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DIRECTOR'S ORDER 28B:
ARCHEOLOGY Approved: Effective Date: Sunset Date: This Director's Order (DO) supplements DO #28, "Cultural Resources Management," and, augmented by procedures in the reference manual, the NPS Archeology Guide, supersedes the following National Park Service directives:
Table of Contents 1. Purpose 1. PURPOSE National Park Service Management Policies affirm a long-term commitment to the appropriate investigation, documentation, preservation, interpretation, and protection of archeological resources inside units of the National Park System. Some national parks, for example Mesa Verde NP and Colonial NHP, were established specifically for the commemorative, educational, and scientific values of their archeological resources. Other National Parks, for example Cape Cod NS, Yellowstone NP, and Olympic NP, were not established with archeological resources in mind, yet contain thousands of archeological sites. All of the archeological resources in parks are subject to the care and management required by laws, regulations, policies, Director's Orders and guidelines described and referred to here. This DO provides information needed to implement those laws and policies when carrying out certain activities. It promotes a common management framework for planning, reviewing, and undertaking archeological activities and other activities that may affect archeological resources within the National Park System. This DO also addresses the manner in which the Service will meet its archeological assistance responsibilities outside the national parks. General archeological requirements are covered in DO #28: Cultural Resource Management, and the Cultural Resource Management Guideline Release No. 5. This DO and its reference manual provide more specific guidance on selected archeological topics. 2. BACKGROUND As one of the principal stewards of America's heritage, the National Park Service is charged with the preservation of the commemorative, educational, scientific, and traditional cultural values of archeological resources for the benefit and enjoyment of present and future generations. The Service does this through (1) archeological resource stewardship within the national parks, and (2) assistance to partners, including Federal, State, tribal, and local government agencies; individuals; and private organizations outside the national parks. Archeological resources are nonrenewable and irreplaceable, so it is important that all management decisions and activities throughout the National Park System reflect a commitment to the conservation of archeological resources as elements of our national heritage. Although the Service may undertake actions that have both beneficial and adverse impacts on park resources, the Service is prohibited from taking or authorizing action that would, or is likely to, impair park resources or values. (See DO #12 and web site at www.nps.gov/protect for further discussion of impairment.) The value of these resources is enhanced when information from their study is used as a source for accurate and accessible public interpretation. Effective management of archeological resources requires cooperation with other programs within the National Park Service and with partners. Historically, the National Park Service has contributed its expertise to assisting such partners in meeting their archeological management and stewardship responsibilities. 3. AUTHORITIES The authority to issue this Director's Order is found in 16 USC 1 through 4 (the National Park Service Organic Act), in the delegations of authority contained in Part 245 of the Department of the Interior Manual (245 DM 1), and in the responsibilities set forth in Part 519 of the Department of the Interior Manual (519 DM 1 and 519 DM 2). There are other statutes and implementing regulations that authorize and guide the Service's management of archeological resources on National Park Service lands, and National Park Service archeological assistance to other public agencies and organizations and individuals. These include, but are not limited to:
Specific delegations of authority under these acts are identified by program area in the following section. 4. RESPONSIBILITIES AND DELEGATIONS OF AUTHORITY
Authority for developing archeological policies and other guidance for the National Park System is delegated to the Associate Director for Cultural Resource Stewardship and Partnerships (Associate Director). The Associate Director has assigned responsibility for oversight and development of the archeology program in national parks to the National Park Service Chief Archeologist, who also serves as the Manager of the Archeology and Ethnography program in the National Center for Cultural Resources. The Associate Director coordinates with the Regional Directors in carrying out the statutory and regulatory responsibilities for managing archeological resources. Archeological resources include archeological sites and archeological collections. The latter include material remains and associated records, including graphic, written and electronic records, and reports about sites and collections. Superintendents are responsible for meeting all statutory and regulatory
