DIRECTOR'S ORDER #28A: ARCHEOLOGY
Approved: A. Durand Jones
Effective Date: October 12, 2004
Sunset Date: October 12, 2008
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
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 (<http://www.nps.gov/policy/DOrders/DOrder28.html>), and the Cultural Resource Management Guideline Release No. 5 (<http://www.cr.nps.gov/history/online_books/nps28/28contents.htm>). This DO and its reference manual provide more specific guidance on selected archeological topics.
As one of the principal stewards of America's heritage, the NPS 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.
NPS 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.
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 (<http://www.nps.gov/policy/DOrders/DOrder12.html>) and web site at <www.nps.gov/protect> for further information about 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 NPS and with partners. Historically, the NPS has contributed its expertise to assisting such partners in meeting their archeological management and stewardship responsibilities.
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 NPS lands, and NPS archeological assistance to other public agencies and organizations and individuals. These laws, regulations, and standards may be found on Links to the Past (<http://www.cr.nps.gov/linklaws.htm>). 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
Section 4A focuses on NPS archeological activities within the National Park System, and section 4B focuses on NPS archeological assistance outside the National Park System.
Responsibility for developing archeological policies and other guidance for the National Park System is assigned to the Associate Director for Cultural Resources (Associate Director). The Associate Director has assigned responsibility for oversight and development of the archeology program in national parks to the NPS Chief Archeologist, who also serves as the Manager of the Archeology Program (<www.cr.nps.gov/aad/>) 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 may be of interest under the Archaeological Resources Protection Act (ARPA) regardless of their eligibility for the National Register of Historic Places. Archeological resources include archeological sites and archeological collections. Archeological collections include material remains and associated records, including graphic, written and electronic records, and published and unpublished 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,
collections management and interpretation.
4A(1) Antiquities Act and Archaeological Resources
The Associate Director has delegated authority to issue permits under the Antiquities Act and ARPA to the regional directors. This authority cannot be delegated further. 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 NPS archeologists before issuing permits for archeological work in national parks.
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. Centers, support offices, regional offices, and the National Center for Cultural Resources will, to the extent practicable, conduct public outreach and educational programs for archeology.
Section 14 (a) and (b) of ARPA require that Federal land managers develop plans and schedules for investigating lands under their control to determine the nature and extent of archeological resources on these lands. The sections call for lands that may contain the most scientifically valuable archeological resources to receive special attention. Superintendents must ensure that areas within their parks have had adequate archeological investigations to identify, evaluate, and monitor archeological resources, or that such investigations are planned and scheduled. Centers, support offices, and the National Center for Cultural Resources will assist and support the efforts to carry out the necessary investigations.
Guidance on responsibilities and actions under the Antiquities Act and ARPA is found in the regulations that implement the acts and in sections 5 and 6 of this directive. Further guidance will be made available through the NPS Archeology Guide.
4A(2) National Historic Preservation Act
and National Environmental Policy Act
Guidance on responsibilities and actions under NHPA and NEPA is found in the regulations that implement the acts; in sections 5 and 6 of this directive; in DO #2, DO #12, and DO #28 and in the Cultural Resource Management Guideline Release No. 5. Further guidance will be available through the NPS Archeology Guide.
4A(3) Native American Graves Protection and
Guidance on responsibilities and actions under NAGPRA is found in the regulations that implement the law (43 CFR 10), in Appendix R of CRM Guideline Release No. 5, and in sections 5 and 6 of this directive. Compliance under NAGPRA for National Park System units is distinct from, but complementary to, the work of the National NAGPRA program, which carries out some of the Secretary of the Interior's national responsibilities under NAGPRA, and which is administered by the NPS directly through the Office of the Associate Director.
4A(4) Regulations at 36 CFR Part 79. Curation
of Federally Owned and Administered Archeological Collections
4B. Archeological Assistance Program and Departmental Consulting Archeologist
Responsibilities for carrying out the leadership, coordination, and assistance in the appropriate treatment and preservation of archeological and historic resources outside the National Park System are delegated to the Associate Director and the regional directors. These functions, summarized in 519 DM 1 and 2, include providing advice and assistance to Federal, State, and local agencies and Indian tribes in meeting their responsibilities under a variety of laws preserving and protecting archeological and historic resources. The Associate Director has assigned responsibility for oversight and development of the archeological leadership, coordination, and assistance function to the Departmental Consulting Archeologist (DCA), who also serves as the NPS Chief Archeologist. Regional directors' leadership, coordination, and assistance functions are carried out by NPS archeologists in regional offices, support offices, and archeological centers.
