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ARCHEOLOGY AND HISTORIC PRESERVATION:
Secretary of the Interior's Standards and Guidelines
[As Amended and Annotated]

Agency: National Park Service, Department of the Interior. Action: Notice.

Summary: This notice sets forth the Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation. These standards and guidelines are not regulatory and do not set or interpret agency policy. They are intended to provide technical advice about archeological and historic preservation activities and methods.

Dates: These Standards and Guidelines are effective on September 29, 1983.*

*[The National Park Service has not republished "The Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation" since 1983 (48 FR 44716). NPS has updated portions of the Standards and Guidelines. Where NPS has officially revised portions and published the revisions in the Federal Register, such as the Historic Preservation Project standards and the treatment definitions, we strike through the 1983 language and provide a link to the new material. Where the 1983 language is not current but NPS has not officially replaced it, such as the technical information, we strike through the out-of-date materials. We then provide current technical information and links to NPS and partner websites where this information is available.

Language within brackets has not been published for effect in the Federal Register as a part of the Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation.]

For Further Information Contact: Lawrence E. Aten, Chief, Interagency Resources Division, National Park Service, United States Department of the Interior, Washington, DC 20240 (202- 343-9500). A Directory of Technical Information listing other sources of supporting information is available from the National Park Service.
NPS Cultural Resources Email Contacts

Supplementary Information: The Standards and Guidelines are prepared under the authority of sections 101(f) (g), and (h), and section 110 of the National Historic Preservation Act of 1966, as amended. State Historic Preservation Officers: Federal Preservation Officers including those of the Department of Agriculture, Department of Defense, Smithsonian Institution and General Services Administration; the Advisory Council on Historic Preservation; the National Trust for Historic Preservation; and other interested parties were consulted during the development of the Standards and Guidelines; additional consultation with these agencies will occur as the Standards and Guidelines are tested during their first year of use.

Purpose
The proposed Standards and the philosophy on which they are based result from nearly twenty years of intensive preservation activities at the Federal, State, and local levels.

The purposes of the Standards are:

Uses of the Standards
The following groups or individuals are encouraged to use these Standards:

Organization
This material is organized in three sections: Standards; Guidelines; and recommended technical sources, cited at the end of each set of guidelines. Users of this document are expected to consult the recommended technical sources to obtain guidance in specific cases.

Review of the Standards and Guidelines
The Secretary of the Interior's Standards for Rehabilitation have recently undergone extensive review and their guidelines made current after 5 years of field use. Users and other interested parties are encouraged to submit written comments on the utility of these Standards and Guidelines except for the Rehabilitation Standards mentioned above. This edition will be thoroughly reviewed by the National Park Service (including consultation with Federal and State agencies), after the end of its first full year of use and any necessary modifications will be made. Subsequent reviews are anticipated as needed. [Comments should be sent to Chief, Interagency Resources Division, National Park Service, United States Department of the Interior, Washington, DC 20240.]



Secretary of the Interior's Standards for Preservation Planning

Preservation planning is a process that organizes preservation activities (identification, evaluation, registration and treatment of historic properties) in a logical sequence. The Standards for Planning discuss the relationship among these activities while the remaining activity standards consider how each activity should be carried out. The Professional Qualifications Standards discuss the education and experience required to carry out various activities.

The Standards for Planning outline a process that determines when an area should be examined for historic properties, whether an identified property is significant, and how a significant property should be treated.

Preservation planning is based on the following principles:

Preservation planning can occur at several levels or scales: in a project area; in a community; in a State as a whole; or in the scattered or contiguous landholdings of a Federal agency. Depending on the scale, the planning process will involve different segments of the public and professional communities and the resulting plans will vary in detail. For example, a State preservation plan will likely have more general recommendations than a plan for a project area or a community. The planning process described in these Standards is flexible enough to be used at all levels while providing a common structure which promotes coordination and minimizes duplication of effort. The Guidelines for Preservation Planning contain additional information about how to integrate various levels of planning.

Standard I. Preservation Planning Establishes Historic Contexts

Decisions about the identification, evaluation, registration and treatment of historic properties are most reliably made when the relationship of individual properties to other similar properties is understood. Information about historic properties representing aspects of history, architecture, archeology, engineering and culture must be collected and organized to define these relationships. This organizational framework is called a "historic context." The historic context organizes information based on a cultural theme and its geographical and chronological limits. Contexts describe the significant broad patterns of development in an area that may be represented by historic properties. The development of historic contexts is the foundation for decisions about identification, evaluation, registration and treatment of historic properties.

Standard II. Preservation Planning Uses Historic Contexts To Develop Goals and Priorities for the Identification, Evaluation, Registration and Treatment of Historic Properties

A series of preservation goals is systematically developed for each historic context to ensure that the range of properties representing the important aspects of each historic context is identified, evaluated and treated. Then priorities are set for all goals identified for each historic context. The goals with assigned priorities established for each historic context are integrated to produce a comprehensive and consistent set of goals and priorities for all historic contexts in the geographical area of a planning effort.

The goals for each historic context may change as new information becomes available. The overall set of goals and priorities are then altered in response to the changes in the goals and priorities for the individual historic contexts.

Activities undertaken to meet the goals must be designed to deliver a usable product within a reasonable period of time. The scope of the activity must be defined so the work can be completed with available budgeted program resources.

Standard III. The Results of Preservation Planning Are Made Available for Integration Into Broader Planning Processes

Preservation of historic properties is one element of larger planning processes. Planning results, including goals and priorities, information about historic properties, and any planning documents, must be transmitted in a usable form to those responsible for other planning activities. Federally mandated historic preservation planning is most successfully integrated into project management planning at an early stage. Elsewhere, this integration is achieved by making the results of preservation planning available to other governmental planning bodies and to private interests whose activities affect historic properties.



Secretary
of the Interior's Guidelines for Preservation Planning

Introduction

These Guidelines link the Standards for Preservation Planning with more specific guidance and technical information. They describe one approach to meeting the Standards for Preservation Planning. Agencies, organizations or individuals proposing to approach planning differently may wish to review their approaches with the National Park Service.

The Guidelines are organized as follows:
Managing the Planning Process
Developing Historic Contexts
Developing Goals for a Historic Context
Integrating Individual Historic Contexts-Creating the Preservation Plan
Coordinating with Management Frameworks
Recommended Sources of Technical Information

Managing the Planning Process

The preservation planning process must include an explicit approach to implementation, a provision for review and revision of all elements, and a mechanism for resolving conflicts within the overall set of preservation goals and between this set of goals and other land use planning goals. It is recommended that the process and its products be described in public documents.

Implementing the Process
The planning process is a continuous cycle. To establish and maintain such a process, however, the process must be divided into manageable segments that can be performed, within a defined period, such as a fiscal year or budget cycle. One means of achieving this is to define a period of time during which all the preliminary steps in the planning process will be completed. These preliminary steps would include setting a schedule for subsequent activities.

Review and Revision
Planning is a dynamic process. It is expected that the content of the historic contexts described in Standard I and the goals and priorities described in Standard II will be altered based on new information obtained as planning proceeds. The incorporation of this information is essential to improve the content of the plan and to keep it up-to-date and useful. New information must be reviewed regularly and systematically, and the plan revised accordingly.