compliance obligations and for ensuring overall stewardship of these resources
within their parks, including identification, evaluation, registration,
documentation, treatment, protection, preservation, monitoring, research,
and interpretation. 4A(1) Antiquities Act and Archaeological
Resources Protection Act. The Associate Director has delegated authority to issue permits under
the Antiquities Act and the Archaeological Resources Protection Act (ARPA)
to the Regional Directors. This authority cannot be delegated. Regional
Directors can issue permits on behalf of Federal agencies that do not
have their own authority to issue permits. The Regional Directors coordinate
with Superintendents and the appropriate National Park Service Section 10 (c) of ARPA requires that Federal land managers establish a program to increase public awareness of the significance of archeological resources and the need to protect such resources. Individual Superintendents at parks with recognized archeological resources will incorporate information about these topics in park interpretive programs. The Service also has public outreach and education programs for archeology that operate at centers, support offices, regional offices and the National Center for Cultural Resources. Support offices, regional offices, centers, and parks often establish such programs and frequently do so with appropriate partners, such as State archeological societies or educational institutions. 4A(2) National Historic Preservation
Act and National Environmental Policy Act. 4A(3) Native American Graves Protection
and Repatriation Act. 4A(4) Regulations at 36 CFR Part
79. Curation of Federally-Owned and Administered Archeological Collections.
The Secretary of the Interior has delegated to the Departmental Consulting Archeologist (DCA) certain secretarial responsibilities for acts that provide for archeological coordination and archeological assistance to other public agencies and archeological organizations and individuals (See 519 DM 1 and 2). Organizationally, the office of the DCA is located in the National Center for Cultural Resources. The DCA is also the Chief Archeologist for the National Park Service and Manager of the Archeology and Ethnography Program. The Department of the Interior's supplemental regulations for ARPA (43 CFR 7, Subpart B) identify the DCA as the official who may review determinations about whether certain materials are archeological resources as defined by ARPA. This issue may surface, for example, in responding to requests to recover treasure trove on parks or other Federal lands. The DCA also may review issues involved in archeological permit reviews and disputes. The DCA makes recommendations to the involved Federal land manager, as defined in ARPA and its regulations, who takes the recommendations under advisement. The DCA may request assistance from the Regional Directors or Superintendents who, in consultation with the DCA, will direct staff members, as appropriate. 4B(1) Archeological and Historic
Preservation Act. 4B(2) Reporting under the Archaeological
Resources Protection Act and the Archeological and Historic Preservation
Act. The DCA requests from all Federal agencies information about their annual archeological activities, including ARPA activities, to include in the Secretary's report (ARPA Sec. 10(c); 43CFR7.19). Regional Directors and Superintendents are responsible for the timely submission of information about archeological activities in units of the National Park System. Parks submit their data to the coordinating archeologist at a center, system support office, or regional office, who then compiles the data and forwards the information to the DCA. The DCA may request annual reports on archeological activities directly from parks, centers, regional offices and system support offices or may request such information through the Associate Director or Director. 5. ARCHEOLOGICAL PROGRAM REQUIREMENTS IN NATIONAL PARKS Under this DO, Regional Directors and Superintendents or their designated representatives are responsible for the overall management of archeological resources in parks. This is accomplished through a systematic program of activities for the identification, evaluation, documentation, registration, treatment, protection, preservation, monitoring, research, and interpretation of those resources. These activities must meet certain operational requirements within five broad categories of responsibilities, as described below. The NPS Archeology Guide provides further guidance and information about best practices for meeting these requirements and responsibilities.