The Secretary of the Interior has delegated to the 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 1.4C and 2.3D). Organizationally, the office of the DCA is located in the National Center for Cultural Resources. The DCA is also the Chief Archeologist for the NPS and Manager of the Archeology 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 park 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 and Historic Sites Act
Such assistance sometimes is provided by archeological centers, support offices, and other NPS archeologists. Within each region, archeological assistance activities are undertaken to coordinate public archeological activities and provide technical assistance. Such activities often consist of promoting the nomination of archeological properties to the National Register of Historic Places and the designation of archeological properties as National Historic Landmarks; assisting in the preservation of listed and designated properties; overseeing and assisting the implementation of the National Archeological Database (NADB); advising Federal agencies on programs for the identification, evaluation, protection and recovery of archeological resources; investigating notifications that important archeological data may be damaged or destroyed by a Federal or federally authorized activity; and providing training to Federal and State agencies.
4B(2) Reporting under the Archaeological
Resources Protection Act and the Archeological and Historic Preservation
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.
4B(3) Archeological Issues Related to the Native American Graves Protection and Repatriation Act
The Director or the Secretary may designate the DCA to provide policy advice or technical assistance for archeological cases or issues related to their governmentwide responsibilities under NAGPRA.
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. It is NPS 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
5A. Archeological Resource Stewardship
Effective care for archeological resources requires accurate, current information about their locations, characteristics, significance, condition, and threats. Standardized management information must be summarized in ASMIS, however, for each site and collection, more extensive and specific electronic and paper records also will be maintained, including the Automated National Catalog System (ANCS+) (<http://www.cr.nps.gov/museum/publications/ancs.html>) where applicable. Superintendents must collect, maintain, and update these kinds of information, including information about archeological collections and records, as well as sites. A variety of funding sources may be used to provide or improve such information, including Park Base Operations, Cultural Resource Preservation Program, Cyclic Maintenance for Historic Properties Program, Construction Planning, Line Item Construction, Recreational Fee Demonstration Program and other funding sources.
Superintendents 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 at <http://www.nps.gov/policy/DOrders/DOrder19.html>,
DO #24: Museum Collections Management at <http://www.nps.gov/policy/DOrders/DOrder24.html>,
and 36 CFR 79.)
The NPS 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. Superintendents are responsible to complete and submit information annually on site inventory and condition assessment through ASMIS. For definitions of condition see the ASMIS data dictionary (<http://ftp.asmis.cr.nps.gov/asmis/>).
Superintendents must maintain 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. (Consult DO #66 on FOIA and Protected Resource Information and see NHPA section 304 and ARPA section 9 for conditions under which certain information is to be withheld from public disclosure.)
Good stewardship includes public interpretation of park archeological resources. ARPA (Sec. 10(c); 43 CFR 7.20) requires land managers to provide interpretive programs about the importance of archeological resources in their parks. Superintendents at parks with recognized archeological resources should incorporate information about these topics in park interpretive programs.
5B. Preservation Planning and Impact Analysis
Potential effects of park operations and development on archeological resources must be considered in the earliest stages of all 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 Chapter 2 of Management Policies). 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). NEPA planning also must take into account archeological resources. Planning in advance for archeology includes ensuring that adequate funding to undertake such activities is provided as part of projects and programs.
Effective planning must meet the identification, evaluation, analysis,
consultation, documentation, and other requirements of sections 106 and
110 of NHPA, the Programmatic Agreement between the NPS, NCSHPO and ACHP
(last updated in 1995), 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
at <http://www.nps.gov/policy/DOrders/DOrder12.html> and DO #28
The use of ASMIS and other park records will help make planning more effective and efficient concerning 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 resources as part of a NPS "undertaking," superintendents must notify proper authorities and follow 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. An example of such a discovery may be materials eroding out of a stream bank. If Native American, Native Hawaiian, or Native Alaskan human remains are discovered, superintendents must notify and consult 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. For all unanticipated discoveries, superintendents must record and, if appropriate, excavate and document the discovery, consistent with the requirements of ARPA.
Superintendents will 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 must ensure that the provisions in all plans (including
annual work plans) follow Federal statutes and regulations, and that NPS
policies and other guidance pertaining to archeology are implemented.
