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SW Arterial Memo Cultural Res M DU~~E ~<k~ MEMORANDUM ---I October 27,2004 TO: The Honorable Mayor and City Council Members l,i FROM: Michael C. Van Milligen, City Manager SUBJECT: Iowa Highway 32 (Southwest Arterial) Cultural Resources Memorandum of Agreement Acting Public Works Director/City Engineer Gus Psihoyos recommends City Council approval of the Cultural Resources Memorandum of Agreement for the Improvement of Iowa Highway 32 (Southwest Arterial). I concur with the recommendation and respectfully request Mayor and City Council approval. lYLJJ ~ JL- Michael C. Van Milligen MCVM/jh Attachment cc: Barry Lindahl, Corporation Counsel Cindy Steinhauser, Assistant City Manager Gus Psihoyos, Acting Public Works Director/City Engineer -J D~ ~<k~ MEMORANDUM October 26, 2004 FROM: Michael C. Van Milligen, City Manager Gus Psihoyos, Acting Public Works Director .yp TO: SUBJECT: Iowa Highway 32 (Southwest Arterial) Cultural Resources Memorandum of Agreement INTRODUCTION The enclosed resolution authorizes the Mayor to execute the Cultural Resources Memorandum of Agreement for the Improvement of Iowa Highway 32 (hereinafter referred to as the Southwest Arterial Project). BACKGROUND The City of Dubuque (City) in partnership with Dubuque County (County), the Iowa Department of Transportation (Iowa DOT) and the Federal Highway Administration (FHWA), (hereinafter referred to as the Consulting Parties) are developing a proposed new arterial roadway on the southwest side of the City. The proposed Southwest Arterial freeway will be located between U.S. 61/151 and U.S. 20. In May 2002, the Iowa DOT executed an agreement with the City and the County for completion of the Addendum to the 1999 Environmental Assessment (EA) to study alternative routes for the Southwest Arterial. The City agreed to take over control of the study and manage the remaining work necessary to complete the EA. To comply with the National Environmental Policy Act of 1969 (NEPA) and Section 106 of the National Historic Preservation Act of 1966 as amended 1992 (NHPA), cultural resource surveys were required in order to comply with Section 106. Both Phase I and Phase II archaeological investigations and historic standing structure inventories (architectural) revealed archaeological sites, historic standing structures (some associated with lead mining and the early settlement of the area by immigrants from Yorkshire, England) and a National Register of Historic Places -eligible historic district in the Catfish Creek watershed. This Cultural Resources Mitigation Plan addresses the properties that will be affected by the construction of both stages of the Project and were determined to be eligible or potentially eligible for listing in the National Register of Historic Places (NRHP). In November 2003, several of the required EA documents were completed in "final" draft form and submitted to the FHWA and the multiple regulatory agencies for review. Since that time, the EA documents have went through several revisions to accommodate comments received and to facilitate a consensus approval from all the various regulatory agencies. A Memorandum of Agreement (MOA) regarding the cultural resources affected by the Project has been prepared for concurrence by the Consulting Parties. This Mitigation Plan accompanies the MOA as supplemental information about the cultural resources and the proposed mitigation activities. In accordance with recommendations by Iowa DOT, this Mitigation Plan includes general research questions and suggestions for data recovery fieldwork. Additional research questions and specific data recovery plans are to be developed by the archeological consultant ultimately selected to conduct the fieldwork. DISCUSSION A major component to completing the Environmental Assessment process is the consensus approval (by the Consulting Parties) of the MOA. By completing the MOA, this will lead to the issuance of Environmental Concurrence and the Finding of No Significant Impact for the Southwest Arterial Project. Staff anticipates that the issuance of Environmental Concurrence and the Finding of No Significant Impact will be received in January 2005. Upon approval and execution of the MOA, the Consulting Parties hereby agree and have determined that the Southwest Arterial Project may have an adverse affect on historic properties, and have consulted with the Iowa State Historic Preservation Office (Iowa SHPO) in accordance with Section 106 of the National Historic Preservation Act and hereby agree to address all aspects of mitigating any adverse effects of the Project as outlined in the Southwest Arterial Cultural Resources Mitigation Plan prior to and in coordination with construction activities. MITIGATION FUNDING In accordance with the May 6, 2002 City, County, and Iowa DOT Agreement, the Southwest Arterial Cultural Resources Mitigation Plan detailed in this MOA will be administered by the City and funded by a combination of City, County, and Dubuque Metropolitan Area Transportation Study (DMATS) STP funds. ACTION TO BE TAKEN The City Council is requested to adopt the enclosed resolution and authorize the Mayor to execute the Cultural Resources Memorandum of Agreement for the Iowa Highway 32 project (Southwest Arterial). Prepared by Robert D. Schiesl, Civil Engineer cc: Roger R. Walton, P.E., Local Systems Engineer, Iowa DOT Bill Baum, Economic Development Director Laura Carstens, Planning Services Director Kelley Deutmeyer, ECIA Dubuque County Engineer RESOLUTION NO. 401-04 RESOLUTION APPROVING THE CONSULTANT AGREEMENT AMONG THE FEDERAL HIGHWAY ADMINISTRATION (FHWA), IOWA DEPARTMENT OF TRANSPORTATION (IOWA DOT), THE COUNTY OF DUBUQUE (COUNTY), AND THE CITY OF DUBUQUE (CITY) FOR THE CULTURAL RESOURCES MEMORANDUM OF AGREEMENT FOR THE IMPROVEMENT OF THE HIGHWAY 32 CORRIDOR (SOUTHWEST ARTERIAL) Whereas, the Federal Highway Administration (FHWA), the Iowa Department of Transportation (Iowa DOT), the County of Dubuque (County), and the City of Dubuque (City) have developed a Memorandum of Agreement to address all aspects of mitigating any adverse effects resulting from Improvements of the Highway 32 Project (Southwest Arterial) as it relates to historic properties within this Corridor; and Whereas, the City of Dubuque (City) will be the lead public agency responsible for administering the Southwest Arterial Cultural Resources Mitigation Plan (Mitigation Plan); and Whereas, the Mitigation Plan will be fully funded by a combination of City, County, and Dubuque Metropolitan Area Transportation Study (DMATS) STP funds. NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF DUBUQUE, IOWA: Section 1. That said Memorandum of Agreement agrees to address all aspects of mitigating any adverse effects to historic properties (Southwest Arterial Cultural Resources Mitigation Plan) as a result of the Iowa Highway 32 Project (Southwest Arterial) among the Federal Highway Administration (FHWA), the Iowa Department of Transportation (Iowa DOT), the County of Dubuque (County), and the City of Dubuque (City) be approved. Section 2. That the Mayor be authorized and directed to execute six copies of said Memorandum of Agreement for the Southwest Arterial Cultural Resources Mitigation Plan (Mitigation Plan) among the Federal Highway Administration (FHWA), the Iowa Department of Transportation (Iowa DOT), the County of Dubuque (County), and the City of Dubuque (City). Passed, adopted and approved this 1st day of November, 2004. Terrance M. Duggan, Mayor Attest: Jeanne F. Schneider, City Clerk ON! CO~IPA:--:\' _\l",,-y Solutio,,",; Octobe( 8, 2004 Mr. Bob Schiesl, P.E. City of Dubuque - Engineering City Hall, 50 West 13" Street Dubuque, Iowa 52001 RE: Project No. STP-U-21oo(627)--70-31 Improvement of Iowa Highway 32 (Southwest Merial) Submittal of Cultural Resources Memorandum of Agreement for Signature Dear Mr. Schiesl: HDR is pleased to submit six (6) copies of the Cultural Resources Memorandum of Agreement (MOA) for the Improvement of Iowa Highway 32 (Southwest Arterial) Project in Dubuque County, Iowa. As we discussed at the DMATS meeting last month, your comments as well as those of the other signatories have been addressed in the enclosed MOA. Please have all six of the enclosed copies of the MOA signed by the City and County. After signature, please send all six copies of the MOA to Mr. Steve Larson at the Iowa Department of Transportation - Office of Location and Environment, 800 Lincoln Way, Ames Iowa 50010, for signature. Iowa DOT will submit the signed copies of the MOA to FHWA and Iowa SHPO for signature. After all of the signatories have signed all six copies of the MOA, one original copy will be mailed to each signatory for their files. Thank for your timely response. Please contact me if you have any questions or concerns at (402) 399-1074. Sincerely, HDR ENGINEERING, INC. V.;þ..:.IJ~ William H. Sharp, P.E. Project Manager cc: Dubuque County Engineer Mr. StOve Larson - Iowa DOT, Office of Location and Environment Mr. Andy Wilson - FHW A Mr. Doug Jones - SHPO MEMORANDUM OF AGREEMENT Between Federal Highway Administration and Iowa State Historic Preservation Officer Southwest Arterial Project IA SHPO REVIEW AND COMPLIANCE #980831053 Dubuque County, Iowa WHEREAS, the Federal Highway Administration (FHW A), the City of Dubuque, Iowa (the City), Dubuque County (the County) and the Iowa Department of Transportation (Iowa DOT) (the Consulting Parties) have determined that the Southwest Arterial Project in the County (the Project) may have an adverse affect on historic properties (listed below), and have consulted with the Iowa State Historic Preservation Office (Iowa SHPO) in accordance with Section 106 of the National Historic Preservation Act, 16 US.C. 470, and its implementing regulations (36 CFR 800); and WHEREAS, in accordance with 36 CFR 800, FHW A acknowledges and accepts the advice and conditions outlined in the Advisory Council on Historic Preservation's (ACHP) Recommended Approach for Consultation on the Recovery of Significant Information from Archaeological Sites, published in the Federal Register on January 11, 2001; and WHEREAS, the Consulting Parties agree that construction of the Project would result in adverse effects on the following