Public Participation
The success of the preservation planning process depends on how well it solicits and integrates the views of various groups. The planning process is directed first toward resolving conflicts in goals for historic preservation, and second toward resolving conflicts between historic preservation goals and other land use planning goals. Public participation is integral to this approach and includes at least the following actions:

  1. Involving historians, architectural historians, archeologists, folklorists and persons from related disciplines to define, review and revise the historic contexts, goals and priorities;

  2. Involving interested individuals, organizations and communities in the planning area in identifying the kinds of historic properties that may exist and suitable protective measures;

  3. Involving prospective users of the preservation plan in defining issues, goals and priorities;

  4. Providing for coordination with other planning efforts at local, State, regional and national levels, as appropriate; and

  5. Creating mechanisms for identifying and resolving conflicts about historic preservation issues. The development of historic contexts, for example, should be based on the professional input of all disciplines involved in preservation and not be limited to a single discipline. For prehistoric archeology, for example, data from fields such as geology, geomorphology and geography may also be needed. The individuals and organizations to be involved will depend, in part, on those present or interested in the planning area.

Documents Resulting from the Planning Process
In most cases, the planning process produces documents that explain how the process works and that discuss the historic contexts and related goals and priorities. While the process can operate in the absence of these documents, planning documents are important because they are the most effective means of communicating the process and its recommendations to others. Planning documents also record decisions about historic properties.

As various parts of the planning process are reviewed and revised to reflect current information, related documents must also be updated. Planning documents should be created in a form that can be easily revised. It is also recommended that the format language and organization of any documents or other materials (visual aids, etc.) containing preservation planning information meet the needs of prospective users.

Developing Historic Contexts

General Approach
Available information about historic properties must be divided into manageable units before it can be useful for planning purposes. Major decisions about identifying, evaluating, registering and treating historic properties are most reliably made in the context of other related properties. A historic context is an organizational format that groups information about related historic properties, based on a theme, geographic limits and chronological period. A single historic context describes one or more aspects of the historic development of an area, considering history, architecture, archeology, engineering and culture and identifies the significant patterns that individual historic properties represent, for example, Coal Mining in Northeastern Pennsylvania between 1860 and 1930. A set of historic contexts is a comprehensive summary of all aspects of the history of the area.

The historic context is the cornerstone of the planning process. The goal of preservation planning is to identify, evaluate, register and treat the full range of properties representing each historic context, rather than only one or two types of properties. Identification activities are organized to ensure that research and survey activities include properties representing all aspects of the historic context. Evaluation uses the historic context as the framework within which to apply the criteria for evaluation to specific properties or property types. Decisions about treatment of properties are made with the goal of treating the range of properties in the context. The use of historic contexts in organizing major preservation activities ensures that those activities result in the preservation of the wide variety of properties that represent our history, rather than only a small, biased sample of properties.

Historic contexts, as theoretical constructs, are linked to actual historic properties through the concept of property type. Property types permit the development of plans for identification, evaluation and treatment even in the absence of complete knowledge of individual properties. Like the historic context, property types are artificial constructs which may be revised as necessary. Historic contexts can be developed at a variety of scales appropriate for local, State and regional planning. Give the probability of historic contexts overlapping in an area, it is important to coordinate the development and use of contexts at all levels. Generally, the State Historic Preservation Office possesses the most complete body of information about historic properties and, in practice, is in the best position perform this function.

The development of historic contexts generally results in documents that describe the prehistoric processes or patterns that define the context. Each of the contexts selected should be developed to the point of identifying important property types to be useful in later preservation decision-making. The amount of detail included in these summaries will vary depending on the level (local, State, regional, or national) at which the contexts are developed and on their intended uses. For most planning purposes, a synopsis of the written description of the historic context is sufficient.

Creating a Historic Context
Generally, historic contexts should not be constructed so broadly as to include all property types under a single historic context or so narrowly as to contain only one property type per historic context. The following procedures should be followed in creating a historic context.

1. Identify the concept, time period and geographical limits for the historic context

Existing information, concepts, theories, models and descriptions should be used as the basis for defining historic contexts. Biases in primary and secondary sources should be identified and accounted for when existing information is used in defining historic contexts.
The identification and description of historic contexts should incorporate contributions from all disciplines involved in historic preservation. The chronological period and geographical area of each historic context should be defined after the conceptual basis is established. However, there may be exceptions, especially in defining prehistoric contexts where drainage systems or physiographic regions often are outlined first. The geographical boundaries for historic contexts should not be based upon contemporary political, project or other contemporary boundaries if those boundaries do not coincide with historical boundaries. For example, boundaries for prehistoric contexts will have little relationship to contemporary city, county or State boundaries.

2. Assemble the existing information about the historic context

  1. Collecting information: Several kinds of information are needed to construct a preservation plan. Information about the history of the area encompassed by the historic context must be collected, including any information about historic properties that have already been identified. Existing survey or inventory entries are an important source of information about historic properties. Other sources may include literature on prehistory, history, architecture and the environment; social and environmental impact assessments; county and State land use plans; architectural and folklife studies and oral histories; ethnographic research; State historic inventories and registers; technical reports prepared for Section 106 or other assessments of historic properties; and direct consultation with individuals and organized groups.

    In addition, organizations and groups that may have important roles in defining historic contexts and values should be identified. In most cases a range of knowledgeable professionals drawn from the preservation, planning and academic communities will be available to assist in defining contexts and in identifying sources of information. In other cases, however, development of historic contexts may occur in areas whose history or prehistory has not been extensively studied. In these situations, broad general historic contexts should be initially identified using available literature and expertise, with the expectation that the contexts will be revised and subdivided in the future as primary source research and field survey are conducted. It is also important to identify such sources of information as existing planning data, which is needed to establish goals for identification, evaluation and treatment, and to identify factors that will affect attainment of those goals.

    The same approach for obtaining information is not necessarily desirable for all historic contexts. Information should not be gathered without first considering its relative importance to the historic context, the cost and time involved, and the expertise required to obtain it. In many cases, for example, published sources may be used in writing initial definitions of historic contexts; archival research or field work may be needed for subsequent activities.

  2. Assessing information: All information should be reviewed to identify bias in historic perspective, methodological approach, or area of coverage. For example, field surveys for archeological sites may have ignored historic archeological sites, or county land use plans may have emphasized only development goals.

3. Synthesize information

The information collection and analysis results in a written narrative of the historic context. This narrative provides a detailed synthesis of the data that have been collected and analyzed. The narrative covers the history of the area from the chosen perspective and identifies important patterns, events, persons or cultural values. In the process of identifying the important patterns, one should consider:

4. Define property types

A property type is a grouping of individual properties based on shared physical or associative characteristics. Property types link the ideas incorporated in the theoretical historic context with actual historic properties that illustrate those ideas. Property types defined for each historic context should be directly related to the conceptual basis of the historic context. Property types defined for the historic context "Coal Mining in Northeastern Pennsylvania, 1860-1930" might include coal extraction and processing complexes; railroad and canal transportation systems; commercial districts; mine workers' housing; churches, social clubs and other community facilities reflecting the ethnic origins of workers; and residences and other properties associated with mine owners and other industrialists.

  1. Identify property types: The narrative should discuss the kinds of properties expected within the geographical limits of the context and group them into those property types most useful in representing important historic trends.

