An effective survey must be carefully planned, taking into account the community's planning needs, its legal obligations, the interests of its citizens, available funding, and the nature of its historic resources.

This chapter describes some of the basic considerations involved in planning a survey. It first addresses several general questions that those responsible for planning and funding surveys often ask. It goes on to discuss approaches to planning a survey and a community's preservation program in general, and then turns to practical questions of how to mobilize community resources to support a survey, how to obtain professional expertise, and how to obtain funding.

Initial Questions

What kinds of resources should the survey seek?

Building (including groups of buildings)

• Notable examples of architectural styles and periods or methods of construction, particularly local or regional
• Buildings showing the history and development of such diverse areas as communications, community planning, government, conservation, economics, education, literature, music, and landscape architecture.
• Stores and businesses and other buildings that provide a physical record of the experience of particular ethnic or social groups.
• Complexes of buildings, such as factory complexes, that comprise a functionally and historically interrelated whole.
• Markets and commercial structures or blocks.
• Buildings by great architects or master builders and important works by minor ones.
• Architectural curiosities, one-of-a-kind buildings.
• Sole or rare survivors of an important architectural style or type.
• Studios of American artists, writers, or musicians during years of significant activity.
• Institutions that provide evidence of the cultural history of a community (churches, universities, art centers, theaters, and entertainment halls). Buildings where significant technological advances or inventories in any field occurred (agricultural experiment stations, laboratories, etc.).

Site

• Archeological sites containing information of known or potential value in answering scientific research questions.
• Archeological sites containing information that may shed light on local, State, or national history.
• Sites of cultural importance to local people or social or ethnic groups, such as locations of important events in their history, historic or prehistoric cemeteries, or shrines.
• Sites associated with events important in the history of the community as a whole (battlefields, trails, etc.).
• Cemeteries associated with important events or people, or whose study can provide important information about history or prehistory.
• Ruins of historically or archeologically important buildings or structures.
• Historically important shipwrecks.
• Cemeteries important for the architectural or artistic qualities of their constituent structures and monuments,
• Constructed landscapes that exemplify principles, trends, or schools of thought in landscape architecture, or that represent fine examples of the landscape architect's art.

Structure

• Industrial and engineering structures, including kilns, aqueducts, weirs, utility or pumping stations, and dams.
• Transportation structures, including railroads, turnpikes, canals, tunnels, bridges, roundhouses lighthouses, and wharves.
• Agricultural structures such as granaries, silos, corncribs, and apiaries.
• Movable structures associated with important processes of transportation, industrial development, social history, recreation, and military history (ships, locomotives, carousels, airplanes, artillery pieces, etc.).

Object

• Objects important to historical or art historical research petroglyph boulders, bedrock mortars, statuary, rock carvings, etc.).
• Objects important to the cultural life of a community and related to a specific location (totem poles, fountains, outdoor sculpture, road markers, mileposts, monuments, etc.).

District

• Groups of buildings that physically and spatially comprise a specific environment: groups of related buildings that represent the standards and tastes of a community or neighborhood during one period of history, unrelated structures that represent a progression of various styles and functions, or cohesive townscapes or streetscapes that possess an identity of place.
• Groups of buildings, structures, objects, and/or sites representative of or associated with a particular social, ethnic, or economic group during a particular period.
• Farmlands and related farm structures (silos, barns, granaries, irrigation canals) that possess an identity of time and place.
• Groups of structures and buildings that show the industrial or technological developments of the community, State, or Nation.
• Groups of buildings representing historical development patterns (commercial and trade centers, county seats, mill towns).
• Groups of sites, structures, and/or buildings containing archeological data and probably representing an historic or prehistoric settlement system or pattern of related activities.
• Groups of educational buildings and their associated spaces (school and university campuses, etc.).
• Extensive constructed landscapes, such as large parks, that represent the work of a master landscape architect or the concepts and directions of a school of landscape architecture.
• Landscapes that have been shaped by historical processes of land use and retain visual and cultural characteristics indicative of such processes.

Although the spatial relationships between component elements is usually important in the definition of a district, the elements of a district do not necessarily have to be contiguous. For example, a number of archeological sites in a stream valley, representing the settlement system of a prehistoric group, may be widely scattered and separated from one another by highways, housing tracts, and other modern developments, but still constitute a unified whole that can be categorized as a district. In a similar way, a series of canals and related structures and buildings, separated from one another by the natural bodies of water they connect, may nevertheless constitute an integrated transportation system that is best viewed as a district.

What kinds of information should be gathered?

If the survey is intended to result in nominations to the National Register, appropriate National Park Service guidelines should be consulted. The National Register bulletins entitled How to Complete the National Register Registration Form and How to Complete the National Register Multiple Property Documentation Form are the standard reference on National Register documentation requirements. Others in the National Register Bulletin series provide supplementary information on such topics as how to establish property boundaries, how to evaluate relatively modern properties, and how to improve the quality of property photographs.

What different kinds of surveys are commonly used?

Reconnaissance may be thought of as a "once over lightly" inspection of an area, most useful for characterizing its resources in general and for developing a basis for deciding how to organize and orient more detailed survey efforts. In conjunction with a general review of pertinent literature on the community's past, a reconnaissance may involve such activities as:

• A "windshield survey" of the community-literally driving around the community and noting the general distribution of buildings, structures, and neighborhoods representing different architectural styles, periods, and modes of construction.
• a "walkover" archeological inspection, perhaps coupled with small-scale test excavations, to get a general idea of the archeological potential of portions of the community.
• a study of aerial photographs, historical and recent maps and city plans, soil surveys, and other sources of information that help gain a general understanding of the community's layout and environment at different times in its history.
• detailed inspection of sample blocks or areas, as the basis for extrapolation about the resources of the community as a whole.

An intensive survey, as the name implies, is a close and careful look at the area being surveyed. It is designed to identify precisely and completely all historic resources in the area. It generally involves detailed background research, and a thorough inspection and documentation of all historic properties in the field. It should produce all the information needed to evaluate historic properties and prepare an inventory.

The Secretary of the Interior's Standards and Guidelines for Identification provide outlines of the information that should be documented as the result of reconnaissance and intensive surveys. Where such surveys are supported by grants-in-aid funds from the Department of the Interior, such information must be recorded as a condition of the grant, and such documentation is basic to professional practice in the conduct of any survey, regardless of its source of funding.