historic properties in the County that are considered eligible for listing on the National Register of Historic Places (NRHP): Proiect (Alternative E 31-03090/13DB575 31-03692 13DB626 13DB627 13DB674 13DB707 Design Variation 1) and, Southwest Arterial Project Dubuque County, Iowa Memorandum of Agreement WHEREAS, the Catfish Creek Mining District (District) is eligible for listing on the NRHP and because there are construction impacts to a historic property (Site 31-03692) that contributes to the District, there will be an adverse effect on the District; and WHEREAS. Site 13DB741 also contributes to the District, and based on discussions between the FHW A and the Iowa SHPO, there will be No Adverse Effect to the property should certain conditions be met as noted in the Southwest Arterial Cultural Resources Mitigation Plan (Appendix A); and WHEREAS. the Consulting Parties agree that it is in the public interest to expend funds to implement the Project through the recovery of significant information from historic properties to mitigate the adverse effects of the Project; and WHEREAS, pursuant to Section 1O6(2)(c)(3)(iv) of the National Historic Preservation Act, the American Religious Freedom Act (42 US.C 1996), and Section 3(c) of the Native American Graves Protection and Repatriation Act (25 US.C. 3001-13, hereinafter NAGPRA), the Consulting Parties have consulted with Native American Tribes that may attach religious or cultural importance to the affected properties and have invited them to concur in this Memorandum of Agreement (MOA); and WHEREAS, to the best of the Consulting Parties' knowledge and belief, no human remains, associated or unassociated funerary objects or sacred objects, or objects of cultural patrimony as defined in NAGPRA (25 V.S.C. 3001) are expected to be encountered during the archaeological investigations; and WHEREAS, the City, the County and Iowa DOT have participated in the consultation with FHW A and Iowa SHPO, and have been invited to concur in this MOA; and WHEREAS, in accordance with the May 6, 2002 City, County, and Iowa DOT Agreement, the cultural resources mitigation detailed in this agreement will be administered by the City and funded by a combination of City, County, and Dubuque Metropolitan Area Transportation Study (DMATS) STP funds; and NOW, THEREFORE, FHW A, Iowa SHPO, the City, the County, and Iowa DOT agree that the undertaking shall be implemented in accordance with the following stipulations in order to take into account the effect of the Project on historic properties. 20f6 October 2004 Southwest Arlerial Project Dubuque County, Iowa Memorandum of Agreement STIPULATIONS FHW A shall ensure that the following measures are carried out: A. 6. Mitigation of Adverse Impacts 1. The City shall implement the Southwest Arterial Cultural Resources Mitigation Plan (Appendix A) to address all aspects of mitigating the adverse effects of the Project prior to and in coordination with construction activities. 2. The City shall ensure that all historic preservation work pursuant to this MOA is carried out by or under the direct supervision of an archaeologist meeting the Secretary of the Interior's Professional Qualification Standards for prehistoric archaeologists (48 FR 44738-9). 3. For those archaeological properties for which data recovery is the preferred mitigation measure, the archaeological contractor shall write a Data Recovery Plan (DRP) on a site-by-site basis, with specific research questions for each archaeological site. The DRP shall be reviewed and approved by Iowa SHPO prior to initiation of data recovery investigations. 4. In order to recover information from all historic standing properties to be impacted, a recordation plan shall be written by the architectural history contractor on a site-by-site basis with specific research questions for each historic standing structure site. The recordation plan shall be reviewed and approved by Iowa SHPO prior to its implementation. 5. Iowa SHPO shall be provided with the opportunity to make one or more site visits to review the data recovery fieldwork and recordation survey fieldwork for thoroughness and compliance with the DRP and recordation survey, so that the letting and construction of the Project may be allowed to proceed while the analysis and report writing continues. The Iowa Code protects all human burials in the State of Iowa. Ancient remains are also protected under Chapter 263B of the Iowa Code and the provisions of the NAGPRA (25 D.S.C. 3001-3005). (a) In the event that human remains or burials are encountered during additional archaeological investigations or construction activities, the City shall cease work in the area, take appropriate steps to secure the site, and notify officials at the Iowa DOT Office of Location and Environment who will then notify officials at the Burials Program at the Office of the State Archaeologist (OS A) and the Iowa Department of Public Health (Iowa DPH). 30f6 October 2004 Southwest Arterial Project Dubuque County, Iowa Memorandum of Agreement 7. (b) If the remains appear to be ancient (that is, older than 150 years), the Burials Program at OSA shall have jurisdiction to ensure that Iowa law, NAGPRA, and the implementing regulations (43 CFR 10) are observed. In keeping with the policy and procedures of the Burials Program, the deposition of the remains shall be arranged in consultation with the culturally affiliated tribe(s) or, if the affiliation is not known, with the Indian Advisory Committee. (c) If the remains appear to be less than 150 years old, the burial may be legally protected under Iowa Code Chapter 566 and Iowa DPH shall be notified. All final archaeological reports resulting from actions pursuant to this MOA will be responsive to contemporary professional standards and to the Department of Interior's Format Standards for Final Reports of Data Recovery Programs (42 FR 5377-79), and Secretary of the Interior's Standards for Architectural and Engineering Documentation. Precise location data may be provided in a separate appendix if it appears that release of such data could jeopardize archaeological deposits. The completed documentation shall be filed with the Iowa SHPO and with OSA. All materials and records resulting from testing and data recovery conducted at archaeological sites will be curated in accordance with 36 CFR 79 at an approved facility within the State of Iowa. 9. The final written reports will be distributed as specified in the Cultural Resources Mitigation Plan (Appendix A). 10. If construction work uncovers archaeological materials that had been previously undetected within the area of potential effect (APE): Construction activities involving subsurface disturbances in the area of the resource shall cease and Iowa SHPO/Iowa DOT will be notified of the discovery. Iowa SHPO, or the archaeological contractor retained by the City and meeting the Secretary of the Interior's Professional Qualification Standards for archaeologists, shall immediately inspect the work site and determine the extent of the affected archaeological resource. Construction work may then continue in the area outside the archaeological resource as it is defined by the City archaeological contractor in consultation with Iowa SHPO. Within 14 days of the original notification of discovery, the City, through Iowa DOT, in consultation with Iowa SHPO, shall determine the National Register of Historic Places (NRHP) eligibility of the resource. The City, 8. (a) (b) (c) 4 of6 October 2004 Southwest Arterial Project Dubuque County, Iowa Memorandum 0/ Agreement B. 4. through Iowa DOT, may extend this 14-day calendar period one time by an additional 7 days by providing written notice to Iowa SHPO prior to the expiration date of said 14-day calendar period. (d) If the resource is determined eligible for listing on the NRHP, the City, in coordination with Iowa DOT, shall submit a plan for its avoidance, protection, recovery of information, or destruction without data recovery to Iowa SHPO for review and comment. The Iowa DOT shall notify the Consulting Parties of the unanticipated discovery and provide the proposed treatment plan for their consideration. Upon receipt of the information, Iowa SHPO and consulting parties shall have 7 days to provide comments on the proposed treatment plan to the City, Iowa DOT and FHW A. (e) Work in the affected area shall resume upon either: (i) the development and implementation of an appropriate data recovery plan or other recommended mitigation procedures, or (ii) an agreement by Iowa SHPO that the newly located archaeological materials are not eligible for listing on the NRHP. Administrative 1. Modification, amendment, or termination of this MOA as necessary shail be accomplished through consultation and written agreement of all the signatories. 2. Disputes regarding the completion of the terms of this MOA shail be resolved by the signatories. If the signatories cannot agree, anyone of the signatories may request the participation of ACHP to assist in resolving the dispute in accordance with 36 CFR 800.7. 3. If the stipulations of this Memorandum of Agreement have not been implemented within five years from the date of its execution, the consulting parties shail review its provisions to determine whether revisions are needed. If revisions are needed, the signatories will consult in accordance with 36 CFR Part 800 to make such revisions. This MOA shall be nuil and void if its terms are not carried out within seven years from the date of its execution, unless the signatories agree in writing to an extension for carrying out its terms. 