    Generally, property types should be defined after the historic context has been defined. Property types in common usage ("Queen Anne House," "mill buildings" or "stratified sites") should not be adopted without first verifying their relevance to the historic contexts being used.

  2. Characterize the locational patterns of property types: Generalizations about where particular types of properties are likely to be found can serve as a guide for identification and treatment. Generalizations about the distribution of archeological properties are frequently used. The distribution of other historic properties often can be estimated based on recognizable historical, environmental or cultural factors that determined their location. Locational patterns of property types should be based upon models that have an explicit theoretical or historical basis and can be tested in the field. The model may be the product of historical research and analysis ("Prior to widespread use of steam power, mills were located on rivers and streams able to produce water power" or "plantation houses in the Mississippi Black Belt were located on sandy clay knolls"), or it may result from sampling techniques. Often the results of statistically valid sample surveys can be used to describe the locational patterns of a representative portion of properties belonging to a particular property type. Other surveys can also provide a basis for suggesting locational patterns if a diversity of historic properties was recorded and a variety of environmental zones was inspected. It is likely that the identification of locational patterns will come from a combination of these sources. Expected or predicted locational patterns of property types should be developed with a provision made for their verification.

  3. Characterize the current condition of property types: The expected condition of property types should be evaluated to assist in the development of identification, evaluation and treatment strategies, and to help define physical integrity thresholds for various property types. The following should be assessed for each property type:

    1. Inherent characteristics of a property type that either contribute to or detract from its physical preservation. For example, a property type commonly constructed of fragile materials is more likely to be deteriorated than a property type constructed of durable materials; structures whose historic function or design limits the potential for alternative uses (water towers) are less likely to be reused than structures whose design allows a wider variety of other uses (commercial buildings or warehouses).

    2. Aspects of the social and natural environment that may affect the preservation or visibility of the property type. For example, community values placed on certain types of properties (churches, historic cemeteries) may result in their maintenance while the need to reuse valuable materials may stimulate the disappearance of properties like abandoned houses and barns.

    3. It may be most efficient to estimate the condition of property types based on professional knowledge of existing properties and field test these estimates using a small sample of properties representative of each type.

5. Identify information needs

Filling gaps in information is an important element of the preservation plan designed for each historic context. Statements of the information needed should be as specific as possible, focusing on the information needed, the historic context and property types it applies to, and why the information is needed to perform identification, evaluation, or treatment activities.

Developing Goals for a Historic Context

Developing Goals
A goal is a statement of preferred preservation activities, which is generally stated in terms of property types.
The purpose of establishing preservation goals is to set forth a "best case" version of how properties in the historic context should be identified, evaluated, registered and treated.

Preservation goals should be oriented toward the greatest possible protection of properties in the historic context and should be based on the principle that properties should be preserved in place if possible, through affirmative treatments like rehabilitation, stabilization or restoration. Generally, goals will be specific to the historic context and will often be phrased in terms of property types. Some of these goals will be related to information needs previously identified for the historic context. Collectively, the goals for a historic context should be a coherent statement of program direction covering all aspects of the context.

For each goal, a statement should be prepared identifying:

  1. The goal, including the context and property types to which the goal applies and the geographical area in which they are located;

  2. The activities required to achieve the goal;

  3. The most appropriate methods or strategies for carrying out the activities;

  4. A schedule within which the activities should be completed; and

  5. The amount of effort required to accomplish the goal, as well as a way to evaluate progress toward its accomplishment.

Setting priorities for goals
Once goals have been developed they need to be ranked in importance. Ranking involves examining each goal in light of a number of factors.

  1. General social, economic, political and environmental conditions and trends affecting (positively and negatively) the identification, evaluation, registration and treatment of property types in the historic context.

    Some property types in the historic context may be more directly threatened by deterioration, land development patterns, contemporary use patterns, or public perceptions of their value, and such property types should be given priority consideration.

  2. Major cost or technical considerations affecting the identification, evaluation and treatment of property types in the historic context.

    The identification or treatment of some property types may be technically possible but the cost prohibitive; or techniques may not currently be perfected (for example, the identification of submerged sites or objects, or the evaluation of sites containing material for which dating techniques are still being developed).

  3. Identification, evaluation, registration and treatment activities previously carried out for property types in the historic context.

    If a number of properties representing one aspect of a historic context have been recorded or preserved, treatment of additional members of that property type may receive lower priority than treatment of a property type for which no examples have yet been recorded or preserved. This approach ensures that the focus of recording or preserving all elements of the historic context is retained, rather than limiting activities to preserving properties representing only some aspects of the context.

    The result of considering the goals in light of these concerns will be a list of refined goals ranked in order of priority.

Integrating Individual Contexts-Creating the Preservation Plan

When historic contexts overlap geographically, competing goals and priorities must be integrated for effective preservation planning. The ranking of goals for each historic context must be reconciled to ensure that recommendations for one context do not contradict those for another. This important step results in an overall set of priorities for several historic contexts and a list of the activities to be performed to achieve the ranked goals. When applied to a specific geographical area, this is the preservation plan for that area.

It is expected that in many instances historic contexts will overlap geographically. Overlapping contexts are likely to occur in two combinations-those that were defined at the same scale (i.e., textile development in Smithtown 1850-1910 and Civil War in Smithtown 1855-1870) and those defined at different scales (i.e., Civil War in Smithtown and Civil War in the Shenandoah Valley). The contexts may share the same property types, although the shared property types will probably have different levels of importance, or they may group the same properties into different property types, reflecting either a different scale of analysis or a different historical perspective. As previously noted, many of the goals that are formulated for a historic context will focus on the property types defined for that context. Thus it is critical that the integration of goals include the explicit consideration of the potential for shared property type membership by individual properties. For example, when the same property types are used by two contexts, reconciling the goals will require weighing the level of importance assigned to each property type. The degree to which integration of historic contexts must involve reconciling property types may be limited by the coordinated development of historic contexts used at various levels.

Integration with Management Frameworks

Preservation goals and priorities are adapted to land units through integration with other planning concerns. This integration must involve the resolution of conflicts that arise when competing resources occupy the same land base. Successful resolution of these conflicts can often be achieved through judicious combination of inventory, evaluation and treatment activities. Since historic properties are irreplaceable, these activities should be heavily weighted to discourage the destruction of significant properties and to be compatible with the primary land use.



Recommended Sources of Technical Information
Current Recommendations

A Planning Companion: A Guide for State Historic Preservation Planning. Susan L. Henry Renaud, 1983 (draft).
Describes an approach to preservation planning that uses fully developed historic contexts as special technical studies necessary to effective planning and decision-making.

Guidelines for Local Surveys: A Basis for Preservation Planning. (formerly National Register Bulletin 24). Anne Derry, H. Ward Jandl, Carol D. Shull, and Jan Thorman; revised by Patricia L. Parker, 1985.

Local Historic Preservation Plans: A Selected Annotated Bibliography. Neil Gagliardi and Stephen Morris, 1993.
Provides an overview of the range of local historic preservation plans from across the country, including information on how a number of communities have addressed various issues in their preservation plans.

The National Historic Landmarks Program Theme Study and Preservation Planning. Robert S. Grumet. Technical Brief 10, Archeology & Ethnography Program, National Park Service, 1990, revised 1992.