Superintendents also must follow Federal statutes and regulations, and
NPS 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, DO #14: Resource
Damage Assessment and Restoration <http://www.nps.gov/policy/DOrders/DO14.htm>
5C. Law Enforcement and Review and Enforcement of Permits
Superintendents and law enforcement and resource management staff must enforce 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.
Superintendents must 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.
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 NPS archeologist for evaluation of potential impacts
on archeological resources. Recommendations for improvements, including
avoiding or resolving potentially damaging effects, must 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. The NEPA Environmental Screening
Form may also require review by a NPS archeologist. (Consult DO #12 at
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 NPS archeologist
for compliance with ARPA and NHPA, 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. The
NEPA Environmental Screening Form may also require review by a NPS archeologist.
(Consult DO #12 at <http://www.nps.gov/policy/DOrders/DOrder12.html>
and the DO #12 handbook at <http://www.nps.gov/policy/DOrders/RM12.pdf>.)
5E(1) Government Performance and Results Act
To meet performance plan targets and report on accomplishments, superintendents must identify, evaluate, and document archeological resources on park lands, monitor, and maintain or improve the condition of those sites, and maintain 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. Superintendents must implement a program of archeological conservation, identification, evaluation, documentation, and nomination of archeological properties to the National Register of Historic Places. Park, center, support office, or regional archeological personnel, including ASMIS coordinators, must provide the technical support for this program, including entering data into the ASMIS database.
NPS 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 and monitoring sites, reporting annually on accomplishments, and providing sound, well-informed, professional advice.
Superintendents must acquire, preserve, protect, document (including accessioning, cataloging, lending, deaccessioning), and assure the proper use of 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 System (ANCS+) for reporting under GPRA (Goal Ib2). (See DO #24 at <http://www.nps.gov/policy/DOrders/DOrder24.html>.)
To meet their performance goals, NPS staff must maintain 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
Managers and NPS 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 the web site at <www.cr.nps.gov/linklaws.htm.>
6B. Professional Qualifications and Professional Standards
Archeologists and managers in support offices, regional offices, centers, and parks should be aware of qualification standards for archeologists who are responsible under ARPA for collecting, handling, analyzing, evaluating, and reporting archeological data in parks and on other public lands (43 CFR 7.8) and those used for State and local government historic preservation programs (36 CFR 61). Qualifications will vary according to the level of performance required of individual archeologists. Individuals serving as NPS archeologists or non-NPS archeologists with management, research, and National Register responsibilities in parks are expected to meet the qualifications in the implementing regulations of ARPA.
All NPS employees must be aware of, and perform their duties in a manner
consistent with, their legal and ethical obligations to archeological
resources. Archeologists will consult the Register of Professional Archaeologist's
Code of Conduct and Standards of Research Performance (<http://www.rpanet.org/conduct.htm>)
and the ethical standards of the Archaeological Institute of America (<http://www.archaeological.org/pdfs/AIA_Code
6C. Registration and Recordation 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 (http://ftp.asmis.cr.nps.gov/asmis/), issued by the Archeology 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.
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 (<http://www.nps.gov/policy/DOrders/DOrder24.html>); DO #19 (<http://www.nps.gov/policy/DOrders/DOrder19.html>); and the NPS Museum Handbook (<http://www.cr.nps.gov/museum/publications/handbook.html>). Special analyses of materials and deaccessioning must follow stated policies.
Artifacts, specimens, samples, and originals of all records and data
collected, created, or generated by contractors or other organizations
under permit or by NPS staff in units of the National Park System are
property of the U.S. Government, retained in NPS museum collections, and
managed according to the NPS Museum Handbook. They may be loaned to non-NPS
repositories for study and management. (See DO #19 at <http://www.nps.gov/policy/DOrders/DOrder19.html>
Standards for reporting violations of laws and regulations, including
violations of permits issued, are found in the Uniform Crime Reporting
Act and the NPS "Case Incident Reporting System." Supplemental
reports are required for the NPS clearinghouse (i.e., Listing of Outlaw
Treachery - LOOT), maintained by the Archeology Program. These data are
used in the Secretary of the Interior's Report to Congress on Federal
Guidelines for management of historic shipwrecks under a government agency's jurisdiction or control are found in the NPS Abandoned Shipwreck Act Final Guidelines <http://www.cr.nps.gov/aad/submerged/intro.htm>.
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 and updating 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 and will provide NPS field staff with an opportunity to review and comment on drafts of the manual. 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:
----------End of Director's Order----------