50/6 October 2004 Southwest Arterial Project Dubuque County, Iowa Memorandum of Agreement Execution of this MOA by the City, the County. Iowa DOT, FHW A and Iowa SHPO is evidence that FHW A and the City, the County and Iowa DOT have taken into account the effects of the Project on historic properties. FEDERAL HIGHWAY ADMINISTRA nON By: Iowa Division Administrator Date lOW A STATE HISTORIC PRESERVATION OFFICE By: Name and Title of Signer: Date IOWA DEPARTMENT OF TRANSPORT AnON By: Name and Title of Signer: Date CITY OF DUBUQUE By: Name and Title of Signer: Date DUBUQUE COUNTY By: Name and Title of Signer: Date 60f6 October 2004 Appendix A Cultural Resources Mitigation Plan Southwest Arterial in Dubuque County, Iowa CULTURAL RESOURCES MITIGATION PLAN U.S. DEPARTMENT OF TRANSPORTATION Federal Highway Administration CITY OF DUBUQUE, IOWA and DUBUQUE COUNTY, IOWA Iowa State Historic Preservation Officer Review and Compliance No. 9808-31-053 Table of Contents CONTENTS List of Tables......................................................................................................... ii GLOSSARY ..............................................................................................................111 CHAPTER 1 INTRODUCTION...................................................................................1 A. Project Background .............................................................,...........................1 B. Project Description..................................,.......................................,................2 C. Impacts ..........................................................................,.................................2 CHAPTER 2 BACKGROUND....................................................................................4 A. Environment..............................................,.............,........................................4 B. Cultural Sequence ...........................................................,...............................4 C. Previous Investigations .......................................................,............................5 D. Locations of Historic and Archaeological Resources .......................................6 1. Upland Resources......................................................................................7 Prehistoric Upland Resources..............................................................................7 Historic Upland Resources ..................................................................................7 2. Floodplain Resources.................................................................................8 Prehistoric Floodplain Resources ........................................................................8 Historic Floodplain Resources .............................................................................8 3. Historic Districts..........................................................................................8 CHAPTER 3 MITIGATION MEASURES....................................................................9 A. Types Of Mitigation..........................................................................................9 1. Avoidance..................................................,................................................9 2. Compensation through Data Recovery ......................................................9 3. Public Awareness and Education .............................................................10 B. Discovery of Human Remains or Burials .......................................................10 C. Unanticipated Site Discovery .........................................................................11 D. Curation .........................................................................................................11 E. Cultural Awareness Training.......................................................................... 12 CHAPTER 4 SITE DESCRIPTIONS ........................................................................13 A. Prehistoric Upland Resources .......................................................................13 1. 13DB627 - Prehistoric Scatter ..................................................................13 2. 13DB706 - Lithic Reduction......................................................................14 B. Historic Upland Resources ............................................................................14 1. 31-03090/13DB575 - Farmstead District..................................................14 2. 31-03692 - Farm Lane..............................................................................15 3. 13DB741 - Wall and Prospecting Pits ......................................................16 C. Prehistoric Floodplain Resources ..................................................................17 1. 13DB626-Campsite................................................................................17 2. 13DB627 - Prehistoric Scatter ..................................................................18 3. 13DB674 - Lithic Reduction...................................................................... 18 4. 13DB707 - Habitation ...............................................................................18 5. 13DB709-Campsite................................................................................19 Cultural Resources Mitigation Plan 10/8/2004 Table of Contents D. Historic Floodplain Resources ."".".".".."."."."."....."".".".........."""."""".20 E. Catfish Creek Mining District..."".."...."..""..."".".".....".""."."."...."""""".20 CHAPTER 5 REFERENCES....................................................................................22 LIST OF TABLES Table 1-1 Cultural Resources Impacted by the Project "........."."""""........."...."..."..". 3 Table 2-1 Previous Cultural Resource Investigations ..".."".".............".".."."..".".."..". 6 Cultural Resources Mitigation Plan ii 10/8/2004 Table of Contents GLOSSARY Most of the following definitions are taken from 36 CFR 800, Protection of Historic Resources, and 40 CFR 1508, Implementing the National Environmental Policy Act. Area of potential effects (APE): The geographic area or areas within which an undertaking may directly or indirectly cause alterations in the character or use of historic properties, if any such properties exist. The APE is influenced by the scale and nature of an undertaking and may be different for different kinds of effects caused by the undertaking. Consultation: The process of seeking, discussing, and considering the views of other participants, and, where feasible, seeking agreement with them regarding matters arising in the Section 106 process.' The Secretary of the Interior's Standards and Guidelines for Federal Agency Preservation Programs Pursuant to the National Historic Preservation Act provide further guidance on consultation. Cultural Resources: The traces of all of the past activities and accomplishments of people. Cultural resources include tangible traces such as districts, resources, buildings, structures, and objects; less tangible traces such as dance forms, aspects of folklife, cultural or religious practices; historical documents; and some landscapes, vistas, cemeteries, and lifeways. These same resources may also be resources that have little or no historical significance; resources listed on or determined eligible for listing on the National Register of Historic Places (NRHP) or an equivalent register maintained at the state or local level; unevaluated resources that may be eligible for listing on the NRHP or an equivalent; or archaeological resources, artifacts, buildings, structures, or other items of cultural importance, such as Native American grave resources, that might be affected by a project. Cultural Resources Management (CRM): The management, protection, preservation, and interpretation of cultural resources. Curation: The long-term management and preservation of collections according to professional museum and archival practices (see 36 CFR 79, Curation of Federally Owned and Administered Archaeological Collections). Data Recovery. An extensive and exhaustive study of a property, usually as part of a mitigation effort. For archaeological resources, data recovery includes large-scale excavation and analysis. For architectural resources, data recovery also includes complete documentation, such as a narrative history, photographs, measured drawings, and engineering reports. Effect Alteration to the characteristics of a historic property qualifying it for listing in or eligibility for listing in the NRHP. Historic site or properly. Any prehistoric or historic district, site, property, building, structure, or object listed in, or eligible for listing in, the NRHP maintained by the Secretary of the Interior. This term includes artifacts, records, and remains that are related to and located within such properties. The term includes properties of traditional religious and cultural Section 106 of the National Historic Preservation Act of 1966 (16 use 470) and its implementing regulations (36 CFR 800). Cultural Resources Mitigation Plan iii 10/8/2004 Table of Contents importance to an Native American tribe or Native Hawaiian organization and that meet the NRHP criteria. Impact A set of effects that changes the qualities of a cultural resource characteristic. Native American tribe: An Native American tribe, band, nation, or other organized group or community, including a native village, regional corporation, or village corporation, as those terms are defined in Section 3 of the Alaska Native Claims Settlement Act (43 use 1602), which is recognized as eligible for the special programs and services provided by the United States to Native Americans because of their status as Native Americans. Mitigation: Includes (a) avoiding the impact altogether by not taking an action; (b) minimizing impacts by limiting the degree or magnitude of the action; (c) rectifying the impact by repairing, rehabilitating, or restoring the affected environment; (d) reducing or eliminating the impact over time by preservation and maintenance operations; or (e) compensating for the impact by replacing or providing substitute resources or environments. National Historic Landmark A historic property that the Secretary of the Interior has designated a National Historic Landmark (36 CFR 65). NRHP criteria: The criteria established by the Secretary of the Interior for use in evaluating the eligibility of properties for listing on the National Register of Historic Places (36 CFR 60). Cultural Resources Mitigation Plan iv 10/8/2004 Introduction CHAPTER 1 INTRODUCTION A. PROJECT BACKGROUND The City of Dubuque, Iowa (the City), Dubuque County, Iowa (the Coun~), and the Federal Highway Administration have proposed to establish a new arterial road on the southwest side of the City. The proposed freeway will be located between U.S. 61/151 and U.S. 20 and designated as the Southwest