National Park Service, 1994, Thematic Framework.
Use of the National Park Service Thematic Framework need not be limited to the federal level, as the conceptualization it provides can equally inform preservation and interpretation at local, state, and regional levels.

Preparing a Historic Preservation Plan. Bradford J. White and Richard J. Roddewig. Planning Advisory Service Report No. 450, 1994.
Describes components that are important in a good preservation plan and explains how several communities have carried out preservation planning activities. Available from the American Planning Association, 122 South Michigan Avenue, Suite 1600, Chicago, Illinois 60603-6107; (312) 786-6344.

Protecting Archeological Sites on Private Lands. Susan L. Henry, with Geoffrey M. Gyrisco, Thomas H. Veech, Stephen A. Morris, Patricia L. Parker, and Jonathan P. Rak.
Provides useful information on strategies for protecting archaeological sites in local communities.

Reaching Out, Reaching In: A Guide to Creating Effective Public Participation in State Historic Preservation Planning. Barry R. Lawson, Ellen P. Ryan, and Rebecca Bartlett Hutchison, 1993.
Describes an approach for designing public participation programs for State Historic Preservation Office preservation planning, with a mini-case study from the Maryland Historical Trust. May also be applicable in local community preservation planning settings.

Taking Command of Change: A Practical Guide for Applying the Strategic Development Process in State Historic Preservation Offices. Douglas C. Eadie, 1995.
Describes a strategic planning approach designed to provide practical guidance to SHPOs in managing growth and change.


Resource Protection Planning Process. State and Plans Grants Division, 1980. Washington, DC. Available from Survey and Planning Branch, Interagency Resources Division, National Park Service, Department of the Interior, Washington, DC 20240.

Outlines a step-by-step approach to implementing the resource protection planning process.

Resources Protection Planning Process Case Studies. Available from Survey and Planning Branch, Interagency Resources Division, National Park Service, Department of the Interior, Washington, DC 20240. Reports prepared by State Historic Preservation Offices and others using the planning process.

Planning Theory. Andreas Faludi, 1980. Oxford: Pergamon Press. Constructs a model of planning using concepts borrowed from general systems theory.

Historic Preservation Planning Program

National Register Multiple Property Submission List

State Historic Preservation Offices (SHPO)
Each SHPO Office has prepared a list of historic context titles, many, if not all, of which may have been developed and might be available. In addition, some SHPO Offices have developed guidelines for preparing historic contexts for their states.



Secretary of the Interior's Standards for Identification

Identification activities are undertaken to gather information about historic properties in an area. The scope of these activities will depend on: existing knowledge about properties; goals for survey activities developed in the planning process; and current management needs.

Standard I. Identification of Historic Properties Is Undertaken to the Degree Required To Make Decisions

Archival research and survey activities should be designed to gather the information necessary to achieve defined preservation goals. The objectives, chosen methods and techniques, and expected results of the identification activities are specified in a research design. These activities may include archival research and other techniques to develop historic contexts, sampling an area to gain a broad understanding of the kinds of properties it contains, or examining every property in an area as a basis for property specific decisions. Where possible, use of quantitative methods is important because it can produce an estimate, whose reliability may be assessed, of the kinds of historic properties that may be present in the studied area. Identification activities should use a search procedure consistent with the management needs for information and the character of the area to be investigated. Careful selection of methods, techniques and level of detail is necessary so that the gathered information will provide a sound basis for making decisions.

Standard II. Results of Identification Activities Are Integrated Into the Preservation Planning Process

Results of identification activities are reviewed for their effects on previous planning data. Archival research or field survey may refine the understanding of one or more historic contexts and may alter the need for additional survey or study of particular property types. Incorporation of the results of these activities into the planning process is necessary to ensure that the planning process is always based on the best available information.

Standard III. Identification Activities Include Explicit Procedures for Record-Keeping and Information Distribution

Information gathered in identification activities is useful in other preservation planning activities only when it is systematically gathered and recorded, and made available to those responsible for preservation planning. The results of identification activities should be reported in a format that summarizes the design and methods of the survey, provides a basis for others to review the results, and states where information on identified properties is maintained. However, sensitive information, like the location of fragile resources, must be safeguarded from general public distribution.



Secretary of the Interior's Guidelines for Identification

Introduction

These Guidelines link the Standards for Identification with more specific guidance and technical information. The Guidelines outline one approach to meet the Standards for Identification. Agencies, organizations and individuals proposing to approach identification differently may wish to review their approaches with the National Park Service.

The Guidelines are organized as follows:
Role of Identification in the Planning Process
Performing Identification
Integrating Identification Results
Reporting Identification Results
Recommended Sources of Technical Information

Role of Identification in the Planning Process

Identification is undertaken for the purpose of locating historic properties and is composed of a number of activities which include, but are not limited to archival research, informant interviews, field survey and analysis. Combinations of these activities may be selected and appropriate levels of effort assigned to produce a flexible series of options. Generally identification activities will have multiple objectives, reflecting complex management needs. Within a comprehensive planning process, identification is normally undertaken to acquire property-specific information needed to refine a particular historic context or to develop any new historic contexts. (See the Guidelines for Preservation Planning for discussion of information gathering to establish plans and develop historic contexts.) The results of identification activities are then integrated into the planning process so that subsequent activities are based on the most up-to-date information. Identification activities are also undertaken in the absence of a comprehensive planning process, most frequently as part of a specific land use or development project. Even lacking a formally developed preservation planning process, the benefits of efficient, goal-directed research may be obtained by the development of localized historic contexts, suitable in scale for the project ares, as part of the background research which customarily occurs before field survey efforts.

Performing Identification

Research Design
Identification activities are essentially research activities for which a statement of objectives or research design should be prepared before work is performed. Within the framework of a comprehensive planning process, the research design provides a vehicle for integrating the various activities performed during the identification process and for linking those activities directly to the goals and the historic context(s) for which those goals were defined. The research design stipulates the logical integration of historic context(s) and field and laboratory methodology. Although these tasks may be performed individually, they will not contribute to the greatest extent possible in increasing information on the historic context unless they relate to the defined goals and to each other. Additionally, the research design provides a focus for the integration of interdisciplinary information. It ensures that the linkages between specialized activities are real, logical and address the defined research questions. Identification activities should be guided by the research design and the results discussed in those terms. (See Reporting Identification Results.)

The research design should include the following:

  1. Objectives of the identification activities. For example: to characterize the range of historic properties in a region; to identify the number of properties associated with a context; to gather information to determine which properties in an area are significant. The statement of objectives should refer to current knowledge about the historic contexts or property types, based on background research or assessments of previous research. It should clearly define the physical extent of the area to be investigated and the amount and kinds of information to be gathered about properties in the area.

  2. Methods to be used to obtain the information. For example: archival research or field survey. Research methods should be clearly and specifically related to research problems.

    Archival research or survey methods should be carefully explained so that others using the gathered information can understand how the information was obtained and what its possible limitations or biases are. The methods should be compatible with the past and present environmental character of the geographical area under study and the kinds of properties most likely to be present in the area.

  3. The expected results and the reason for those expectations. Expectations about the kind, number, location, character and condition of historic properties are generally based on a combination of background research, proposed hypotheses, and analogy to the kinds of properties known to exist in areas of similar environment or history.