Reconnaissance and intensive survey are often conducted in sequence, with reconnaissance being used in planning intensive survey. They are also sometimes combined, with intensive survey directed at locations where background research indicates a likely high concentration of historic resources and reconnaissance directed at areas where fewer resources can be expected, They can also be combined with reference to different resource types: for example, in a given area it may be appropriate to conduct an intensive survey of buildings and structures but only a reconnaissance with reference to archeological sites, while in another area archeological sites may require intensive survey while buildings need only a "once over lightly" examination.

SURVEY DOCUMENTATION

The Secretary of the Interior's Standards and Guidelines for Identification specify the kinds of information that should be collected as a result of field survey:

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 survey area;
5. Specific properties that were identified, and the categories of information collected; and
6. Places examined that did not contain historic 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.

How large an area should be included in a survey?

In planning a survey, background research should be conducted on the community to get an overview of its development. It also is advisable, as a preliminary step, to conduct at least a cursory reconnaissance of the community to identify potential significant areas or specific properties that might be the target of intensive survey efforts. Where this is done, provision should be made for adding properties and areas identified through documentary research and subsequent field survey, since historically significant places are not always obvious visually. In cases where the entire community is to be surveyed, it may be advisable to undertake these assessments in stages. Decisions about what areas to survey first may be based on time, money, or pending projects which may affect resources within a particular area.

How long should a survey take?

The length of time in which the survey project can be successfully completed depends on the size and complexity of the area(s) to be covered, the number of surveyors and researchers, and the amount of information to be gathered. Some localities have found it effective to approach the survey on an area-by-area basis, completing an inventory of one area before moving on to the next. This method has the advantage of letting the community build on past experience in each successive survey and of allowing for feedback on the usefulness of the material gathered in the planning process. It has the disadvantage of providing no data on substantial portions of the community until late in the overall survey process. A phased survey, in which background research and reconnaissance of most or all of the community is conducted first, followed by intensive survey where needed, is an alternative to area-by-area survey. A combination of approaches, as noted above, may also fit a particular community's planning needs. Decisions about what kind of survey to conduct, and how it may be phased, naturally define how long the survey will take.

Communities planning to hire professional consultants to conduct the survey should include a rough timetable as part of the general work prospectus that they present to potential consultants (see section on selecting a professional consultant. A detailed timetable or work schedule can then be developed in conjunction with the consultant hired. Deadlines scheduled well before those called for by procedural or other obligations will ensure timely completion of the project. It may be appropriate to establish separate timetables for the conduct of background research, reconnaissance, and intensive surveys, for the organization of survey data, for evaluation, for publication, and for development of preservation plans.

Elements of Survey Planning

How is the purpose of the survey established?

• If background knowledge of a community's history suggests that particularly important historic properties may be concentrated in particular areas, it may be cost-effective to survey such areas first, giving lower priority to areas where historic properties are less likely to be found, or may be found in lower densities.
• Conversely, if not much is known about a community's historic resources, it may be appropriate to concentrate initially on background research and broad-scale reconnaissance (as defined above) to obtain an initial idea of the community's resource base before designing more intensive surveys.
• If a particular part of the community may be subject to substantial development in the near future, or is the target for use of Federal assistance, triggering the need for historic preservation review, it may be appropriate to concentrate survey in that part of the community before other areas are addressed.
• If there is a considerable potential for rehabilitation of historic commercial buildings in the community, stimulated by the availability of tax advantages at the Federal or State level, it may be appropriate to give the identification of commercial buildings priority over the identification of other types of historic properties.
• If the residents of a particular neighborhood, or property owners in a particular commercial area of the community, have expressed interest in maintaining and enhancing their historic properties, it may be a prudent investment to give survey in such area priority over survey in areas where there is less immediate potential for use of the resulting survey data.

In short, a survey can be done at many different scales, with many different emphases, and using many different techniques at different levels of refinement. The kind of survey undertaken depends on the needs of the community.

What are historic contexts?

For example, if a community began as a port village in the early 18th century, its functions as such may be reflected in its street plan, in the character of some neighborhoods, in some particular buildings or groups of buildings, or in archeological remains buried beneath more recent development. The operation of the early 18th century port is thus one historic context that influences the nature and distribution of the community's resources, and should influence survey efforts designed to find and document such resources. If the community underwent a commercial boom in the 1890s, was burned during the Civil War, received immigrant ethnic groups in the early 20th century, received the attention of a particular school of architecture, or was the probable location of a prehistoric American Indian village, each of these historic contexts should be considered in planning the survey.

The importance of taking historic contexts into account cannot be overemphasized. Failure to do so can lead to the application of survey methods that are not cost-effective, that fail to identify significant resources, or that contain uncontrolled biases.

The establishment of historic contexts is vital to targeting survey work effectively, and to the effective use of personnel. For example, if representatives of an important school of architecture designed a number of buildings in the community's central business district, knowledge of this historic context will lead survey planners to focus the attention of qualified architectural historians on this section of the community, while if prehistoric Indians in the area typically established their villages at the confluence of streams, knowledge of this historic context may lead surveyors to use information on old stream patterns within the community to identify locations for archeological survey and testing.

Historic contexts are developed on the basis of background data on the community's history and prehistory, or on such data from the surrounding area. To mobilize such data, survey planners should conduct initial research into the community's history and the history and prehistory of the region in which it lies, and should consult knowledgeable authorities. Local historical organizations and academic history departments, professional and avocations archeologists and archeological organizations, professional architects and landscape architects, and local chapters of the American Institute of Architects are all likely sources of useful advice. The State Historic Preservation Officer can often suggest knowledgeable local sources, as well as provide information on what surveys have already been done in the area and suggest possible topics of inquiry. Generally, establishing historic contexts involves reviewing the known history and prehistory of the State and region in which the community lies, seeking to define important patterns in the development of the area through time that may be represented by historic properties.

Historic contexts may be unique to a community, but often are reflected in, or related to, the surrounding region or to other communities. For this reason, it is important to coordinate the development of a community's historic contexts with the State Historic Preservation Officer's statewide planning efforts. Most statewide preservation plans developed by State Historic Preservation Officers establish at least broad, general historic contexts which may be directly or indirectly applicable at the local level. Furthermore, the State Historic Preservation Officer is likely to be aware of historic contexts developed through the planning efforts of other communities and Federal and State agencies.