Arterial. For purposes of complying with the National Environmental Policy Act of 1969 (NEPA) and Section 106 of the National Historic Preservation Act of 1966 as amended 1992 (NHPA), the lead agency for this proposed action is the Federal Highway Administration (FHWA), In May 2002, after placing the Project on hold because of funding constraints, the Iowa Department of Transportation (laDOT) executed an agreement with the City and the County for completion of the Addendum to the 1999 Environmental Assessment (the Addendum) to study alternative routes for the Southwest Arterial. The City agreed to take over control of the study and manage the remaining work necessary to complete the Addendum, as determined by the City and County in cooperation with Iowa DOT (Agreement between the City, the County, and Iowa DOT, 2002). Cultural resource surveys were required in order to comply with Section 106. Phase I and Phase II archaeological3 investigations and historic standing structure inventories (architectural)" revealed aboriginal and Euro-American archaeological sites, historic standing structures (some associated with lead mining and the early settlement of the area by immigrants from Yorkshire, England) and an NRHP-eligible historic district in the Catfish Creek watershed. This Cultural Resources Mitigation Plan addresses the properties that will be affected by the construction of both stages of the Project and were determined to be eligible or potentially eligible for listing in the National Register of Historic Places (NRHP). A Memorandum of Agreement (MOA) regarding the cultural resources affected by the Project has been prepared for all interested parties. This Mitigation Plan accompanies the MOA as supplemental information about the cultural resources and the proposed mitigation activities. In accordance with recommendations by Iowa DOT, this Mitigation Plan includes general research questions and suggestions for data recovery fieldwork. Additional research questions and specific data recovery plans are to be developed by the consultant ultimately selected to conduct the fieldwork. The primary road system consists of the interstate and numbered Iowa and U.S. routes. Phase I archaeological investigation consists of identifying sites through archival research, local area interviews, a systematic pedestrian survey of the ground surface, subsurface shovel testing and probing, and the gathering of geomorphological information about buried prehistoric sites potentially affected by a proposed project. Phase II consists of a targeted subsurface investigation of the archaeological sites identified during the Phase I investigation to determine their eligibility for listing in the NRHP. Phase I historic standing structure investigation consists of identifying historic architectural properties through archival research, local area interviews, and photographic and cartographic analysis. Phase II consists of an evaluation of the historic standing structures identified during the Phase I investigation to determine their eligibility for listing in the NRHP. Cultural Resources Mitigation Plan 10/8/2004 Introduction B. PROJECT DESCRIPTION The Project, as currently proposed, will create a direct connection between U.S. 61/151 and U.S. 20 on the southwest side of the City. The Project ultimately will consist of an approximately 6-mile-long, four-lane, divided, limited-access, hard-surface highway with a posted speed limit of 55 mph. Between U.S. 61/151 and U.S. 20, access would be by means of interchanges. An interchange proposed for North Cascade Road would also provide access to English Mill Road. Because of constraints on the availability of Project funding, the Project would be constructed in phases, consisting of the interim two-lane highway with at-grade intersections that can be upgraded at a later date to a four-lane highway and eventually the ultimate four-lane freeway with interchanges. However, all cultural resources mitigation efforts for the entire project will be accomplished in advance of the first construction phase. From the south, the Project would either intersect or cross the following roads and creeks: Olde Davenport Road, Granger Creek, U.S. 61/151, Military Road, Catfish Creek, North Cascade Road, English Mill Road, South Fork Catfish Creek, U.S. 20, and Seippel Road. Two alternatives are under consideration: Alternative E and Alternative E - Design Variation 1 (the E Alternatives). The Dubuque Metropolitan Area Transportation Study Policy Committee (DMATS) has identified Alternative E - Design Variation 1 as its favored alternative. The Project will connect at U.S. 61/151 approximately one-quarter mile south of Olde Davenport Road and at U.S. 20 near the intersection with Seippel Road. The E Alternatives are shown in Figure 1. C. IMPACTS Table 1-1 lists the individual historic and archaeological resources identified in the project APE that may be adversely affected, as well as their NRHP eligibility and the types of impacts expected. Alternative E is expected to impact seven resources, and Alternative E - Design Variation 1 is expected to impact six resources. Two properties (31-03692 and 13DB741) shown on Table 1-1 contribute to the NRHP- eligible Catfish Creek Mining District (District). Site 31-03692 will be physically impacted by the proposed project, thus presenting an adverse effect on the District. Based on discussions among the project participants, it was determined that there will be No Adverse Effect to contributing Site 13DB741 given conditions of roadway design, recreation path signage, and inclusion in a professionally prepared brochure describing the District and its historical qualities. Therefore adverse effects to the District, although not shown as an individual property in Table 1-1, are considered in this Mitigation Plan. Cultural Resources Mitigation Plan 2 10/8/2004 Introduction TABLE 1-1 CULTURAL RESOURCES IMPACTED BY THE PROJECT' Alternative Adversely Affectin< Resource Site No. Type NRHP NRHP Alternative Status Criteria' Alternative E- E Design Variation 1 31-030901 Historic: Farmstead District! Eligible A, C, DI Yes Yes 13DB5752 Archaeoloaical: Farmstead A,C,D Eligible as (Catfish Contributing Creek to the Mining 31-03692 Historic: Farm Lane Catfish District Yes Yes Creek eligible Mining under: A, District B, C, DJ 13DB626' Archaeoloaical: Campsite Eliaible D Yes Yes 13DB6272 Archaeological: Prehistoric Eligible D Yes Yes Scatter 13DB674 Archaeological: Lithic Eligible D Yes Yes Reduction 13DB706 Archaeological: Lithic Eligible D Yes No Reduction 13DB707 Archaeoloaical: Habitation Eliaible D No Yes 13DB709 Archaeolooical: Campsite Elioible D Yes No 13DB741 Archaeological: Wall and Eligible A,C,D No No' ProspectinG Pits Includes resources eligible for listing on the NRHP, potentially eligible for listing on the NRHP, and 2 contributing to a historic district. Resources identified in the 1999 Environmental Assessment. , NRHP Criteria: A = Site has an association with significant events. B = Site has an association with significant people. C = Site has distinctive design or construction (distinctive construction characteristics, work of a master, a distinguishable entity). . D = Site has data potential. During the coordination process with the SHPO, it was decided that the impacts to the wall for this alternative will be a No Adverse Effect with conditions. Cultural Resources Mitigation Plan 3 10/8/2004 Background CHAPTER 2 BACKGROUND A. ENVIRONMENT This section primarily focuses on the factors that shaped the physical location of the resources. Additional information on the prehistoric environment can be found in Iowa's Archaeological Past by LM. Alex (2000). A detailed discussion of the geomorphology of the area of potential effect (APE) can be found in the Phase I Report (HDR, 2002a). The APE is within the Paleozoic Plateau landform, which encompasses southwestern Wisconsin, northwestern Illinois, northeastern Iowa, and the southeastern tip of Minnesota. The rugged landscape of this plateau was formed by large glacial-melt rivers, such as the Mississippi, cutting through the bedrock, exposing limestone and shale cliffs, and creating steep valleys with high bluffs (Alex, 2000). Bedrock in the APE consists of Ordovician-age sedimentary rocks, including limestone, shale, dolomite, and sandstone. The Maquoketa shale occurs on divides in the vicinity of Granger Creek, and the Galena limestone is the dominant bedrock unit in the valleys of South Fork Catfish Creek and Catfish Creek. Caves and rock overhangs are known in the area and were used for shelter by previous inhabitants. Veins of galena (lead ore) occur throughout the area. This ore was mined and smelted for centuries by both Native Americans and Euro-Americans. Uplands within the APE are mantled by glacial till and/or loess. The till has been stripped off most slopes in the region and redeposited on the floodplains, low terraces, alluvial fans, and colluvial aprons. These deposits are generally 50 to 100 centimeters (20 to 40 inches) thick, but some deposits are more than 1 meter (39 inches) thick. Most of these deposits accumulated after the region was settled by Euro-Americans, and much of it is less than 50 years old. Consequently, "pre-settlement" soils on floodplains and low terraces are usually deeply buried by thick layers of historic alluvium. B. CULTURAL SEQUENCE The following is a generalized sequence of the prehistory and history of the Dubuque area. For more information, consult Alex (2000); the Office of the State Archaeologist (OSA), University of Iowa (1998); and HDR (2002a and 2002b). Cultural Resources Mitigation Plan 4 10/8/2004 Background Paleoindian Archaic Early Archaic Middle Archaic Late Archaic Woodland Early Woodland Middle Woodland Late Woodland Late Prehistoric Period Oneota Native American Contact, Conflict, and Dispossession Historic (Post-Contact) Period Early Euro-American Settlement Lead and Zinc Mining Era Agricultural Rural Community c. PREVIOUS INVESTIGATIONS 11,000-8,500 B.C. 8,500-5,500 B.C. 5,500-3,000 B.C. 3,000-800 B.C. 800-200 B.C. 200 B.C.