Archival Research
Archival or background research is generally undertaken prior to any field survey. Where identification is undertaken as part of a comprehensive planning process, background research may have taken place as part of the development of the historic contexts (see the Guidelines for Preservation Planning). In the absence of previously developed historic contexts, archival research should address specific issues and topics. It should not duplicate previous work. Sources should include, but not be limited to, historical maps, atlases, tax records, photographs, ethnographies, folklife documentation, oral histories and other studies, as well as standard historical reference works, as appropriate for the research problem. (See the Guidelines for Historical Documentation for additional discussion.)

Field Survey
The variety of field survey techniques available, in combination with the varying levels of effort that may be assigned, give great flexibility to implementing field surveys. It is important that the selection of field survey techniques and level of effort be responsive to the management needs and preservation goals that direct the survey effort.

Survey techniques may be loosely grouped into two categories, according to their results. First are the techniques that result in the characterization of a region's historic properties. Such techniques might include "windshield" or walk-over surveys, with perhaps a limited use of sub-surface survey. For purposes of these Guidelines, this kind of survey is termed a "reconnaissance." The second category of survey techniques is those that permit the identification and description of specific historic properties in an area; this kind of survey effort is termed "intensive." The terms "reconnaissance" and "intensive" are sometimes defined to mean particular survey techniques, generally with regard to prehistoric sites. The use of the terms here is general and is not intended to redefine the terms as they are used elsewhere.

Reconnaissance survey might be most profitably employed when gathering data to refine a developed historic context-such as checking on the presence or absence of expected property types, to define specific property types or to estimate the distribution of historic properties in an area. The results of regional characterization activities provide a general understanding of the historic properties in a particular area and permit management decisions that consider the sensitivity of the area in terms of historic preservation concerns and the resulting implications for future land use planning. The data should allow the formulation of estimates of the necessity, type and cost of further identification work and the setting of priorities for the individual tasks involved. In most cases, areas surveyed in this way will require resurvey if more complete information is needed about specific properties.

A reconnaissance survey should document:

  1. The kinds of properties looked for;

  2. The boundaries of the area surveyed;

  3. The method of survey, including the extent of survey coverage;

  4. The kinds of historic properties present in the surveyed area;

  5. Specific properties that were identified, and the categories of information collected; and

  6. Places examined that did not contain historic properties.

Intensive survey is most useful when it is necessary to know precisely what historic properties exist in a given area or when information sufficient for later evaluation and treatment decisions is needed on individual historic properties. Intensive survey describes the distribution of properties in an area; determines the number, location and condition of properties; determines the types of properties actually present within the area; permits classification of individual properties; and records the physical extent of specific properties. An intensive survey should document:

  1. The kinds of properties looked for;

  2. The boundaries of the area surveyed;

  3. The method of survey, including an estimate of the extent of survey coverage;

  4. A record of the precise location of all properties identified; and

  5. Information on the appearance, significance, integrity and boundaries of each property sufficient to permit an evaluation of its significance.

Sampling
Reconnaissance or intensive survey methods may be employed according to a sampling procedure to examine less-than-the-total project or planning area.

Sampling can be effective when several locations are being considered for an undertaking or when it is desirable to estimate the cultural resources of an area. In many cases, especially where large land areas are involved, sampling can be done in stages. In this approach, the results of the initial large area survey are used to structure successively smaller, more detailed surveys. This "nesting" approach is an efficient technique since it enables characterization of both large and small areas with reduced effort. As with all investigative techniques, such procedures should be designed to permit an independent assessment of results.

Various types of sample surveys can be conducted, including, but not limited to: random, stratified and systematic. Selection of sample type should be guided by the problem the survey is expected to solve, the nature of the expected properties and the nature of the area to be surveyed.

Sample surveys may provide data to estimate frequencies of properties and types of properties within a specified area at various confidence levels. Selection of confidence levels should be based upon the nature of the problem the sample survey is designed to address.

Predictive modeling is an application of basic sampling techniques that projects or extrapolates the number, classes and frequencies of properties in unsurveyed areas based on those found in surveyed areas. Predictive modeling can be an effective tool during the early stages of planning an undertaking, for targeting field survey and for other management purposes. However, the accuracy of the model must be verified; predictions should be confirmed through field testing and the model redesigned and retested if necessary.

Special survey techniques
Special survey techniques may be needed in certain situations.

Remote sensing techniques may be the most effective way to gather background environmental data, plan more detailed field investigations, discover certain classes of properties, map sites, locate and confirm the presence of predicted sites, and define features within properties. Remote sensing techniques include aerial, subsurface and underwater techniques. Ordinarily the results of remote sensing should be verified through independent field inspection before making any evaluation or statement regarding frequencies or types of properties.

Integrating Identification Results

The results of identification efforts must be integrated into the planning process so that planning decisions are based on the best available information. The new information is first assessed against the objectives of the identification efforts to determine whether the gathered information meets the defined identification goals for the historic context(s); then the goals are adjusted accordingly. In addition, the historic context narrative, the definition of property types and the planning goals for evaluation and treatment are all adjusted as necessary to accommodate the new data.

Reporting Identification Results

Reporting of the results of identification activities should begin with the statement of objectives prepared before undertaking the survey. The report should respond to each of the major points documenting:

  1. Objectives;

  2. Area researched or surveyed;

  3. Research design or statement of objectives;

  4. Methods used, including the intensity of coverage. If the methods differ from those outlined in the statement of objectives, the reasons should be explained.

  5. Results: how the results met the objectives; result analysis, implications and recommendations; where the compiled information is located.

A summary of the survey results should be available for examination and distribution. Identified properties should then be evaluated for possible inclusion in appropriate inventories.

Protection of information about archeological sites or other properties that may be threatened by dissemination of that information is necessary. These may include fragile archeological properties or properties such as religious sites, structures, or objects, whose cultural value would be compromised by public knowledge of the property's location.



Recommended Sources of Technical Information
Current Recommendations

Archaeological Method and Theory: An Encyclopedia. Linda Ellis, editor. Garland Publishing, Inc., New York, 2000.

Archaeological Prospecting and Remote Sensing. I. Scollar, A. Tabbagh, A. Hesse, and I. Herzog. Cambridge University Press, Cambridge, 1990.

"The Character of Surface Archaeological Deposits and its Influence on Survey Accuracy." L. Wandsnider and E. L. Camilli. Journal of Field Archaeology 19:169-188, 1992.

"Comments on the Case for Full-Coverage Survey." Keith W. Kintigh. In The Archaeology of Regions: A Case for Full-Coverage Survey. S. K. Fish and S. A. Kowalewski, editors. Pp. 237-242. Smithsonian Institution Press, Washington, DC, 1990.

"Conclusions." Suzanne K. Fish and Stephen A. Kowalewski. In The Archaeology of Regions: A Case for Full-Coverage Survey. S. K. Fish and S. A. Kowalewski, editors. Pp. 261-277. Smithsonian Institution Press, Washington, DC, 1990.

"Decision Making in Modern Surveys." S. Plog, F. Plog, and W. Wait. In Advances in Archaeological Method and Theory Vol. 1. M. B. Schiffer, editor. Pp. 383-421. Academic Press, New York, 1978.

"The Design of Archaeological Surveys." M. B. Schiffer, A. P. Sullivan, and T. C. Klinger. World Archaeology 10:1-28, 1978.

