 8 IT Focus Group Meeting, 9 A Historic Significance Attribute Table, 9 An MS Access Database, 10 A Common Electronic Format, 10 The Geography Network, 11 Review of Recommended Tools by NCHRP Panel, 12 14 CHAPTER 3 Design and Testing of Prototypes Introduction, 14 Overview of Design and Testing Process, 14 Design, 14 Develop, 14 Verify, 14 Validate, 14 ECREL, 15 Design, 15 Develop, 16 Verify and Validate, 16 HPST, 17 Design, 17 Develop, 17 Verify and Validate, 17 Evaluation Results, 18 Evaluation Forms, 18 Poster Presentation at the 2004 TRB Annual Meeting, 18 Demonstration/Review of the HPST and ECREL at 2004 Santa Fe Historic Preservation and Transportation Conference, 18 20 CHAPTER 4 Implementation Plan and Conclusions Implementation Plan, 20 Impediments to Use of Tools, 20 Implementing ECREL and the HPST, 21 Conclusions, 22 C.4-1 APPENDIX C.4 ECREL User's Guide D.4-1 APPENDIX D.4 HPST User's Guide U-1 UNPUBLISHED APPENDIXES