Historic contexts are almost always refined, modified, added to, and elaborated on as the survey itself proceeds. At the point of planning the survey, it may be feasible to define them only in broad, general terms; sufficient flexibility should always be maintained to allow changes to take place as the survey progresses. An initial statement of historic contexts should be developed during the earliest stages of planning to guide development of the actual survey design.

How are survey goals and priorities established?

The means to achieving these goals can then be assigned priorities based on such factors as work already conducted, available funding, planning and development constraints, and survey opportunities.

If some data are available on a given historic context as the result of prior work, it may be appropriate to assign relatively low priority to investigating that context, emphasizing instead those that are less well known; alternatively, the existence of information on a particular historic context may be taken as an opportunity to be built upon, thus giving investigation of that context higher priority.

Historical research and archeological testing to identify the boundaries of the 18th century port might be more expensive than a program of interviews and windshield survey to locate ethnic neighborhoods, for example, so the former might be assigned a lower priority than the latter, or divided into phases that could be implemented over time to reduce expense.

Planning needs are often the major bases for setting priorities. For example, if our hypothetical community's business people are interested in taking advantage of tax incentives to rehabilitate commercial buildings, it may be appropriate to facilitate this effort by giving high priority to the goal of documenting the community's downtown commercial districts in sufficient details to prepare complete National Register nominations. If the Army Corps of Engineers is planning a project to channelize streams flowing through the community, this may create both the need to give high priority to identifying the remains of the Indian village and the opportunity to use Federal assistance from the Corps of Engineers to do so. If a city government intends to target a particular area for rehabilitation of older buildings using Community Development Block Grant funds, this may justify giving priority to survey of the target area to identify historic properties that should be protected from inappropriate construction activities.

Finally, opportunities provide a basis for setting priorities. If a local university is interested in establishing a field school in historic archeology, the opportunity may exist to use the university's efforts to study the 18th century port area. If a neighborhood group is interested in documenting its social history in the community, this may present an opportunity to mobilize neighborhood support for the survey effort and suggest that the interested neighborhood should be assigned high priority.

It should be recognized that, as the survey progresses, it will almost certainly be necessary to adjust goals and priorities. The survey will probably identify new historic contexts and refine others. New opportunities and constraints will arise. Work will be completed sufficiently with respect to some goals to allow attention to shift to others. Finally, it may be necessary to correct distortions created by the pursuit of previous priorities. After a few years of response to the needs generated by tax incentives for commercial rehabilitation, for example, a community may have exhaustive documentation on its commercial districts but very little data on its residential neighborhoods, public buildings, or archeological resources. It may then be appropriate to adjust the survey to give higher priority to areas and resources earlier given short shrift.

How should the storage and use of survey data be considered during survey planning?

This aspect of planning will involve consulting with those who are likely to be important users of the survey data to determine the form of information that will be most useful and accessible. Recording forms, systems for translating raw survey data into computer-compatible formats, and archiving systems should then be designed with these considerations in mind, and surveyors should be trained in their use.

How can a community involve the public in planning a survey?

Means of stimulating interest might include neighborhood meetings; displays at libraries, public schools, and museums; walking tours; lectures and discussions by preservation specialists; and newspaper articles about the survey, about preservation activities in other communities or about the history, archeology, or architecture of the community. Local newspapers may also be used to solicit historical data, reminiscences, old photographs, and other information. Community newspapers could, for example, carry a tear-out survey form to encourage readers to submit information on properties and on sources of unpublished documentary material with which they are familiar.

Special efforts should be made to involve those in the community with particular interests in historic properties or community development. Local historical organizations, neighborhood groups, and archeological societies should be contacted. Historians, architects, landscape architects, archeologists, folklorists, sociologists, and anthropologists should be sought out. Interviews with such organizations and individuals should seek to identify ways the survey can serve their interests, and how their expertise can contribute to the survey effort.

Potential users of survey information, including community planners, historic preservation commissions, business leaders, tourism offices, libraries, schools, and the Chamber of Commerce should be informed of the survey effort and asked how the survey can be designed to be of greatest value to them.

Where the survey will take place in neighborhoods whose residents do not speak English as their first language, or where social customs are not those of mainstream Anglo-American society, efforts to involve the public should be carried out in the language of the neighborhood's residents as much as possible, and should be sensitive to their cultural values and systems of communication. In some societies, for example, it is very disrespectful for young people to talk about history in the presence of their elders; in such a context, an open public meeting to seek information on the community's history may not only be ineffective, but may endanger the support that prominent older members of the community would otherwise have for the survey. Neighborhood leaders should be consulted to design public involvement efforts that are consistent with local values and expectations. If professionals knowledgeable about the neighborhoods in which surveys will take place-for example, sociologists, anthropologists, and social workers-are available, they also should be consulted during early survey planning.

Community enthusiasm for the survey project can generate volunteer support and assistance for various aspects of the survey, such as historical research and field survey work. Survey planning should be coordinated with local historical commissions and societies, civic groups, archeological societies, and other professional organizations. These organizations are usually knowledgeable about their community's historic resources and often can provide useful documentation as well as volunteer assistance in conducting the survey. The following community groups are also potential sources of volunteers for the survey: Chamber of Commerce, Jaycees, Junior League, fraternal organizations (Rotarians, Elks, Kiwanis, etc.), youth organizations (YMCA, YWCA, high school clubs, service organizations, etc.), men's and women's clubs, universities and colleges, and religious groups.

Before initiating fieldwork, it is important that the public be given adequate notice of the appearance of surveyors in their neighborhoods and be informed of the kind of documentation they will be gathering. Newspaper articles providing such information, as well as posters in supermarkets, schools, churches, etc., can allay unnecessary Suspicions, and help assure a positive reception for the surveyors. It may also be useful for surveyors to carry a letter of introduction explaining the survey project its goals, and its methods.

What form should a survey design take?

Survey planners should consult the State Historic Preservation Officer when preparing a survey design. State Historic Preservation Officers have considerable experience in designing and implementing surveys, and can provide valuable advice and models, as well as help ensure that the design is consistent with statewide survey standards.

Mobilizing Resources for the Survey

What qualifications should those supervising a survey have?