"Discovering Sites Unseen." F. P. McManamon. In Advances in Archaeological Method and Theory, Vol. 7. M. B. Schiffer, editor. Pp. 223-292. Academic Press, 1984. New York.

Distributional Archaeology. James Ebert. University of New Mexico Press, Albuquerque, 1992.

"The Effectiveness of Subsurface Testing: A Simulation Approach." Keith W. Kintigh. American Antiquity 53:686-707, 1988.

"The Expanding Role of Surface Assemblages in Archaeological Research." Dennis E. Lewarch and Michael J. O'Brien. Advances in Archaeological Method and Theory, Vol. 4. M. B. Schiffer, editor. Pp. 297-342. Academic Press, New York, 1981.

Field Methods in Archaeology, 7th edition. Thomas R. Hester, Harry J. Shafer, and Kenneth L. Feder. Mayfield Publishing Company, Mountain View, CA, 1997.

"Geophysical Exploration for Archaeology: An Introduction to Geophysical Exploration." Bruce W. Bevan. Midwest Archeological Center Special Report No. 1. Department of the Interior, National Park Service, Midwest Archeological Center, Lincoln, Nebraska, 1998.

Guidelines for Local Surveys: A Basis for Preservation Planning (WordPerfect file or .zip file) Anne Derry, H. Ward Jandl, Carol Shull and Jan Thorman. National Register Division, U.S. Department of the Interior, 1978, revised 1985.

Historical Archaeology. Charles E. Orser, Jr. and Brian M. Fagan. HarperCollins College Publishers, New York, 1995.

Interpreting Space: GIS and Archaeology. Kathleen M. S. Allen, Stanton W. Green, and Ezra B. W. Zubrow, editors. Taylor and Francis, New York, 1990.

Principles of Archaeological Stratigraphy. E.C. Harris. 2nd ed. Academic Press Inc, San Diego, 1989.

"Red Flag Models: The Use of Modelling in Management Contexts." Jeffery H. Altschul. In Interpreting Space: GIS and Archaeology. Kathleen M. S. Allen, Stanton W. Green, and Ezra B. W. Zubrow, editors. Pp. 226-238. Taylor and Francis, New York, 1990.

"Regional Surveys in the Eastern United States: The Strengths and Weaknesses of Implementing Subsurface Testing Programs." K. G. Lightfoot. American Antiquity 51(3):484-504, 1986.

"Sampling in Archaeological Surveys: A Critique." S. Plog. American Antiquity 38(1):280-285, 1978.

"A Shot in the Dark: Shott's Comments on Nance and Ball." Jack D. Nance and Bruce F. Ball. American Antiquity 54 (2):405-412, 1989.

"Shovel Test Sampling as a Site Discovery Technique: A Case Study from Michigan." Michael J. Shott. Journal of Field Archaeology 12:458-469, 1985.

"Shovel-test Sampling in Archaeological Survey: Comments on Nance and Ball, and Lightfoot." Michael J. Shott. American Antiquity 54:396-404, 1989.

"The Siteless Survey: A Regional Scale Data Collection Strategy." R. Dunnell and W. Dancey. In Advances in Archaeological Method and Theory, Vol. 5. M. B. Schiffer, editor. Pp. 267-287. Academic Press, New York, 1983.

"Surface Collection, Sampling, and Research Design: A Retrospective." C. L. Redman. American Antiquity 52(2):249-265, 1987.

"Survey Design, Theory." Allen P. Sullivan III. In Archaeological Method and Theory: An Encyclopedia, Linda Ellis, editor. Pp. 600-605. Garland Publishing, Inc., New York, 2000.

"Surveying and Site Examination, Manual Methods." Francis P. McManamon. In Archaeological Method and Theory: An Encyclopedia. Linda Ellis, editor. Pp. 605-609. Garland Publishing, Inc., New York, 2000.

Property Types:

Guidelines for Identifying, Evaluating and Registering Aids to Navigation (WordPerfect file). Department of the Interior, National Park Service, National Register, History and Education, 1990.

Guidelines for Evaluating and Documenting Historic Aviation Properties. Department of the Interior, National Park Service, National Register, History and Education, 1998.

Guidelines for Identifying, Evaluating and Registering America's Historic Battlefields. Department of the Interior, National Park Service, National Register, History and Education, 1992.

Guidelines for Evaluating and Registering Cemeteries and Burial Place. Department of the Interior, National Park Service, National Register, History and Education, 1992.

How to Evaluate and Nominate Designed Historic Landscapes. Department of the Interior, National Park Service, National Register, History and Education, 1990.

Guidelines for Evaluating and Registering Historical Archeological Sites (WordPerfect file or .zip file). Department of the Interior, National Park Service, National Register, History and Education, 1992, revised 1999.

Guidelines for Identifying, Evaluating and Registering Historic Mining Properties. Department of the Interior, National Park Service, National Register, History and Education, 1992, revised 1997, 1999.

How to Apply the National Register Criteria for Post Offices (WordPerfect file). Department of the Interior, National Park Service, National Register, History and Education, 1984, revised 1994.

Guidelines for Evaluating and Nominating Properties that Have Achieved Siginificance in the Past Fifty Years. Department of the Interior, National Park Service, National Register, History and Education, 1979, revised, 1990, 1996, 1998.

Guidelines for Evaluating and Documenting Rural Historic Landscapes. Department of the Interior, National Park Service, National Register, History and Education, 1991, revised 1999.

Guidelines for Evaluating and Documenting Properties Associated with Significant Persons. Department of the Interior, National Park Service, National Register, History and Education, 1989.

Guidelines for Evaluating and Documenting Traditional Cultural Properties. Department of the Interior, National Park Service, National Register, History and Education, 1990, revised 1992, 1998.

Nominating Historic Vessels and Shipwrecks to the National Register of Historic Places. Department of the Interior, National Park Service, National Register, History and Education, 1992.


The Archeological Survey: Methods and Uses. Thomas F. King. Interagency Archeological Services, U.S. Department of the Interior, 1978. Washington, D.C. Available through the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402. GPO stock number 024-016-00091. Written primarily for the non-archeologist, this publication presents methods and objectives for archeological surveys.

Cultural Resources Evaluation of the Northern Gulf of Mexico Continental Shelf. National Park Service, U.S. Department of the Interior, 1977.

The Process of Field Research: Final Report on the Blue Ridge Parkway Folklife Project. American Folklife Center, 1981.

Regional Sampling in Archeology. David Hurst Thomas. University of California, Archeological Survey Annual Report, 1968-9, 11:87-100.

Remote Sensing: A Handbook for Archeologists and Cultural Resource Managers. Thomas R. Lyons and Thomas Eugene Avery. Cultural Resource Management Division, National Park Service, U.S. Department of the Interior, 1977.

Remote Sensing and Non-Destructive Archeology. Thomas R. Lyons and James L. Ebert, editors. Remote Sensing Division, Southwest Cultural Resources Center, National Park Service, U.S. Department of the Interior and University of New Mexico, 1978.

Remote Sensing Experiments in Cultural Resource Studies: Non-Destructive Methods of Archeological Exploration, Survey and Analysis. Thomas R. Lyons, assembler. Reports of the Chaco Center, Number One. National Park Service, U.S. Department of the Interior and University of New Mexico, 1976.