Effective care for archeological resources requires accurate, current information about their locations, characteristics, significance, condition, and threats they face. Standardized management information is summarized in ASMIS, however, for each site and collection, more extensive and specific electronic and paper records will be maintained. Superintendents are responsible for collecting, maintaining, and updating these kinds of information, including information about archeological collections and records, as well as sites. A variety of finding sources may be used to provide or improve such information, including Cultural Resource Preservation Program, cyclic, cultural cyclic, lump sum, development, fee demo, and other funding sources. The National Park Service has a strategic goal of maintaining at least 50 percent of its known archeological sites in good condition. Superintendents need to ensure effective monitoring of site condition and take steps to maintain sites in good condition and, when possible, to improve the condition of sites from lower levels to good condition. Good stewardship includes public interpretation of park archeological resources. ARPA (Sec. 10(c); 43 CFR 7.20) requires land managers -- Superintendents in the case of National Park Service -- to provide interpretive programs about the importance of archeological resources in their parks. Superintendents are responsible for maintaining the confidentiality of information about in situ archeological resources, unless the release of information enhances the preservation and possibly the public interpretation of the resource. See NHPA section 304 and ARPA section 9. They also must ensure the effective care and curation of archeological collections (including reports and data), budget adequately for curation, identify appropriate repository(s), and facilitate the appropriate exchange and sharing of information for the public benefit. See DO #19: Records Management, DO #24: Museum Collections Management, and 36 CFR 79. Superintendents are responsible to annually complete and submit information on site inventory and condition assessment through ASMIS.
Potential effects of park operations and development on archeological resources must be considered in the earliest stages of project planning so that potentially damaging effects can be avoided or resolved. This is accomplished through general management planning, strategic planning, and implementation planning (e.g., development plans, land protection plans, and other action plans) that direct or influence park operations and development (see DO #2 and other applicable directives). It is equally important to ensure that interpretive planning makes full use of and incorporates, as appropriate, information about archeological resources within and near parks (see DO #6). Planning in advance for archeology includes ensuring that adequate funding to undertake such activities is provided as part of projects and programs. It is National Park Service policy to ensure that archeological resources under its stewardship are conserved, protected, and managed to prevent the impairment of archeological resources or their values (See DO #12). Information about the location, characteristics and significance of archeological resources in parks is incomplete. The lack of reliable information weakens the ability of park managers, planners, interpreters, law enforcement officers and others in carrying out their responsibilities. The Servicewide Archeological Inventory Program partially addresses some park management needs and some provisions of Section 110 of the NHPA. Other funding sources also provide information for planning and impact analysis. Effective project planning meets the identification, evaluation, analysis, consultation, documentation, and other requirements of sections 106 and 110 of NHPA, the Programmatic Agreement with the National Conference of State Historic Preservation Officers, and NEPA regulations, including appropriate consultation with the State Historic Preservation Officer and/or the Tribal Historic Preservation Officer, and other appropriate parties on project review, site evaluation and registration, and public participation (See DO #12 and DO #28). Effective project planning uses databases such as ASMIS and other park records about archeological resources. Planning activities require full use of the rich information contained in archeological resources, including collections and records. In the event of unanticipated effects on archeological resource as part of a National Park Service "undertaking," Superintendents are responsible for proper notification and following procedures under either the Archeological and Historic Preservation Act or the NHPA Section 106 regulations (See 36 CFR 800.13). If the discovery occurs under circumstances unrelated to a Federal "undertaking," NHPA Section 110 applies. If Native American, Native Hawaiian, or Native Alaskan human remains are discovered, Superintendents are responsible for careful recording and, if appropriate, excavation and documentation of the discovery, consistent with the requirements of ARPA, and for notifying and consulting with likely or known culturally affiliated tribes, as required by the NAGPRA regulations, in order to determine the most appropriate disposition for the human remains. Superintendents should develop procedures describing how archeological sites will be taken into account during emergency operations, including imminent threats to life or property, such as fires, floods, and other disasters. The nature of consultation required in developing such procedures will vary depending on the extent of the actions covered by the procedures. See 36 CFR 800.12. Superintendents are responsible for ensuring that the provisions in all plans (including annual work plans) for following Federal statutes and regulations, and National Park Service policies and other guidance pertaining to archeology are implemented. Superintendents are responsible for following Federal statutes and regulations, and National Park Service policies and other guidance pertaining to archeology for activities that take place off park lands as part of a Federal "undertaking." Examples of such activities include gravel or borrow pit operations and land exchanges. See Section 110 (a)(2)(c) of the NHPA.