Professionals should be responsible for all major decisions affecting the survey effort, including providing guidance to inexperienced surveyors, defining districts and properties of potential significance within the overall survey areas, evaluating and interpreting data gathered in the survey, and producing or overseeing the production of photographic and other graphic documentation.

Some professionals within the community may be willing to volunteer their time to undertake survey work. In most cases, however, communities will find it necessary to hire professionals. Where volunteer labor is relied upon, it is advisable to appoint or hire at least one professional who can administer or oversee survey activities, coordinate the work being done, and make program decisions. Ideally, such a person-referred to in this publication as a survey coordinator-should have the ability to organize survey teams, budget time and money wisely, and assemble and interpret raw data.

Where can qualified professionals be located?

The State Historic Preservation Officer should always be consulted for advice when seeking professionals for participation in a survey. Responsible for the statewide comprehensive survey, the State Historic Preservation Officer is usually familiar with the State's historic preservation professionals. National Park Service Regional Offices can also often provide knowledgeable advice about potential professional assistance. In addition to the State Historic Preservation Officer, and the National Park Service, the following individuals and organizations can often be helpful in finding professional assistance.

State Archeologist, whose office in some States is separate from that of the State Historic Preservation Officer (addresses available from the National Park Service).

National Conference of State Historic Preservation Officers (444 North Capitol Street, Suite 332, Washington, DC 20001). The NCSHPO is the organization that represents the State Historic Preservation Officers in Washington. It can assist in making contact with State Historic Preservation Officers about sources of professional assistance.

National Alliance of Preservation Commissions (Post Office Box 1605 Athens, GA 30603). The NAPC is a membership organization that seeks to coordinate local preservation programs and provide them with national representation. It can put local officials and survey planners in touch with other communities and statewide alliances that have undertaken similar projects and can provide first-hand advice about consultants and other matters.

National Trust for Historic Preservation (1785 Massachusetts Avenue, NW, Washington, DC 20036). The Trust also has regional offices which can provide advice about qualified professionals, institutions, and firms. It also includes a placement service in Preservation News, its monthly newspaper.

State and regional archeological councils and societies (addresses available from the State Historic Preservation Officer).

Local colleges and universities, especially history, architecture, and anthropology departments.

American Anthropological Association (1703 New Hampshire Avenue, NW, Washington, DC 20009). The AAA may be able to advise about locating archeologists and cultural anthropologists.

American Institute of Architects (1735 New York Avenue, NW, Washington, DC 20006). Each State has an AIA Preservation Coordinator to oversee and advise on preservation activities. The AIA has a Committee on Historic Resources, and publishes a directory of its members.

American Association for State and Local History (172 Second Avenue North, Suite 102, Nashville, TN 37201). AASLH publishes a Directory of Historical Societies and Agencies in the United States and Canada, and provides a variety of other services to communities seeking consultants and planning surveys.

American Folklore Society (1703 New Hampshire Avenue, NW, Washington, DC 20009) can advise on folklorists and anthropologists qualified to participate in oral historical and ethnographic survey work.

American Planning Association (1313 East 60th Street, Chicago, IL 60637) and its Historic Preservation Division (1776 Massachusetts Avenue, NW, Washington, DC 20036), can put communities in touch with preservation planners and community planners with experience in preservation.

American Society of Landscape Architects, Historic Preservation Committee (1733 Connecticut Avenue, NW, Washington, DC 20009) can offer advice about landscape architects with experience in preservation. The Society publishes a National Directory of Landscape Architecture Firms.

Association for Preservation Technology (Box 2487, Station D, Ottawa, Ontario, Canada KIP5W6). This is a joint Canadian-U.S. organization that can put communities into contact with architects and architectural conservationists experienced in preservation and restoration work,

National Coordinating Committee for the Promotion of History (400 A Street, SE, Washington, DC 20003). This committee publishes a Directory of Historical Consultants.

National Council for Public History (Department of History, West Virginia University, Morgantown, WV 26506). This organization seeks to coordinate the activities of professional historians in non-academic work.

Organization of American Historians (112 North Bryan Street, Bloomington, IN 47401). The OAH provides a professional placement service for its members.

Register of Professional Archaeologists (5024-R Campbell Blvd. Baltimore, MD 21236) RPA provides the mechanism for the easy identification of Registered Professional Archaeologists, who have agreed to comply with a Code of Ethics and other professional standards, and who have been certified by RPA to meet specified professional qualifications. RPAs are listed in a directory, published annually, and updated quarterly on the Register's Web site.

Society for American Archaeology (1511 K Street, NW, Suite 714, Washington, DC 20005). A membership organization of professional and avocational archeologists, the SAA runs a placement service at its annual national meeting.

Society for Applied Anthropology (1001 Connecticut Avenue, NW, Suite 800, Washington, DC 20036). The SFAA can advise about cultural anthropologists who can provide assistance in oral historical and ethnographic work, and about archeologists.

Society of Architectural Historians (1700 Walnut Street, Room 716, Philadelphia, PA 19103). SAH runs a placement service at its Philadelphia headquarters.

Society for Historical Archaeology (1703 New Hampshire Avenue, NW, Washington, DC 20009) may be able to provide information on archeologists who specialize in the study of archeological remains representing periods since the arrival of Europeans in America.

Society for Industrial Archeology (c/o National Museum of American History, Smithsonian Institution, Room 5020, Washington, DC 20560) can provide information on archeologists who specialize in the study of industrial sites and structures.

How is a professional consultant selected?

1. Define the nature of the work carefully, in order t have a clear idea of how many and what kind of consultants to look for. This is an important reason for developing a thorough scope of work.
2. Send the scope of work to a number of firms, institutions, organizations, or qualified individuals with the requests that they submit written proposals.
3. Consider the general qualifications of those who submit proposals. References should be required and investigated carefully.
4. Evaluate the written proposals provided. Ascertain how well each consultant appears to understand the reasons for and nature of the work, and evaluate the methods and approach that each intends to use in undertaking the project. (Look for a consultant who seems to understand what he or she is doing and has a good idea of how to do it.)
5. Choose for interviews one or more consultants that appear to be the best qualified. Interviews with more than three consultants may not be productive.
6. Interview selected consultants separately, explaining the work that has to be done and the selection procedures you are using. Enough time should be scheduled for each interview to allow for a careful examination of qualifications and thorough discussion Of the survey project. In addition to the Professional Qualifications listed in a later section below the following are particularly important criteria to consider:

   (a) Experience and reputation. Consult the State Historic Preservation Officer and relevant organizations listed in the preceding section to determine where qualified professionals may be located and how to evaluate survey experience.