Sampling in Archeology. James W. Mueller, editor. University of Arizona Press, 1975. Tucson, Arizona.

Scholars as Contractors. William J. Mayer-Oakes and Alice W. Portnoy, editors. Cultural Resource Management Studies. U.S. Department of the Interior, 1979.

Sedimentary Studies of Prehistoric Archeological Sites. Sherwood Gagliano, Charles Pearson, Richard Weinstein, Diana Wiseman, and Christopher McClendon. Division of State Plans and Grants, National Park Service, U.S. Department of the Interior, 1982. Washington, D.C. Available from Coastal Environments Inc., 1260 Main Street, Baton Rouge, Louisiana 70802. Establishes and evaluates a method for employing sedimentological analysis in distinguishing site areas from non-site areas when identifying submerged archeological sites on the continental shelf.

State Survey Forms. Available from Interagency Resource Management Division, National Park Service, U.S. Department of the Interior, Washington, D.C. 20240. Characterizes cultural resource survey documentation methods in State Historic Preservation Offices.

Truss Bridge Types: A Guide to Dating and Identifying. Donald C. Jackson and T. Allan Comp. American Association for State and Local History, 1977. Nashville, Tennessee. Technical leaflet #95. Available from AASLH, 172 Second Avenue North, Nashville, Tennessee 37201. Information about performing surveys of historic bridges and identifying the types of properties encountered.

Archeology & Ethnography Program

National Register of Historic Places

Society for Historical Archaeology

Society of American Archaeology

State Historic Preservation Offices (SHPO)
Many SHPO Offices have prepared survey manuals and guides for survey projects, many of which might be available.


Secretary of the Interior's Standards for Evaluation

Evaluation is the process of determining whether identified properties meet defined criteria of significance and therefore should be included in an inventory of historic properties determined to meet the criteria. The criteria employed vary depending on the inventory's use in resource management.

Standard I. Evaluation of the Significance of Historic Properties Uses Established Criteria

The evaluation of historic properties employs criteria to determine which properties are significant. Criteria should therefore focus on historical, architectural, archeological, engineering and cultural values, rather than on treatments. A statement of the minimum information necessary to evaluate properties against the criteria should be provided to direct information gathering activities.

Because the National Register of Historic Places is a major focus of preservation activities on the Federal, State and local levels, the National Register criteria have been widely adopted not only as required for Federal purposes, but for State and local inventories as well. The National Historic Landmark criteria and other criteria used for inclusion of properties in State historic site files are other examples of criteria with different management purposes.

Standard II. Evaluation of Significance Applies the Criteria Within Historic Contexts

Properties are evaluated using a historic context that identifies the significant patterns that properties represent and defines expected property types against which individual properties may be compared. Within this comparative framework, the criteria for evaluation take on particular meaning with regard to individual properties.

Standard III. Evaluation Results in A List or Inventory of Significant Properties That Is Consulted In Assigning Registration and Treatment Priorities

The evaluation process and the subsequent development of an inventory of significant properties is an on-going activity. Evaluation of the significance of a property should be completed before registration is considered and before preservation treatments are selected. The inventory entries should contain sufficient information for subsequent activities such as registration or treatment of properties, including an evaluation statement that makes clear the significance of the property within one or more historic contexts.

Standard IV. Evaluation Results Are Made Available to the Public

Evaluation is the basis of registration and treatment decisions. Information about evaluation decisions should be organized and available for use by the general public and by those who take part in decisions about registration and treatment. Use of appropriate computer-assisted data bases should be a part of the information dissemination effort. Sensitive information, however, must be safeguarded from general public distribution.



Secretary of the Interior's Guidelines for Evaluation

Introduction

These Guidelines link the Standards for Evaluation with more specific guidance and technical information. These Guidelines describe one approach to meeting the Standards for Evaluation. Agencies, organizations, or individuals proposing to approach evaluation differently may wish to review their approach with the National Park Service.

The Guidelines are organized as follows:
The Evaluation Process
Criteria
Application of Criteria within a Historic Context
Inventory
Recommended Sources of Technical Information

The Evaluation Process

These Guidelines describe principles for evaluating the significance of one or more historic properties with regard to a given set of criteria.

Groups of related properties should be evaluated at the same time whenever possible; for example, following completion of a theme study or community survey.

Evaluation should not be undertaken using documentation that may be out of date. Prior to proceeding with evaluation the current condition of the property should be determined and previous analyses evaluated in light of any new information.

Evaluation must be performed by persons qualified by education, training and experience in the application of the criteria. Where feasible, evaluation should be performed in consultation with other individuals experienced in applying the relevant criteria in the geographical area under consideration; for example, the State Historic Preservation Officer or local landmarks commission.

Evaluation is completed with a written determination that a property is or is not significant based on provided information. This statement should be part of the record.

Criteria

The purposes of evaluation criteria should be made clear. For example, the criteria may be used "to evaluate properties for inclusion in the county landmarks list," or "to implement the National Register of Historic Places program."

For Federal cultural resource management purposes, criteria used to develop an inventory should be coordinated with the National Register criteria for evaluation as implemented in the approved State comprehensive historic preservation plan.

Content of Criteria: Criteria should be appropriate in scale to the purpose of the evaluation. For example, criteria designed to describe national significance should not be used as the basis for creating a county or State inventory. Criteria should be categorical and not attempt to describe in detail every property likely to qualify. Criteria should outline the disciplines or broad areas of concern (history, archeology, architectural history, engineering and culture, for example) included within the scope of the inventory; explain what kinds of properties, if any, are excluded and the reasons for exclusion; and define how levels of significance are measured, if such levels are incorporated into the criteria. If the criteria are to be used in situations where the National Register criteria are also widely used, it is valuable to include a statement explaining the relationship of the criteria used to the National Register criteria, including how the scope of the inventory differs from that defined by the National Register criteria and how the inventory could be used to identify properties that meet the National Register criteria.

Information Needed to Evaluate Properties: The criteria should be accompanied by a statement defining the minimum information necessary to evaluate properties to insure that this information is collected during identification activities intended to locate specific historic properties. Generally, at least the following will be needed:

    1. Adequately developed historic contexts, including identified property types. (See the Guidelines for Preservation Planning for discussion of development of historic contexts.)

    2. Sufficient information about the appearance, condition and associative values of the property to be evaluated to:

To facilitate distinguishing between facts and analysis, the information should be divided into categories including identification and description of pertinent historical contexts; description of the property and its significance in the historical context; and analysis of the integrity of the property relative to that needed to represent the context.

Usually documentation need not include such items as a complete title history or biography of every owner of a property, except where that information is important in evaluating its significance. Information on proposed or potential treatments or threats, such as destruction of a property through uncontrollable natural processes, is also not needed for evaluation, unless those effects are likely to occur prior to or during the evaluation, thereby altering the significant characteristic of the property. If archeological testing or structural analysis is needed for evaluation, it should not proceed beyond the point of providing the information necessary for evaluation and should not unnecessarily affect significant features or values of the property.