-A.D. 300 A.D. 300-900 A.D. 900-1600 A.D. 1250-1673 A.D. 1600-1833 A.D. 1833-1850 A.D. 1833-1914 A.D. 1850-1925 The cultural resource investigations that have been conducted in the APE are listed in Table 2-1. Cultural Resources Mitigation Plan 5 10/8/2004 Background Date Author Title Subiect 1997 Tallgrass Reconnaissance Level Architectural and Initial Phase I Historians, L.C. Historical Survey of the Southwest Arterial architectural history Project Area, Dubuque County, Iowa survey of all alternatives 1998 Tallgrass Dubuque Southwest Arterial Project: Initial Phase 11 Historians, loC. Intensive Level Survey and Evaluation, architectural history Historical and Architectural, Dubuque survey of all Countv, Iowa alternatives 1998 OSA, University Phase I Archaeological Survey of the Initial Phase I of Iowa Proposed Southwest Arterial Supplemental archaeological Environmental Assessment and Location survey of selected Study Area (STP-U-2100(12)-70-31 and alternatives STP-31-1(10)-2C-31), Dubuque County, Iowa 2000 Tallgrass Iowa Highway 32 (Southwest Arterial): Supplemental Historians, loC. Supplemental Reconnaissance Level Phase I Architectural and Historical Survey, architectural history Dubuque County, Iowa survev 2001a Tallgrass Iowa Highway 32 (Southwest Arterial): Supplemental Historians, loC. Supplemental Intensive Level Architectural Phase 11 and Historical Survey, Dubuque County, architectural history Iowa survev 2001b Tallgrass Iowa Highway 32 (Southwest Arterial): Supplemental Historians, L.C. Second Supplemental Intensive Level Phase 11 Architectural and Historical Survey, architectural history Dubuque County, Iowa survey 2002a HDR Cultural Resources Management Supplemental Engineering, Inc. Investigation: Phase I Survey of the Phase I Proposed Iowa Highway 32 (Southwest archaeological Arteriaf), Dubuaue Countv, Iowa survev 2002b HDR Cultural Resources Management Phase 11 Engineering, Inc. Investigation: Phase /I Archaeological archaeological Investigation of the Proposed Iowa Highway survey 32 (Southwest Arterial), Dubuque County, Iowa TABLE 2-1 PREVIOUS CULTURAL RESOURCE INVESTIGATIONS D. LOCATIONS OF HISTORIC AND ARCHAEOLOGICAL RESOURCES This section discusses general characteristics of the impacted resources based on their geographical location and cultural affiliation. This information is used later in Chapter III of this Mitigation Plan to describe general scenarios for data recovery. Chapter IV contains individual descriptions of the adversely affected resources. As listed in Table 1-1, Alternative E is expected to impact seven resources: 31-03090/ 13D8575 - Farmstead District/Farmstead, 31-03692 - Farm Lane (contributes to the Catfish Creek Mining District), 13D8626 - Campsite, 13D8627 - Prehistoric Scatter, 13D8674- Cultural Resources Mitigation Plan 6 10/8/2004 Background Lithic Reduction, 13DB706 - Lithic Reduction, and 13DB709 - Campsite. Alternative E - Design Variation 1 is expected to impact six resources: 31-03090/13DB575 - Farmstead District/Farmstead, 31-03692 - Farm Lane (contributes to the Catfish Creek Mining District), 13DB626 - Campsite, 13DB627 - Prehistoric Scatter, 13DB674 - Lithic Reduction, and 13DB707 - Habitation. 1. Upland Resources Upland resources are located on topographic features above flood zones. Construction of the Project, especially the grading process, could potentially destroy all or part of a resource. Prehistoric Upland Resources Because the soils on upland slopes have eroded onto the floodplains, prehistoric upland resources generally have shallow cultural deposits (less than 1 meter [3 feet] in depth). These resources have the potential to contain subsurface features, such as hearths and storage and refuse pits. Alternative E will impact two known upland properties: 13DB627 - Prehistoric Scatter and 13DB706 - Lithic Reduction (Alternative E only). Alternative E- Design Variation 1 will impact 13DB627 - Prehistoric Scatter, which continues onto an adjacent floodplain. Historic Upland Resources Historic archaeological resources generally contain surface and/or near-surface deposits, such as artifact scatters and/or structural remains, typically yielding large artifact collections. Historic architectural resources are standing structures that may also include associated archaeological deposits. Known historic upland resources that contain standing structures and possible archaeological deposits include one farmstead (31-03090/13DB575 - Farmstead District/Farmstead) and one wall (13DB741). A historic farm lane (31-03692) has no standing structures but may have associated archaeological deposits. The farrnstead district (31-03090/13DB575 ) and historic farrn lane (31-03692) will be impacted by both alternatives. The wall (13DB741) will not be impacted with Alternative E. For Alternative E - Design Variation 1, the roadway will pass between existing wall segments, and the individual wall segments will remain intact. After conversations among the SHPO and FHWA, it was determined that this alternatives will not present physical or visual adverse effects to the resource, and will not result in an adverse effect to the wall assuming that certain conditions (as noted in Chapter 4) were met. Mining features, such as closed mining adits5, not observed on the surface or during subsurface testing were not recorded during investigations for this Project, although they are often are noted on topographic and geologic maps. Construction of the Project may expose underground mines or mining shafts. An adit is an almost horizontal entrance to a mine. Cultural Resources Mitigation Plan 7 10/8/2004 Background 2. Floodplain Resources Floodplain resources are located in alluvial settings subjected to periodic flooding. As noted in Section 2.A, soils from upland settings have been redeposited onto the floodplains. Prehistoric Floodplain Resources Prehistoric lIoodplain resources may be located beneath several meters of redeposited soils. Resources included in this Mitigation Plan have intact cultural deposits at depths ranging from 0.5 meter (1.6 feet) to greater than 2.8 meters (9 feet). These resources have the potential to contain well-preserved, intact features beneath the redeposited soils. The known prehistoric floodplain resources impacted by the Project are 13DB626 - Campsite, 13DB627 - Prehistoric Scatter (which also has an upland portion), 13DB674 - Lithic Reduction, 13DB707 - Habitation (Alternative E-Design Variation 1 only), and 13DB709 - Campsite (Alternative E only). Historic Floodplain Resources The Project is not expected to impact any known historic standing structures or archaeological sites in floodplains. 3. Historic Districts In addition to the individual resources, several historic districts were identified that overlap portions of the APE. Site 31-03090/13DB575 - Farmstead District/Farmstead is listed as part of a small farmstead district consisting of the farmstead's group of historic farm buildings. One large eligible historic district, the Catfish Creek Mining District (District), was identified during consultation between FHWA, laDOT, and the Iowa State Historic Preservation Office (SHPO). The NRHP-eligible District focused on lead mining in a portion of the watershed; the consulting parties agreed that recognition of the District will be appropriate for the project. Cultural Resources Mitigation Plan 8 10/8/2004 Mitigation Measures CHAPTER 3 MITIGATION MEASURES Mitigation for the Project includes: (a) avoiding the impact altogether by not taking an action; (b) minimizing impacts by limiting the degree or magnitude of the action; (c) rectifying the impact by repairing, rehabilitating, or restoring the affected environment; (d) reducing or eliminating the impact over time by preservation and maintenance operations; or (e) compensating for the impact by replacing the resource or providing substitute resources or environments. The following sections address the types of mitigation that apply to this Project. A. TYPES OF MITIGATION 1. Avoidance As noted in the MOA, during highway design and development of the EA for this Project, adjustments to the highway alignment were made where possible to avoid or minimize construction impacts on the historic resources. To further avoid or limit impacts on sites, temporary fencing will be installed along the perimeter of the construction zone in areas where construction activities will be conducted near known historic resources. 2. Compensation through Data Recovery Specific data recovery plans will be written on a site-by-site basis after the highway design has been completed and a cultural resources consultant has been retained. Site-specific data recovery plans will follow the Guidelines for Archaeological Investigations in Iowa (1990), the Secretary of the Interior's Standards for Archeological Documentation, and the Secretary of the Interior's Standards for Architectural and Engineering Documentation. The following general research questions can guide the data recovery: 1. What information do the resources provide on prehistoric and historic land use? 2. Are general cultural or ethnic variations discernable from the information? 3. Can connections be established with other similar sites in the area or region? 4. Can trade, transportation, or other cultural developments be identified? Monitoring in support of data recovery would occur in designated areas to be determined by the consulting parties. An archaeological monitor will be required to identify any cultural resources that may be exposed by excavation, construction, or other activities. The archaeological monitor will meet the education and professional experience required by the Secretary of the Interior's Professional Qualification Standards for archaeologists. Upon exposure of any cultural resources, the archaeological monitor will follow the procedures identified in Section 3.C, Unanticipated Site Discovery. Cultural Resources Mitigation Plan 9 10/8/2004 Mitigation Measures 3. Public Awareness and Education To keep the public informed of the protection and/or disposition of the cultural resources and to promote heritage tourism, the following public awareness and education efforts would be implemented. These efforts should be incorporated in local plans for tourism, economic development, and/or recreation. 