   (b) Workload. Try to determine whether the consultant will be able to accomplish the project within the time frame that you have established. The consultant's reputation for meeting deadlines will be a good indication of this.

   (c) Access to all fields of expertise needed to meet the requirements of the project. Whether the consultant has such expertise personally, on his or her staff, or through cooperative arrangements with others, it is important to ensure that he or she understands what expertise is needed to pursue the survey goals and can mobilize that expertise when it is needed. Although the kinds of expertise needed will vary, historic resources surveys are typically interdisciplinary, requiring the expertise of historians, architectural historians, archeologists, and other specialists.

   (d) Ability to work with the public. The survey will be a very public activity in the community, so at a minimum the selected consultant should have the ability to interact well with people. The social values of the neighborhoods in which the survey will take place should be considered; it is vital that those responsible for the survey be able to work well with the people of the community. If the survey will involve the substantial use of volunteers, the consultant should have the clear ability to inspire, organize, and supervise them.

7. Make a list of consultants interviewed in order of desirability, based on apparent ability to accomplish the project.
8. Contact the first choice and agree on a precise outline of responsibilities and a fee.
9. If you cannot agree on responsibilities, fee, or contract details, notify the consultant in writing that negotiations are being discontinued. Then begin negotiations with the next consultant.

Consultation with the State Historic Preservation Officer and, in some cases, with the National Park Service Regional Office, is recommended during selection of consultants. Establishment of a review panel including appropriate professionals and representatives of the community may be appropriate.

Selection of a consultant simply on the basis of a bid is not recommended. A historic resources survey is a complicated professional activity that requires the exercise of careful subjective judgment. Simply obtaining the cheapest services, without full consideration to the quality of work offered, will almost certainly result in poor work and wasted time, money, and public enthusiasm. For consultants who can provide the necessary services within the established budget range, competition should be on the basis of professional competence, experience, and quality of proposal.

Additional considerations:

1. Limit the number of consultants interviewed. Careful preinterview selection will enable you to interview a few consultants in depth and should provide sufficient information for a sound choice. This preinterview process will provide consultants an opportunity to submit information explaining their qualifications and the nature and extent of their experience.
2. Establish financial parameters and explain budgetary restrictions, if any, at the outset, but avoid competitive bidding for the reasons given above.
3. Avoid nonwritten agreements. For the protection of both client and consultant, the client should always execute a written contract with the consultant.

   If the survey is funded using a grants-in-aid from the Historic Preservation Fund administered by the National Park Service, the contract should specify that the survey (whether at a reconnaissance or intensive level) will collect and document the information required by the Secretary of the Interior's Standards and Guidelines for Identification. Similarly, if the purpose of the survey is to obtain documentation for National Register nominations or determinations of eligibility, the contract should specify that the consultant is responsible for compiling sufficient documentation, consistent with the Secretary of the Interior's Standards and Guidelines for Evaluation and Registration and other relevant National Park Service guidelines, to permit the necessary professional review. Although special demands of the consultant may arise during the course of the survey project, the consultant cannot be expected to do work outside of the contract, unless the contract and fee are amended accordingly.

   Guidance in drawing up contracts for survey work may be obtained from the State Historic Preservation Officer and from the Regional Offices of the National Park Service

4. Avoid possible conflict of interest situations. Consultants may offer to provide services at low rates in anticipation of securing future contracts for other types of professional services (restoration work, excavation of archeological sites, etc.). The prime task of the consultant should be the completion of the survey and inventory project. If a long-term cooperative relationship between the consultant and the client is in the best interests of both, it should be explicitly negotiated as such.

What fees do historic resources consultants charge?

1. Lump Sum Fee for all Contracted Services. This arrangement may be advantageous to the client due to its relative ease of budgeting. It can, however, be a problem for both the client and the consultant because it is difficult to anticipate unknown factors that could be involved. In fairness to both parties, there should be a definite statement of time limits and a provision for the adjustment of the fee. Of course, it is important that the program and responsibilities of the consultants be carefully specified in enough detail to preclude mutual misunderstanding,
2. Fixed Fee for Professional Services-Plus Actual Amount of Other Expenses. Beyond a fixed fee, the firm or individual is paid the cost incurred in connection with the work based upon the actual costs incurred. Such costs would include, in addition to payroll and general office overhead, materials, printing, and other out-of-pocket costs directly chargeable to the job. It is usual to set a limit of reimbursable costs in the contract providing for this type of financial arrangements, or to provide that such costs shall not be incurred without prior approval of the client.
3. Fee as Fixed Percentage of Expenses. Compensation is based upon the consultant's technical payroll, multiplied by an agreed-upon factor, to arrive at the total compensation. This method may be combined with a fixed fee or per them compensation for the personal services of the consultant's staff if considerable time of such staff is required. It is difficult for the client to budget unless a maximum compensation is included. This arrangement has the advantage of removing the greater part of uncertainty from the consultant's calculations in a large undertaking while offering the client a simply method of determining and auditing fees as well as maximum feasibility in establishing the scope of services that he or she needs.
4. Per Diem Fees. This method may apply to any of the consultant's personnel, including its principals. It always requires explicit understanding as to what constitutes a "day" and how travel time and expenses are to be allocated. This arrangement is especially advantageous for irregular or indefinite assignments, such as providing testimony concerning a survey's results to a preservation review board.
5. Contingency Fee. This method involves work by the consultant on the basis of compensation to be determined later and measured by the benefits accruing from the service. This is a difficult method for use in planning studies. It requires contractual agreements that will clearly disclose the basis upon which the contingency fees will ultimately be computed. This method would be unethical in all cases where the consultant offers expert testimony or where he or she is required to appear as an impartial expert rather than as an advocate.

PROFESSIONAL QUALIFICATIONS

The following definitions have been developed by the National Park Service to help States, communities, Federal agencies, and others identify qualified professionals in the disciplines of history, archeology, architectural history, and historic architecture. In some cases, additional areas or levels of expertise may be needed, depending on the complexity of the tasks involved and the nature of the historic properties. It should be noted that 1 year of full-time professional experience when stipulated below need not consist of a continuous year of full-time work, but may be made up of discontinuous periods of full-time or part-time work that add up to the equivalent of a year of full-time experiences.