When more information is needed: Evaluation cannot be conducted unless all necessary information is available. (See Information Needed to Evaluate Properties.) Any missing information or analysis should be identified (e.g. development of context or information on the property) as well as the specific activities required to obtain the information (archival research, field survey and testing, or laboratory testing). When adequate information is not available, it is important to record that fact so that evaluation will not be undertaken until the information can be obtained. In some cases needed information is not obtainable, for example, where historical records have been destroyed or analytical techniques have not been developed to date materials in archeological sites. If an evaluation must be completed in these cases, it is important to acknowledge what information was not obtainable and how that missing information may affect the reliability of the evaluation.

Application of the Criteria within a Historic Context

The first step in evaluation is considering how the criteria apply to the particular historic context. This is done by reviewing the previously developed narrative for the historic context and determining how the criteria would apply to properties in that context, based on the important patterns, events, persons and cultural values identified. (See the discussion of the historic context narrative in the Guidelines for Preservation Planning.) This step includes identification of which criteria each property type might meet and how integrity is to be evaluated for each property type under each criterion. Specific guidelines for evaluating the eligibility of individual properties should be established. These guidelines should outline and justify the specific physical characteristics or data requirements that an individual property must possess to retain integrity for the particular property type; and define the process by which revisions or additions can be made to the evaluation framework.

Consideration of property type and integrity: After considering how the criteria apply to the particular historic context, the evaluation process for a property generally includes the following steps:

    1. A property is classified as to the appropriate historic context(s) and property type(s). If no existing property type is appropriate, a new property type is defined, its values identified, and the specific characteristics or data requirements are outlined and justified as an addition to the historic context. If necessary, a new historic context is defined for which values and property types and their integrity requirements are identified and justified.

    2. A comparison is made between the existing information about the property and the integrity characteristics or data required for the property type.

The evaluation should state how the particular property meets the integrity requirements for its type. When a property is disqualified for loss of integrity, the evaluation statement should focus on the kinds of integrity expected for the property type, those that are absent for the disqualified property, and the impact of that absence on the property's ability to exemplify architectural, historical or research values within a particular historic context.

The integrity of the property in its current condition, rather than its likely condition after a proposed treatment, should be evaluated. Factors such as structural problems, deterioration, or abandonment should be considered in the evaluation only if they have affected the integrity of the significant features or characteristics of the property.

Inventory

An inventory is a repository of information on specific properties evaluated as significant.

Content: The inventory should include:

  1. Summaries of the important historic contexts. These may be in the form of an approved plan or analysis of historic contexts important in the history of the geographical area covered by the inventory.

  2. Descriptions of significant property types of these contexts, whether or not any specific properties have been identified.

  3. Results of reconnaissance surveys or other identification activities, even if the level of information on specific properties identified as part of those activities is not sufficient to evaluate individual properties.

  4. Information on individual properties that was used in evaluation.

Maintenance: Inventory entries should be maintained so that they accurately represent what is known about historic properties in the area covered by the inventory. This will include new information gained from research and survey about the historic contexts, property types, and previously evaluated properties, as well as information about newly evaluated properties. For individual properties, addition of kinds of significance, change in the boundaries, or loss of significance through demolition or alteration should be recorded.

Uses and Availability: An inventory should be managed so that the information is accessible. Its usefulness depends on the organization of information and on its ability to incorporate new information. An inventory should be structured so that entries can be retrieved by locality or by historic context.

The availability of the inventory information should be announced or a summary should be distributed. This may be in the form of a list of properties evaluated as significant or a summary of the historic contexts and the kinds of properties in the inventory. Inventories should be available to managers, planners, and the general public at local, State, regional, and Federal agency levels.

It is necessary to protect information about archeological sites or other properties whose integrity may be damaged by widespread knowledge of their location. It may also be necessary to protect information on the location of properties such as religious sites, structures, or objects whose cultural value would be compromised by public knowledge of the property's location.


Recommended Sources of Technical Information
Current Recommendations

Archaeological Method and Theory: An Encyclopedia. Linda Ellis, editor. Garland Publishing, Inc., New York, 2000.

Cultural Resource Significance Evaluation: Proceedings of a U.S. Army Corps of Engineers Workshop 3-4 October 1994, Vicksburg, Mississippi. Frederick L. Briuer and Clay Mathers, editors. US. Army Corps of Engineers, IWR Report 96-EL-3, 1996.

Defining Boundaries for National Register Properties (WordPerfect file). Department of the Interior, National Park Service, National Register, History and Education, 1995.

Geophysical Exploration for Archaeology: An Introduction to Geophysical Exploration. Bruce W. Bevan. Midwest Archeological Center Special Report No. 1. Department of the Interior, National Park Service, Midwest Archeological Center, Lincoln, Nebraska, 1998.

"Other Questions that Count: Introductory Comments on Assessing Significance in Historical Archaeology." William B. Lees and Vergil E. Noble. Historical Archaeology 24(2):10-13, 1990.

Researching a Historic Property. Department of the Interior, National Park Service, National Register, History and Education, 1991, revised 1998.

Settler Communities in the West: Historic Contexts for Cultural Resource Managers of Department of Defense Lands. Robert Lyon, editor. National Park Service, Rocky Mountain Region, 1994.

National Park Service, 1994, Thematic Framework. Department of the Interior, National Park Service.

Trends and Patterns in Cultural Resource Significance: An Historical Perspective and Annotated Bibliography (.pdf file). Frederick L. Briuer and Clay Mathers. U.S. Army Corps of Engineers Water Resources Support Center IWR Report 96-EL-1, 1996.

Property Types:

Guidelines for Identifying, Evaluating and Registering Aids to Navigation (WordPerfect file). Department of the Interior, National Park Service, National Register, History and Education, 1990.

Guidelines for Evaluating and Documenting Historic Aviation Properties. Department of the Interior, National Park Service, National Register, History and Education, 1998.

Guidelines for Identifying, Evaluating and Registering America's Historic Battlefields. Department of the Interior, National Park Service, National Register, History and Education, 1992.

Guidelines for Evaluating and Registering Cemeteries and Burial Place. Department of the Interior, National Park Service, National Register, History and Education, 1992.

How to Evaluate and Nominate Designed Historic Landscapes. Department of the Interior, National Park Service, National Register, History and Education, 1990.

Guidelines for Evaluating and Registering Historical Archeological Sites (WordPerfect file or .zip file). Department of the Interior, National Park Service, National Register, History and Education, 1992, revised 1999.

Guidelines for Identifying, Evaluating and Registering Historic Mining Properties. Department of the Interior, National Park Service, National Register, History and Education, 1992, revised 1997, 1999.

How to Apply the National Register Criteria for Post Offices (WordPerfect file). Department of the Interior, National Park Service, National Register, History and Education, 1984, revised 1994.

Guidelines for Evaluating and Nominating Properties that Have Achieved Siginificance in the Past Fifty Years. Department of the Interior, National Park Service, National Register, History and Education, 1979, revised 1990, 1996, 1998.

Guidelines for Evaluating and Documenting Rural Historic Landscapes. Department of the Interior, National Park Service, National Register, History and Education, 1991, revised 1999.

Guidelines for Evaluating and Documenting Properties Associated with Significant Persons. Department of the Interior, National Park Service, National Register, History and Education, 1989.

Guidelines for Evaluating and Documenting Traditional Cultural Properties. Department of the Interior, National Park Service, National Register, History and Education, 1990, revised 1992, 1998.

Nominating Historic Vessels and Shipwrecks to the National Register of Historic Places. Department of the Interior, National Park Service, National Register, History and Education, 1992.