1. The preparation of brief press releases that succinctly and accurately describe the purpose, methods and anticipated results of the cultural resources studies 2. Pamphlets and signage (that is, historic markers) describing the cultural history and, as available, incorporating existing unpublished information about Dubuque's cultural history 3. Additional signage, interpretive stations, and monuments on bike paths or other recreational areas that may be constructed in conjunction with, or in addition to, the highway 4. Museum exhibits incorporating the artifacts, photographs, and other information recovered from data recovery efforts (depending on the loan policies of the curating facility) 5. Production of educational materials for local schools 6. Public dissemination of information gathered during data recovery investigations as part of Iowa Archaeology Month or other local history events 7. Professional preparation of an informational booklet for public consumption that would provide insights into the history of the vicinity with particular emphasis on lead mining activities B. DISCOVERY OF HUMAN REMAINS OR BURIALS All human burials in the State of Iowa are protected by law. As outlined in the MOA, in the event that human remains or burials are encountered during archaeological investigations or construction activities, the City/County shall cease work in the area, take appropriate steps to secure the site, and notify officials at the Burials Program at the OSA or the Iowa Department of Public Health (Iowa DPH). 1. If the remains appear to be ancient (that is, older than 150 years), the burial is legally protected under Chapter 263B and Section 716.5 of the Iowa Administrative Code. The OSA shall have jurisdiction until the cultural affiliation of the remains can be determined and their disposition can be arranged in consultation with the Native American tribe determined to be lineal descendants, following the provisions of the Native American Graves Protection and Repatriation Act (25 United States Code [USe] 3001 through 3005). 2. If the remains appear to be less than 150 years old, the burial will be legally protected under Chapter 566 and Sections 114,34 and 716.5 of the Iowa Administrative Code and will fall under the jurisdiction of the Iowa DPH. Cultural Resources Mitigation Plan 10 10/8/2004 Mitigation Measures c. UNANTICIPATED SITE DISCOVERY According to the MOA, in the event that previously unidentified cultural resources are discovered during ground-disturbing activities within the APE, the City shall cease all activities that may disturb materials in the area of the resource and notify the Iowa State Historic Preservation Office (Iowa SHPO) of the discovery. Iowa SHPO, or an archaeologist retained by the City, meeting the Secretary of the Interior's Professional Qualification Standards for archaeologists, shall immediately inspect the work site and determine the extent of the affected resource. Work may then be able to continue in the area outside the resource as defined by Iowa SHPO, or by Iowa SHPO in consultation with the City's archaeologist. Within 14 days of the original notification of discovery the City, in coordination with Iowa DOT, in consultation with Iowa SHPO, shall determine the eligibility of the resource for listing on the NRHP. The City, in coordination with Iowa DOT, may extend this 14-day calendar period one time by an additional 7 days by providing written notice to Iowa SHPO prior to the expiration date of said 14-day calendar period. If the resource is determined to be eligible for listing on the NRHP, the City, in coordination with Iowa DOT, shall submit a plan for its avoidance, protection, recovery of information, or destruction without data recovery to Iowa SHPO for review and comment. The City, through Iowa DOT, shall notify all consulting parties of the unanticipated discovery and provide the proposed treatment plan for their consideration. Iowa SHPO and consulting parties shall have 7 days to provide comments on the proposed treatment plan to the City, Iowa DOT and FHWA upon receipt of the information. Work in the affected area shall resume, pending either (a) development and implementation of an appropriate data recovery plan or other recommended mitigation measures listed above, or (b) determination that the newly located resource is ineligible for inclusion on the NRHP. D. CURATION The City will ensure that proper arrangements have been made for the disposition of any artifacts recovered, All artifacts owned by the State of Iowa would be curated at the OSA or other federally approved facility. Curation procedures will follow the guidelines established in 36 Code of Federal Regulations (CFR) 79, Curation of Federally Owned and Administered Archaeological Collections, and/or the approved curation facility. The City will obtain "Deed of Giff' agreements from private landowners who wish to deed artifacts to the State. All required curation fees will be paid by the City. Cultural Resources Mitigation Plan 11 10/8/2004 Mitigation Measures E. CULTURAL AWARENESS TRAINING Prior to the start of construction activities, the City/County will conduct a short training session with construction supervisory personnel to make them aware of at least the following: 1. The prehistory, history, and ethnohistory of the area 2. The legal and cultural importance of cultural resources 3. The consequences of inadvertently disturbing the integrity of cultural resources 4. Methods of identifying cultural resources in the event that they are exposed 5. Pursuant to the MOA and this Mitigation Plan, procedures to follow and individual(s) to notify in the event of exposure of cultural resources Cultural Resources Mitigation Plan 12 10/8/2004 Site Descriptions CHAPTER 4 SITE DESCRIPTIONS The resources described in this chapter are those identified in Table 1-1 that will be impacted by one or both of the E Alternatives. Each description includes the property type, location, physical characteristics, reason for its eligibility for listing on the NRHP, research questions, and impacts on the property. A. PREHISTORIC UPLAND RESOURCES 1. 13DB627 - Prehistoric Scatter This prehistoric quarry/habitation site is in the southeast quarter of Section 14, Township 88 North, Range 2 East on several upland toeslopes with associated drainages and the floodplain terrace above (south and east of) Granger Creek. On the upland portion of the property, artifacts were recovered from within and below the plowzone to a depth of 60 centimeters below the surface (cmbs) (24 inches below the surface [inbs]). Recent alluvial/colluvial deposits on the floodplain reached an average depth of 80 cmbs (32 inbs). Cultural deposits were noted to a depth of 105 cmbs (41 inbs). Diagnostic artifacts from the Paleoindian to Woodland periods have been recovered from this property. Site 13DB627 is eligible for listing in the NRHP under Criterion D based on the hypothesized unique function(s) of the property as a quarry, coupled with the property's broad temporal span. This property has significant research potential for information related to Native American quarrying, lithic reduction,6 tool production, and habitation over a broad array of cultural periods. Data recovery at 13DB627 should include: 1. Additional systematic pedestrian surface surveys focused on Locus 1 and Locus 2. 2. Mechanical removal of the plowzone and excavation of formal excavation units on the upland slope portions of the site, concentrating on exposed features. 3. Mechanical removal of the PSA and excavation of additional archaeological units on the floodplain portion of the site, where intact deposits were located during the Phase I and II investigations. 4. Excavation of additional excavation units wi1hin the quarry/drainage itself. Data recovery questions: 1. Can already defined activity areas be associated with specific cultural affiliations? 2. Can additional activity areas be defined? 3. Can a definite relationship be established between 13DB627 and 13DB626 - Campsite? 4. Does 13DB627 fit into thematic contexts concerning Paleoindian/Archaic upland sites and Woodland Period floodplain sites? The process of creating chipped stone tools is called "lithic reduction" or "flintknapping." Cultural Resources Mitigation Plan 13 1 0/8/2004 Site Descriptions . 5. Can additional connections be established to area trade routes and (seasonal) migration patterns? Impacts. Potential features can exist below the plowzone on the upland portion, or beneath the recent alluvial deposits on the floodplain. Embankments or excavations associated with construction of either of the E Alternatives are expected to directly affect this site. Archaeological data recovery will be necessary. 2. 13DB706 - lithic Reduction Site 13D8706 is a Late Archaic Period to Middle Woodland Period lithic-reduction campsite with the possibility of heat-treatment features. It is located on two ridge crests overlooking Catfish Creek in the southeast quarter of Section 3, Township 88 North, Range 2 East. Cultural deposits are fairly shallow, reaching 60 cmbs (24 inbs). Site 13D8706 is eligible for listing in the NRHP under Criterion D for its research potential pertaining to Late Archaic/Middle Woodland Period upland campsites. Data recovery at 13D8706 should include: 1. Excavation of formal archaeological excavation units on both ridge crests, concentrating on exposed features. Data recovery questions: 1. Can the cultural affiliation of the site be further refined? 2. Can additional activity areas be defined? 3. Are the two ridges separate sites or represent separate occupations/cultural affiliations? 4. Is there evidence of on-site heat treatment of lithic materials? 5. Does this site fit into thematic contexts for Archaic Period campsites? Impacts. Potential features exist below the surface at this resource. Construction of Alternative E will result in the placement of fill over one-half of the site, while the other half of the site will be subject to cutting activities. Archaeological data recovery will be necessary on one or both ridge crests. B. HISTORIC UPLAND RESOURCES 1. 