Superintendents are responsible to ensure that the terms and conditions of the archeological permits issued by the Regional Director are appropriate to the project and fully enforced and that the archeological resources are protected. Superintendents and law enforcement and resource management staff are responsible for enforcing criminal and civil provisions in the Antiquities Act, ARPA, National Park System Resources Protection Act (16 USC 19jj), and other protection laws and regulations relating to these resources. Superintendents annually will submit ARPA enforcement information for inclusion in the Secretary of the Interior's Report to Congress on Federal Archeological Programs. Data are submitted to and consolidated at the regional level. Prior to issuing Commercial Use Authorizations, special use permits, research permits, and other park-specific permits, Regional Directors or Superintendents must ensure that the proposed permitted activities are reviewed by a National Park Service archeologist for evaluation of potential impacts on archeological resources. Recommendations for improvements, including avoiding or resolving potentially damaging effects should be incorporated into the permit requirements. Permits must contain appropriate conditions or stipulations to avoid or resolve potentially damaging effects and to ensure compliance with ARPA and NHPA.
Prior to signing contracts for maintenance, leasing, visitor services, and other activities pertaining to their park, Superintendents must ensure that the proposed contracted activities are reviewed by a National Park Service archeologist for evaluation of potential effects on archeological resources and recommendations for avoiding or resolving potentially damaging effects. Contracts must contain appropriate conditions or stipulations to avoid or resolve potentially damaging effects. Superintendents must ensure that any contracts pertaining to their parks have been reviewed for potential effects on archeological resources. Contracted activities must comply with ARPA and NHPA. If archeological services are contracted for, all aspects of the activities must meet National Park Service requirements described in law, regulation, Management Policies, Director's Orders, and related guidance.
5E(1) Government Performance and
Results Act (GPRA). To meet performance plan targets and report on accomplishments, Superintendents are responsible for identifying, evaluating, and documenting archeological resources on park lands, monitoring, and maintaining or improving the condition of those sites, and maintaining a specific set of data about the sites for inclusion in the Servicewide ASMIS. Superintendents must ensure that appropriate up-to-date ASMIS records are submitted annually for park and national reporting. It is the responsibility of the Superintendent to implement a program of archeological conservation, identification, evaluation, documentation, and nomination of archeological properties to the National Register of Historic Places. It is the responsibility of the park, center, cluster, or regional archeological personnel, including ASMIS coordinators, to provide the technical support for this program, including entering data into the ASMIS database. National Park Service archeologists are responsible for advising and assisting Superintendents in carrying out the activities specified in this DO. This advice and assistance includes maintaining ASMIS, evaluating National Register significance and nominating qualifying sites, assessing site condition, reporting annually on accomplishments, and providing sound, well-informed, professional advice. Superintendents have the responsibilities for acquiring, preserving, protecting, documenting (including accessioning, cataloging, lending, deaccessioning), accessioning, and using museum collections. Superintendents are required to gather, compile, and submit a specific set of data about archeological collections for inclusion in the Servicewide Automated National Catalog (ANCS+) for reporting under GPRA (Goal IB2). See DO #24. To meet their performance goals, National Park Service staff are responsible for maintaining the park's ANCS+ records; ensuring that archeological projects provide funding for archeological collection management activities (cataloging, storage, and access) that are necessary as a result of the project; and providing to their Superintendents sound, well-informed, professional advice. 5E(2) Reporting for ASMIS, the
Secretary of the Interior's Report to Congress on the Federal Archeology