A. History

The minimum professional qualifications are a graduate degree in history or a closely related field; or a bachelor's degree in history or a closely related field plus one of the following: (1) at least 2 years of full-time experience in research, writing, teaching, interpretation, or other demonstrable professional activity with an academic institution, historical organization or agency, museum, or other professional institution: or (2) substantial contribution through research and publication to the body of scholarly knowledge in the field of history.

B. Archeology

The minimum professional qualifications are a graduate degree in archeology, anthropology, or closely related field plus (1) at least 1 year of full-time professional experience or equivalent specialized training in archeological research, administration, or management; (2) at least 4 months of supervised field and analytic experience in general North American archeology; and (3) demonstrated ability to carry research to completion. In addition to these minimum qualifications, a professional in prehistoric archeology shall have at least 1 year of full-time professional experience at a supervisory level in the study of archeological resources of the prehistoric period. A professional in historic archeology shall have at least 1 year of full-time professional experience at a supervisory level in the study of archeological resources of the historic period.

C. Architectural history

The minimum professional qualifications are a graduate degree in architectural history, art history, historic preservation, or a closely related field, with course work in American architectural history; or a bachelor's degree in architectural history with concentration in American architecture; or a bachelor's degree in architectural history, art history, historic preservation, or a closely related field plus one of the following: (1) at least 2 years of full-time experience in research, writing, or teaching in American architectural history or restoration architecture with an academic institution, historical organization or agency, museum, or other professional institution; or (2) substantial contribution through research and publication to the body of scholarly knowledge in the field of American architectural history.

D. Architecture

The minimum professional qualifications in architecture are a professional degree in architecture plus at least 2 years of full-time practice in architecture; or a State license to practice architecture.

E. Historical architecture

The minimum professional qualifications are a professional degree in architecture or a State license to practice architecture, plus one of the following: (1) at least 1 year of graduate study in architectural preservation, American architectural history, preservation planning, or a closely related field and at least 1 year of full-time professional experience on preservation and restoration projects; or (2) at least 2 years of full-time professional experience on preservation and restoration projects. Experience on preservation and restoration projects shall include detailed investigation of historic structures, preparation of historic structures research reports, and preparation of plans and specifications for preservation projects.

No official standards have been established by the Secretary of the Interior for such preservation-related professions as landscape architecture and cultural anthropology. In reviewing the qualifications of such professionals, approximate equivalencies to the qualifications listed above should be looked for, and professional organizations in the specialties involved should be consulted.

How do non-professionals fit into a survey?

Ways in which community volunteers can participate fruitfully in survey include the following:

Historical Research

People with avocational interests in local history may have already gathered much of the primary data needed to interpret the community's history and establish historic contexts. People with training or skill in library work will be highly efficient historical researchers. People with background or interests in environmental studies or soil science can be helpful in reconstructing the community's past environments, which is often of vital concern in identifying likely archeological site locations. If recording oral histories will be part of the project, personable people who are able to carry on a good conversation, listen well, and record what they hear will be welcome members of the survey team, whatever their background.

Field Survey

Field survey work can be carried out by people from any kind of background, provided they are appropriately supervised and trained. The only major prerequisites are the abilities to understand and follow instructions, to be reasonably observant, and to be able to fill out recording forms and take other notes clearly, accurately, and completely. Naturally, the more observant, thoughtful, and interested in historic resources a field surveyor is, the better the product is likely to be. Specific skills that can be tapped among volunteers that are of great use in field survey include cartography, drafting, photography, operation of such excavation equipment as power augers and backhoes for archeological testing, and first-hand knowledge of local architectural styles. Simply knowing the community and its people, of course, and being known by them, can be of great value to the survey effort, simplifying communication about the survey and its purposes, making possible access to properties where study is needed, and opening up sources of historical information.

Handling Survey Data

Evaluations of properties to determine their historic value should be done by professionals, or under direct professional supervision, but non-professionals can participate in the evaluation process in many ways. Evaluation is a subjective activity, and should be responsive to community values, particularly where the value of resources may lie in the contribution they make to the cultural integrity of the community or its neighborhoods. Community leaders and residents can and should work with professionals to define the resources that they perceive to be important to the history and character of the community, and the same sort of consultation with the people of individual neighborhoods can make vital contributions to the definition of particular historic districts.

Volunteers and other non-specialists in the preservation disciplines can also help work with the survey data in other, less subjective but equally important ways: carrying out the clerical work of organizing the data, coding data for computer storage and manipulation, and preparing publications. Specific useful skills include typing, word processor operation, general clerical skills, knowledge of computer science, use of darkroom equipment, editing, and design and layout.

If a community's efforts at public involvement in survey planning are successful, volunteer participants in the survey may be recruited from a diversity of sources. Civic and fraternal organizations and organizations representing particular interested professional groups (e.g. building contractors) may make the survey an activity to which their members donate their time. College and secondary school history, anthropology, and social science students may be encouraged to participate. Members of neighborhood organizations and organizations representing particular social or ethnic groups in the community may donate their time. Local historical and archeological societies may provide the backbone of the survey work force.

Organization and supervision of volunteers may be one of the major jobs of the survey leaders and should be carefully considered in preparing scopes of work and negotiating contracts. It may be appropriate to organize volunteer coordinating committees in various neighborhoods or other survey areas, or committees of people interested in different aspects of the survey process. To the extent such groups can be organized during survey planning, coordination of actual volunteer work on the survey will be facilitated.

Professional-Volunteer Relations

Volunteers' work should be reviewed at regular intervals during the survey process and periodic meetings should be held to discuss and evaluate progress. In this regard, it is vital that there be a clear understanding of the relationship between volunteers and professionals from the outset. To avoid wasted effort and ill feelings, it is necessary for each participant in the survey, whether volunteer or professional, to understand and respect the work of the other participants.

The more thoroughly volunteers are trained, the greater their contribution to the survey will be. The precise nature of the training program undertaken will depend on the particular situation, but every program should emphasize the need for thoroughness, consistency, and accuracy. Because the usefulness of the survey will depend in large part on the reliability of information gathered, the need for careful training and close supervision of volunteers cannot be overemphasized.