31-03090/13DB575 - Farmstead District Site 31-03090/13D8575 - Farmstead District is a historic farmstead with associated archaeological deposits. Located in the northwest quarter of Section 4, Township 88 North, Range 2 East, the property is on a large finger ridge that slopes down to a tributary of South Fork Catfish Creek. The historic component of the farmstead consists of an two-story farmhouse, a summer kitchen, a privy, and a historic barn. The farmhouse is a circa-1860s I-house' with a two-story addition at the back, and the original barn is a circa-1890s "open center" hay barn. 7 An I-house is two-story house that is two rooms wide and one room deep. Cultural Resources Mitigation Plan 14 10/8/2004 Site Descriptions . Archival research and the late nineteenth century occupation/construction date for the farmstead places it within the agricultural rural community period for Dubuque (1850-1925). Site 31-03090/13DB575 is eligible for listing in the NRHP under Criterion A for its potential to yield information on the early settlement of Dubuque County and agricultural rural community development and under Criterion C for its architecture and its representative property types. The archaeological component of the property also meets eligibility Criterion D for its potential to yield information on late nineteenth century land and yard-use patterns. Data recovery at 31-03090/13DB575 should include the following: 1. Documentation of all historic standing structures at the farmstead, including the preparation of a detailed narrative history, large-format interior and exterior photographs, and measured drawings. The level of documentation will be determined by the City in consultation with the Iowa SHPO 2. Complete exposure and archaeological excavation of the cistern feature. 3. Remote sensing to locate additional subsurface archaeological features around the house and barn. 4. Additional archaeological excavations along the house foundations and between the house and surrounding structures. 5. Archaeological excavations in the basement/cellar of the house or under any structure following any planned demolition of the structures. 6. Excavation of archaeological test units in and around the barn. Data recovery questions: 1. What is the history of landownership associated with the structure and property? 2. Is the structure associated with Yorkshire immigrant lead miners or other identifiable ethnic immigrants? 3. Do the construction techniques reflect those of a particular ethnic or regional tradition (such as Yorkshire or Cotswold, England)? 4. What spatial design and style characteristics are reflected in the construction? 5. What is the full nature of the archaeological deposits associated with the structure? 6. Can the social status or ethnic identity of the inhabitants be determined through analysis of archaeological deposits? 7. Can the occupation of the structure be linked with any other local or regional structures or sites through cultural assemblages or land ownership patterns? Impacts. Embankments or excavations associated with construction of either of the E Alternatives are expected to directly affect this site. Data recovery for both historic standing structures and archaeological resources will be necessary. 2. 31-03692 - Farm Lane Site 31-03692 is a farm lane in the east half of Section 4, Township 88 North, Range 2 East. The lane is three-quarters of a mile long, extending south from North Cascade Road to the Watters farmhouse. The upper portion of the lane follows an 1874 boundary demarcation between property owners M. Metcalf and J. & D. Brunskill on the west and W. Waters on the east. Phase I archaeological investigations indicate several historic resources in a line between the Watters farmhouse and the Waller family mining property on the opposite side of Catfish Creek. The lane potentially connected all of these resources and may also have been used as a public road linking North Cascade and Waller roads. Cultural Resources Mitigation Plan 15 1018/2004 Site Descriptions The lane is considered to contribute to the Catfish Creek Mining District and to potentially contribute to the currently unevaluated Watters farmstead district, which lies outside of the project APE. Site 31-03692 contributes to the Catfish Creek Mining District because of its association with Yorkshire immigrants and for its association with prominent landowners from Dubuque's lead mining era. Data recovery at 31-03692 should include the following: 1. Research and analyze the landownership records related to the lane and adjacent properties. 2. Determine and map the original route of the lane between North Cascade Road and Oakland Farms Road (former Waller Road). 3. Perform documentary photography and videography of the existing lane, including all adjacent structures and landscape views. 4. Survey the complete lane route at close topographic intervals. 5. Prepare a scaled three-dimensional measured drawing (in CADD format) of the existing and historic lane. 6. Excavate archaeological 'test units and trenches across representative portions of the road (e.g., at a hilltop, in a valley, near a stream crossing, etc.) to determine the physical character and integrity of the property and the chronology of its construction. 7. Excavate archaeological test units along the original route of the lane sufficient to determine its relationship with 13DB629, 13DB11, 13DB12, 13DB14, 13DB18, 13DB621 , and the old Waller School on Oakland Farms Road. 8. Inclusion of data, detailing the history and construction of the lane and its relationship to adjacent historic properties, in a public brochure that will be professionally prepared to document the Catfish Creek Mining District. Data recovery questions: 1. What is the history of adjacent landownership associated with the lane? 2. Is the lane associated with local lead mining and/or agricultural practices? 3. Is the lane associated with Yorkshire immigrants or other identifiable ethnic groups? 4. What spatial design characteristics are reflected in the construction? 5. Can the historical use of the lane be linked with any other local or regional structures or sites (including 13DB629,13DB11,13DB12,13DB14, 13DB18, 13DB621 , and the old Waller School) through cultural assemblages or landownership patterns? Impacts. Embankments or excavations associated with construction of either of the E Alternatives are expected to directly affect this site. The highway will cross the farm lane and the farm lane will be rerouted. This adverse effect to the site will in turn be an adverse effect to the Catfish Creek Mining District, to which the lane is a contributing property. Mitigation of adverse effects to the District, tasks proposed in addition to the site-specific actions and questions presented above, are outlined below in Section E. 3. 13DB741 - Wall and Prospecting Pits Site 13DB741 is as a historic limestone wall in the southeast quarter of Section 3, Township 88 North, Range 2 East. The property is 0.8 kilometers by 5 meters (0.5 rnile by 16 feet) Cultural Resources Mitigation Plan 16 10/8/2004 Site Descriptions and consists of a series of sections of intact and deteriorated limestone wall fragments on the steep slopes above and north of Catfish Creek and several associated prospecting pits (pits are outside the current proposed construction area of the Project). It is hypothesized that the wall was constructed as a mining claim boundary by Richard Waller (an early Yorkshire immigrant and significant individual during the lead-mining era) and likely pre- dates the March 11, 1847, federal land sale. Site 13DB741 is eligible for listing in the NRHP under criteria A, C, and D for its association with immigrants from Swaledale, Yorkshire (Criterion A), its Yorkshire building traditions (Criterion C), and its potential to yield information about local lead mining (Criterion D). The site is a contributing property of the Catfish Creek Mining District. Impacts. Construction of Alternative E - Design Variation 1 will pass between existing wall segments, and the individual wall segments will remain intact. After conversations among the SHPO and FHWA, it was determined that the E Alternatives will not present physical or visual adverse effects to the resource, assuming that certain conditions were met. These conditions include a context-sensitive design that does not physically impact the feature and virtually eliminates the roadway from view, the development of interpretive signage along planned walking and biking paths, and inclusion of the resource in the professionally prepared public documentation. C. PREHISTORIC FLOODPLAIN RESOURCES 1. 13DB626 - Campsite Site 13DB626 is a Woodland Period campsite or resource procurement site. The property is in the southeast quarter of Section 13, Township 88 North, Range 2 East on the floodplain and upland terraces of Granger Creek. Geomorphological investigations at the property indicate that the historic alluvial/colluvial deposits are approximately 90 centimeters (35 inches) thick. Cultural deposits were found between 90 and 125 cmbs (35 and 49 inbs). Site 13DB626 is eligible for listing in the NRHP under Criterion D for its data recovery potential in regard to Woodland Period campsites on creek terraces. Data recovery at 13DB626 should focus on the intact, northeast portion of the site and should include the following: 1. Mechanical removal of the PSA from the northeast portion of the site. 2. Excavation of formal archaeological excavation units, concentrating on exposed features. Data recovery questions: 1. What information can Site 13DB626 contribute regarding floodplain terrace sites along major creeks? 2. What information can this site contribute about Woodland Period sites in northeast Iowa? 3. Can a definitive relationship between this site and Site 13DB627 - Prehistoric Scatter be defined? 4. What were the activities at the site, and where are the activity areas? 5. Can the cultural context be further refined, and are additional cultural affiliations identifiable at the site? Cultural Resources Mitigation Plan 17 10/8/2004 Site Descriptions Impacts. Potential features exist beneath the recent alluvial deposits on the floodplain. Construction of either of the E Alternatives can potentially destroy the entire property or a portion of the property. Embankments or excavations associated with construction of either of the E Alternatives are expected to directly affect this site. Archaeological data recovery will be necessary. 2. 13DB627 - Prehistoric Scatter See the description of Site 13D8627 under upland resources (Section 4.A.1). 