Program, and other Park archeological activities. 6. APPLICABLE STANDARDS AND GUIDELINES Superintendents and National Park Service archeologists will adhere to the following standards related to archeological resource management: 6A. Secretary of the Interior's Standards and Guidelines The Secretary of the Interior's Standards and Guidelines for Archeology and Historic Preservation include standards and guidance for preservation planning, identification, evaluation, registration, historical documentation, architectural and engineering documentation, archeological documentation, historic preservation projects, and professional qualifications, and definitions of preservation terminology. An annotated version is available at <www.cr.nps.gov/linklaws.htm.> 6B. Professional Qualifications and Professional Standards The professional qualification standards for archeologist supplement those issued by the Office of Personnel Management for Federal employment (GS-0193-5/15 series). The supplemental standards include those used for Federal archeological permits (43 CFR 7.8) and those used for State and local government historic preservation programs (36 CFR 61, Appendix A). Individuals serving as National Park Service archeologists or non- National Park Service archeologists with management, research, and National Register responsibilities in parks are expected to meet the professional qualifications in the implementing regulations of ARPA and the Secretary of the Interior's Standards and Guidelines. Individuals lacking such qualifications may not be hired or placed in such positions of responsibility until after these qualifications are met. All National Park Service employees are responsible for being aware of, and performing their duties in a manner consistent with, their legal and ethical obligations to archeological resources. Archeologists should consult the Register of Professional Archaeologist's Code of Conduct and Standards of Research Performance and the ethical standards of the Archaeological Institute of America, Society for American Archaeology, and the Society for Historical Archaeology. 6C. Registration of Historic Properties Standards for including archeological sites in State information management systems are issued by each State. Servicewide standards for recording management information on archeological resources located in national parks are found in the ASMIS Data Dictionary, issued by the Archeology and Ethnography program. Standards for registering archeological sites and districts in national historic property lists are defined in regulations at 36 CFR 60, National Register of Historic Places; 36 CFR 63, Determinations of Eligibility for Inclusion in the National Register of Historic Places; and 36 CFR 65, National Historic Landmarks Program. Standards for nominating archeological sites of outstanding universal value for international recognition are defined in regulations at 36 CFR 73, World Heritage Convention. 6D. Curation and Collections Management Regulations for the Curation of Federally Owned and Administered Archeological Collections (36 CFR 79) define the standards for the care, preservation, use, and management of archeological collections. These regulations are supplemented by Part 411 DM, the Department of the Interior Museum Property Handbook; DO #24; and the NPS Museum Handbook. Special analyses of materials and deaccessioning must follow stated policies. Records and data collected, created, or generated by other organizations working for the National Park Service under contract, interagency agreements, cooperative agreements, or other agreements, are considered National Park Service records unless it is clearly stated otherwise. Copies or originals of all documents and data generated under such agreements should be obtained and retained by the National Park Service office managing the project. (See DO #19 and the NPS Museum Handbook.) 6E. Violations Standards for reporting violations of laws and regulations, including
violations of permits issued, are found in the Uniform Crime Reporting
Act and the National Park Service "Case Incident Reporting System."
Supplemental reports are required for the National Park Service clearinghouse
(i.e., Listing of Outlaw Treachery - LOOT), maintained by the Archeology
and Ethnography program. These data are used in the Secretary of the Interior's
Report to Congress on Federal Archeological Programs. Guidelines for management of historic shipwrecks under a government agency's jurisdiction or control are found in the National Park Service Abandoned Shipwreck Act Final Guidelines. 6G. Other Standards and Guidelines Other standards and guidelines will be developed and described in an NPS Archeology Guide. The Chief Archeologist is assigned the development of the NPS Archeology Guide as the reference manual supporting this DO. In doing so, the Chief Archeologist will call upon experts to assist in the development of the different sections of the guide, assuring information quality and accuracy. The guide will supplement the material described in this DO and specify operational requirements, activities, standards, and other guidance to ensure the responsible management of archeological resources under the stewardship of the National Park Service. The additional guidance will encourage the National Park Service and
partner agencies to:
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