For guidelines and assistance in locating and organizing volunteers, a community may find it useful to contact Volunteer: The National Center for Citizen Involvement, 1111 North 19th Street, Suite 500, Arlington, VA 22209, or Post Office Box 4179, Boulder, CO. A good general reference work on the use of volunteers is Adams' Investing in Volunteers (see Bibliography).

What kind of training will ensure a consistent and high-quality survey?

Training should emphasize the need for thoroughness, consistency, and accuracy in all aspects of the survey, including historical research, field survey, and organization of survey data.

Training should be designed to:

• Convey the goals and objectives of the survey.
• Convey the interrelatedness of historical research and field survey work and a sense of how each contributes to the quality and usefulness of the survey.
• Acquaint researchers and field surveyors with the historical development of the survey area and its present physical character.
• Give a clear idea of the specific historical and cultural information relevant to the survey.
• Indicate the location of source material.
• Teach the skills of visual analysis, an awareness of environmental and architectural elements.
• Teach recording and mapping techniques.

Training sessions should familiarize both historical researchers and field surveyors with the broad physical and historical development of the area. Everyone involved in the survey effort should, in addition, have an opportunity to visit and become familiar with the survey area. Training sessions and on-site orientation sessions may be supervised by the survey coordinator or a trained professional familiar with the survey area.

On-site orientation as part of training can make clear which properties or areas researchers and surveyors will be responsible for and how these will be covered during the intensive survey. This overview of the character of the area and distribution of kinds of resources in it will help surveyors identify areas and isolated buildings that will require considerable attention, plan their method of approach, and budget their time. During the actual field survey, of course, the surveyor will be able to return for a careful examination of buildings, structures, sites, and districts.

Training for Archival Researchers

Archival research involves the development and refinement of historic contexts and the acquisition of information that can aid in the identification and evaluation of resources. Training should enable historical researchers to recognize the kind of historical data relevant to the survey project. The researchers should also understand how research information fits into the project as a whole, how it is to be recorded, and how it will be organized later. Careful coordination between research and field survey can be effected only if researchers understand both the nature of the research required and the way research and field survey efforts will be coordinated.

When conducting archival research, it is very easy to become overwhelmed by the sheer volume of information available, and to become so involved in tracing minutiae that one loses track of the main points of the research. Supervision is important to keep researchers on track: researchers should begin with a clear understanding of the questions the research is designed to answer, the patterns or trends it is seeking to identify, and the results it is expected to produce.

Depending on the size of the group and experience of the researchers, training might ideally consist of several lectures and field or lab sessions designed to familiarize trainees with the sources of information available and specific assignments to provide practice in actual research. Lectures could provide research trainees with an understanding of the kinds of information they will be gathering.

Researchers should be given a thorough understanding of the historic contexts that have already been established during survey planning, and oriented toward seeking information about how each historic context might be expressed in the actual distribution and nature of historic resources. This will involve understanding and studying such topics as:

1. the time range and geographic limits of the historic context;
2. the social, cultural, economic, environmental, and other characteristics of the historic context;
3. the physical resources that might represent the context, for example, the kinds of structures that were built during a particular period of the community's growth, and the parts of the community in which they were concentrated; and
4. the changes that have occurred in the community and its environment that might reveal or obscure the physical record of the historic context, for example, periods of modernization when older buildings were covered with new siding, episodes of natural or artificial land filling that might have buried prehistoric sites, and areas in which erosion or human excavation may have revealed such buried sites.

Researchers should also be instructed in the development of new historic contexts, organizing their research around such topics as:

1. trends in the settlement and development of the community and its region;
2. major events, significant groups, and leading individuals in the community's history;
3. aesthetic and artistic values that may be represented in the architecture, landscape architecture, construction technology, or craftsmanship of the community;
4. cultural values and characteristics of the community's social and ethnic groups; and
5. research questions of concern to scholars in the humanities or social sciences who have studied the community, its region, similar areas, or relevant problems in history, prehistory, geography, sociology, and other disciplines.

Field or lab sessions should be scheduled to familiarize researchers with the physical layout of the survey area and to give them an understanding of how to correlate their activities with those of the field surveyors. There should be specific discussion and practice in how to use field survey or special research forms.

Researchers should be made familiar with the types of historical information already known to be available in local and regional libraries, archives, and other sources, and through State and Federal agencies and organizations. Sessions might be scheduled at the local library to learn about types of general information and special collections such as manuscript, rare book, and photographic collections, and at the city or county courthouse where research on tax lists, building permits, plot maps, wills and deeds, etc. could be explained. A visit to the local historical society may familiarize trainees with another important source of information. Attendance at local preservation commission meetings and familiarity with the local review process, criteria, and design guidelines may supplement the trainees' understanding of the local needs and uses for survey data.

Individual assignments may be made to provide the group of researchers with more specific information and enable them to practice their research skills. They might be assigned specific practice tasks pursuing a small scale research topic already well enough known to the trainer to permit evaluation of the researcher's techniques and results.

Training for Field Surveyors: Architecture

Specific training sessions should be designed to acquaint field surveyors with (1) appropriate architectural terminology, (2) construction techniques and practices peculiar to the area, (3) local architectural features or styles, (4) survey techniques that will be used, (5) photographic coverage and equipment, and (6) actual maps and survey forms that will be used. Slide talks or films, with particular attention to local architecture, reading assignments, and the completion of practice forms, are all appropriate training methods. Familiarity with building styles should enable the surveyors to identify approximate ages of buildings in the survey areas and to describe them accurately. Inevitably, there will be regional variations in styles and buildings that cannot be described using standard terms, but as much as possible, standard architectural historical terms rather than more interpretive or creative terminology should be used. Particularly in rural areas or small towns, efforts should be made to make surveyors familiar with vernacular (as opposed to high style) building forms. They should be familiar with local styles and with plan and building types found in the area.

Many State Historic Preservation Officers have prepared identification guides to historic building types that are common in their States, and will be able to assist in using or adapting these in the training of field surveyors.

Some familiarity with building materials and methods is also important. Surveyors should be able to identify various building materials and know something about construction techniques.

Surveyors should also be acquainted with the terminology for detailed parts of buildings. Harley McKee's Amateur's Guide to Terms Commonly Used in Describing Historic Buildings and similar guides (see Bibliography) should assist surveyors in developing a vocabulary of architectural terms.