3. 13DB674 - Lithic Reduction Site 13D8674 is an Archaic Period lithic reduction site. The property is in the southeast quarter of Section 31, Township 89 North, Range 2 East, north of South Fork Catfish Creek. Geomorphological investigations indicate that the historic alluvium is 30 to 55 centimeters (12 to 22 inches) thick. Artifacts were recovered to a depth of 95 cmbs (37 inbs). The property is eligible for listing in the NRHP under Criterion D for its potential to yield information on the Archaic Period and lithic reduction site distribution and structure along South Fork Catfish Creek. Data recovery at 13D8674 should include: 1. Mechanical removal of the PSA in the areas of Locus 1 and Locus 2. 2. Excavation of formal archaeological excavation units in the two loci, concentrating on exposed features. Data recovery questions: 1. What is the relationship between Site 13D8674 and other sites in the same drainage area? 2. Can additional site activities or activity areas be defined? 3. What additional information can this site contribute about archaic sites/lithic reduction sites? 4. Can the cultural context be refined, and are additional cultural contexts identifiable at the site? Impacts. Potential features exist beneath the recent alluvial deposits on the floodplain, Embankments or excavations associated with construction of either of the E Alternatives are expected to directly affect this site. Archaeological data recovery will be necessary. 4. 13DB707 - Habitation Site 13D8707 is a long-term Woodland Period habitation site in the southeast quarter of Section 3, Township 88 North, Range 2 East on a large floodplain terrace at a bend in Catfish Creek. An alluvial fan crosses most of the terrace from the northwest corner of the property. Geomorphological investigations within the alluvial fan indicate historic alluvial deposits from 1.3 to 2.8 meters (4 to 9 feet) in depth. Artifacts were recovered from several cultural distinct layers between 150 and 225 cmbs (59 and 89 inbs). There is a high probability of intact features such as hearths, post molds," additional refuse deposits and A post mold is the impression, stain, or cavity, left in the ground by a rotted wooden post. Cultural Resources Mitigation Plan 18 10/8/2004 , Site Descriptions other activity areas. The property is eligible for listing in the NRHP under Criterion D for its potential to yield significant information on prehistoric land use patterns. Data recovery at 13DB707 should include the following: 1. Mechanical removal of the PSA (Camp Creek Member) from the alluvial fan and the cultivated field. 2. Archaeological excavation of a significant portion of the site (at least 50%), concentrating on exposed features. Data recovery questions: 1. What information can this site provide on Woodland Period habitation sites in the Dubuque area or in this type of environmental setting? 2. What information can this site provide on seasonal versus permanent settlements for the Woodland Period? 3. Can additional cultural affiliations be determined for the site? 4. What is the relationship between this site and the other sites (especially 13DB706 - Lithic Reduction, 13DB709 - Campsite, 13DB710 - Rock Shelter, and 13DB711 - Campsite) in this area of Catfish Creek? 5. Can multiple activity areas or individual dwelling areas be identified at the site? 6. Can the occupation/use date range of the site be determined? 7. What information can this site provide on subsistence strategies practiced by Woodland Period cultures? 8. Given the proximity of the site-to-site known lead deposits (t3DB598), is there any evidence of lead mining, processing, or trading at this site? Impacts. Potential features exist beneath the recent alluvial deposits on the floodplain. Embankments or excavations associated with construction of Alternative E - Design Variation 1 are expected to directly affect this site. Archaeological data recovery will be necessary. 5. 13DB709 - Campsite Site 13DB709 is a short-term Woodland Period campsite in the northeast quarter of Section 10, Township 88 North, Range 2 East on a wooded terrace shaped like a peninsula (created by a meander loop of Catfish Creek). Historic alluvial deposits reached an average depth of 100 cmbs (39 inbs). Artifacts were recovered from 95 to 185 cmbs (37 to 73 inbs). Together with the other aboriginal resources along Catfish Creek (13DB705, 13DB706 - Lithic Reduction, and 13DB707 - Habitation), these resources comprise a highly active locality through time. Many of the resources possibly were occupied at the same time or during consecutive years or seasons. Site 13DB709 is eligible for listing in the NRHP under Criterion D for its data recovery potential in regard to short-term Woodland Period campsites. Cultural Resources Mitigation Plan 19 10/8/2004 Site Descriptions . Data recovery at 13D8709 should include the following: 1. Mechanical removal of the majority of the PSA on-site. 2. Excavation of formal archaeological excavation units and an expanded sampling strategy on the T-1 terrace surrounding TU1 and continuing toward TU2. Data recovery questions: 1. Can the cultural affiliation of the site be refined to a Woodland phase? 2. Can more than one activity area be identified, possibly away from the hearth? 3. Are 13D871 0 and 13D8711 from the same period of occupation, or possibly part of one overall site? 4. How does 13D8709 fit into the land-use history of the Catfish Creek locality? 5. What additional data can 13D8709 provide for thematic contexts for Woodland Period campsites? Impacts. Potential features exist beneath the recent alluvial deposits on the floodplain. This site is located in the Catfish Creek floodplain, which will be bridged by the E Alternatives. However, construction of Alternative E may result in the destruction of a portion of the property by the bridge embankment or by bridge piers. The full extent of the impacts on this site will not be known until final design is completed. Archaeological data recovery will be necessary, depending on the extent of the embankment and placement of piers. D. HISTORIC FLOODPLAIN RESOURCES There are no known historic floodplain resources. E. CATFISH CREEK MINING DISTRICT Phase I and Phase II archaeological and architecture history surveys revealed aboriginal and Euro-American archaeological sites and historic standing structures throughout the APE. Cartographic research and aerial photograph inspection revealed the presence of lead prospecting pits and adits throughout the Catfish Creek watershed. Primary historical research also revealed that a large portion of the watershed had been acquired during the initial 1847 General land Office sale by a cohesive group of Yorkshire lead miners and farmers. These miners were responsible for a significant percentage of initial large-scale lead prospecting, extraction, and smelting in the Dubuque area, and may have exercised considerable control over lead commerce in the upper Mississippi River valley. Consultation between FHWA, laDOT, and the Iowa State Historic Preservation Office (SHPO) determined that the recognition of the NRHP-eligible Catfish Creek Mining District, focused on lead mining in a portion of the watershed, was appropriate for the project. The consulting parties agreed in May 2004 that the area of the District, eligible for listing in the NRHP under Criteria A, 8, C and D, would be determined by subtracting areas of residential and commercial development" from the area comprising the property owned by Yorkshire lead miners in 1874 and by extending these boundaries to include nearby properties related to historic lead mining that are currently listed in the Iowa State Site File. 9 The areas of residential and commercial development should still be considered, however, to have the potentia] for mining-related historic properties. Cultural Resources Mitigation Plan 20 10/8/2004 ., , Site Descriptions Impacts: Because the proposed undertaking will have an adverse effect on contributing Site 31-03692, there will be an adverse effect on the NRHP-eligible Catfish Creek Mining District. Professionally prepared documentation of the District will be prepared and made available for public use to mitigate impacts to the District. Cultural Resources Mitigation Plan 21 10/8/2004 References CHAPTER 5 REFERENCES 36 CFR 60. National Register of Historic Places. 36 CFR 65. National Historic Landmarks. 36 CFR 79. Curation of Federally Owned and Administered Archaeological Collections. 36 CFR 800. Protection of Historic Properties. 40 CFR 1508. Implementing the National Environmental Policy Act. 25 USC 3001-3005. Native American Graves Protection and Repatriation Act. 43 USC 1602. Alaska Native Claims Settlement Act. Alex, L. M. 2000. fowa's Archaeological Past. University of Iowa Press, Iowa City. HDR Engineering, Inc. 2002a. Culturaf Resources Management Investigation: Phase I Survey of the Proposed Iowa Highway 32 (Southwest Arterial), Dubuque County, Iowa. HDR Engineering, Inc. 2002b. Cultural Resources Management Investigation: Phase /I Archaeological Investigation of the Proposed Iowa Highway 32 (Southwest Arterial), Dubuque County, Iowa. Office of the State Archaeologist, University of Iowa. 1998. Phase I Archaeological Survey of the Proposed Southwest Arterial Supplemental Environmental Assessment and Location Study Area (STP-U-2100(12)-70-31 and STP-31-1(10)-2C-31), Dubuque County, Iowa. Tallgrass Historians, loC. 1997. Reconnaissance Level Architectural and Historical Survey of the Southwest Arterial Project Area, Dubuque County, Iowa. Tallgrass Historians, loC. 1998. Dubuque Southwest Arterial Project: Intensive Level Survey and Evaluation, Historical and Architectural, Dubuque County, Iowa. Tallgrass Historians, L.C. 2000. Iowa Highway 32 (Southwest Arterial): Supplemental Reconnaissance Level Architectural and Historical Survey, Dubuque County, Iowa. Tallgrass Historians, L.C. 2001 a. Iowa Highway 32 (Southwest Arterial): Supplemental Intensive Level Architectural and Historical Survey, Dubuque County, Iowa. Tallgrass Historians, L.C, 2001 b. Iowa Highway 32 (Southwest Arterial): Second Supplemental Intensive Level Architectural and Historical Survey, Dubuque County, Iowa. Cultural Resources Mitigation Plan 22 10/8/2004