Identification and description of historic districts require special skills and may better be left to surveyors with specific experience and training. Training sessions, however, should attempt to make laymen aware of the qualities (visual, architectural, physical, spatial, social, etc.) that may make an area recognizable as an historic district. Surveyors should be taught to see how buildings, open spaces, natural features, roads, and other aspects of the environment interact to create particular urban or rural configurations, and how to conduct a precise visual analysis of those elements and their interrelationships. An effort should be made to convey an appreciation for the ways in which the cultural characteristics of a social group or period in a community's history may be reflected in its buildings and the organization of its spaces. Readings drawn from the literature of urban design, urban geography, anthropology, and environmental design, in addition to practice sessions in the field, should provide surveyors with a general approach and models of analysis (see Bibliography).

Surveyors should be taught to be alert to the archeological value of buildings and their contents-that is, their potential for producing information useful in important historical, anthropological, or sociological research. Particularly if the survey will involve the inspection of building interiors, surveyors should be taught to be on the lookout for such building contents as furniture, collections of papers, wallpaper, graffiti, industrial equipment, tools, and the organization of objects in buildings and structures that may reveal aspects of the lives of those who built, lived in, or used the space in the past.

Where landscape architecture is a concern of the survey, surveyors will need training in the kinds of landscape features to be recorded. If the primary focus of this aspect of the survey is on designed and constructed landscapes (e.g., parks, parkways, and landscaped housing tracts), background information on the design characteristics and concepts used by the landscape architects responsible for them should be provided to surveyors, so they can recognize and interpret such features when they see them. The American Society of Landscape Architects' Historic Preservation Committee (see contact information above) has developed forms that may be used in recording designed landscapes. Where non-designed cultural landscapes are the focus of attention-e.g., well preserved agricultural areas-fewer guidelines are available, but training should be provided in the natural geography of the study area and in the historical land uses that have shaped it. An excellent example of a study of such an area, which might usefully be studied during training, is Allen D. Stovall's preservation study of the Sautee and Nacoochee Valleys in Georgia (see Bibliography).

Training for Field Surveyors: Oral history

Where the collection of oral historical information is important to the project, researchers should be given specific training in interview techniques, use of questionnaires (if used), use of recording equipment, and-very importantly-ways to avoid giving offense to those interviewed. Where the collection of oral data will take place in an ethnic neighborhood, researchers should be made aware of and sensitive to the social and cultural values of the neighborhood's residents.

Training for Field Surveyors: Archeology

Where the identification of prehistoric archeological sites is a focus of the survey, since such sites are almost always substantially underground, surveyors should be trained to look for surface indications' of their presence and for conditions under which buried material may be exposed. Depending on local conditions, prehistoric sites may be marked on the surface by soil discolorations, fire-fractured rocks, scatters of pottery, flaked stone, and other debris, and concentrations of marine or freshwater shell. Stream cuts, drainage ditches, utility trenches, road cuts, and basement excavations may reveal buried sites. Surveyors should be trained to recognize typical local archeological phenomena (housepits, burials, middens, hearths, etc.) in such buried contexts, and should be taught basic concepts of stratigraphy and soil formation. They should be taught to recognize common prehistoric artifacts of the area, and to understand, in general, their functional, temporal, and cultural contexts.

Where the identification of archeological sites of more recent periods is involved, surveyors should be given training similar to that appropriate for prehistoric archeology, but with special attention given to the recognition of artifacts, construction techniques, building styles, and other features specific to the periods under study. They should be taught to be alert to such features as filled-in basements, wells, and privies, which are often important sources of archeological data.

An excellent handbook on the identification of prehistoric and historic archeological sites, oriented to the lay reader, is Archeological Resources and Land Development by Paul Brace (see Bibliography).

Where the archeological value of standing structures is important to the survey, surveyors should be trained in the recognition of architectural features, contents of structures, and spatial relationships within structures that may reveal aspects of their use, their history, and the social organization, economy, values, perceptions, and activities of their builders, residents, or users.

Close interaction between archeological surveyors and historical researchers should be stressed, because historical study of the community and its environment is vital in allowing archeologists to focus their efforts in areas most likely to produce results, and because archeological discoveries in the field may suggest fruitful lines of historical inquiry.

How much should a survey cost?

Survey costs can be reduced by using large numbers of volunteers, by reducing the level of professional supervision, by eliminating publication of survey results, or by simply cutting the size of the survey area. Such cuts, however, can affect the quality of the data gathered and undermine the usefulness of the results. Professional advice and assistance from the State Historic Preservation Officer in the initial stages of the survey project can help a community draw up a budget that is both accurate and reasonable.

Where can funding for surveys be obtained?

Many local governments allocate Community Development Block Grant funds to the conduct of surveys. Historic preservation grants-in-aid passed through by State Historic Preservation Officers to certified local government preservation programs or allocated directly to survey projects are also frequently used sources of assistance. Other Federal agencies from time to time make funding available to support surveys, often in the context of specific development projects. Some State governments provide financial assistance to survey efforts, either through the State Historic Preservation Officer or in connection with economic development and planning assistance programs.

Funding for specific projects can often be obtained from such Federal granting agencies as the National Endowment for the Arts and the National Endowment for the Humanities. Support for particular projects and programs may also be obtainable from such nonfederal sources as the National Trust for Historic Preservation, the American Association for State and Local History, and private foundations that support research in the arts, humanities, and social sciences.

The State Historic Preservation Officer will be able to provide current information on potential sources of financial assistance. Other good sources of information include economic development officials in local and State governments, National Park Service Regional Offices, and grants and contracts offices in local colleges and universities.

The following publications, which are updated regularly, may be helpful in locating sources of funds:

Annual Register of Grant Support. Edited by Alvin Renetzsky and others. Orange, NJ: Academic Media.

The Brown Book: A Directory of Preservation Information. Prepared by the National Trust for Historic Preservation. Washington, DC: The Preservation Press.

Catalog of Federal Domestic Assistance. Washington, DC: Government Printing Office.

Federal Funding Guide. Arlington, VA: Government Information Service.

Foundation Directory. Prepared by the Foundation Center. New York: Columbia University Press.

A Guide to Federal Programs. Prepared by the National Trust for Historic Preservation. Washington, DC: The Preservation Press.

National Directory of Arts Support by Private Foundations. Washington, DC: Washington International Arts Letter.