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Apply the Preservation Process Successfully

by the WBDG Historic Preservation Subcommittee

Last updated: 04-30-2008

Overview

Work on historic buildings, landscapes, archaeological sites, or other cultural resources, requires knowledge of a unique process of compliance and review. This process differs from work on existing buildings or on new construction and should be considered in concert with other project goals requiring close collaboration between preservationists and design disciplines. To ensure a balanced, economically viable, and preservation-sensitive project, the outline below should be followed.

A. Initial Project Planning Stage

Determining What Makes a Building Historic and Who Makes this Determination

In the United States, a property—either public or private—is considered historic if it meets a set of criteria established by the National Register of Historic Places, a division of the National Park Service that lists cultural resources worthy of preservation. The nomination process is initiated by a property owner and/or interested citizen in collaboration with the following entities (these entities also determine if a property is eligible for listing): State Historic Preservation Officers (SHPOs) for properties in their state, Federal Preservation Officers (FPO) for properties under federal ownership or control, and Tribal Historic Preservation Officers (THPO) for properties on tribal lands or with tribal interests. These organizations process the nominations and then forward them to the National Register of Historic Places in Washington, DC for final approval.

Eligibility for listing in the National Register is based on a set of criteria, which are used by those involved in the decision making process on local, state and federal levels. There are also local and state registers who evaluate their resources in a similar manner.

A general threshold for eligibility in the National Register, or state or local registers, is that the property be at least 50 years old, although there are exceptions to this rule. The four principal eligibility criteria are:

  1. Resources that are associated with the events that have made a significant contribution to the broad patterns of historic; or
  2. Resources that are associated with the lives of persons significant in our past; or
  3. Resources that embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction; or
  4. Resources that have yield or may be likely to yield information important in prehistoric or history.
Photo of Monticello

Monticello, Charlottesville, VA, Thomas Jefferson, 1768 to 1782.
Credit: Library of Congress, Prints & Photographs Division, FSA-OWI Collection, John Collier Photographer. Reproduction number, e.g., LC-USF35-1326

Eligible properties that meet these criteria and successfully complete the formal nomination process are then "listed" in national, state, and/or local registers. Buildings are either located within the boundaries of a designated "historic district", or are "individually listed" for their architectural and/or historical merit. A listed building may also become eligible for tax credits and other financial incentives.

A completed register nomination form may be a valuable source of information on a building's (or other resource's) history. Nominations are generally available through State Historic Preservation Offices, or through the National Register of Historic Places.

Conduct Investigation and Research

Completing a state and/or national historic register nomination requires general knowledge of the resource type being considered (building, landscape, archaeological site), which necessitates investigation and historical research requiring qualified preservation professionals. Procuring qualified preservation professionals can make the process more efficient. (Refer to section on Form a Qualified and Experienced Project Team in Section B below.) There may also be regulations, guidelines, and applicable codes that must be followed. Preparing a nomination should be done in consultation with the consulting agencies (State Historic Preservation Office, the Federal Preservation Office, and the Tribal Historic Preservation Office) to make certain all requirements are met. Nominations for federal properties in certain historic districts must also be reviewed by the local historic preservation commission.

Understand the History of a Property

For the long-term preservation of a historic property, it is very important to understand its history before any construction begins. Consider the following:

Photo of Gamble House

Gamble House, Pasadena, CA, Greene and Greene, 1909.
(Courtesy of National Park Service)

Archival research to verify the original appearance of the building and site is helpful in establishing preservation priorities and in preparing treatment alternatives.

An excellent planning tool for successfully completing a project for any historic resource is to develop a Preservation Management Plan. This document records a resource's history, why it is significant, what are the most important features to preserve if work is completed. The plan delineates which areas require special protection or which areas first merit rehabilitation. The preservation management plan guides future maintenance, repairs, and alterations. Some also provide detailed guidance for rehabilitation or adaptive use.

The following are sources to aid in archival research concerning the property:

National Sources
State Sources
Local Sources

Determine the Regulation, Guidelines, and Standards That Affect the Proposed Work

When work is proposed for a historic property, compliance involving a variety of public agencies may be required. Compliance with federal preservation laws is mandatory if the property is using federal funds, leases, grants, permits, or licenses (even if the historic resource is privately owned), is on federal land, or is under the jurisdiction of the federal government. To save time and money, determine ahead of time who must review the preservation project and learn what is required for approval (at all governmental levels).

Section 106 and Section 110 of the National Historic Preservation Act

Section 106, 36 CFR Part 800, Protection of Historic Properties: Section 106 regulations require that the head of any federal agency "prior to the approval of the expenditure of any federal funds on the [construction] undertaking … take into account the effect of the undertaking on any [historic] district, site, building, structure, or object". Or, more simply, if federal funds are used to do work on an individual property, then studies must be conducted to determine the potential effect of the work on the property. If any historic or cultural resource (building, land, structure, object, or feature) will be adversely affected by the work, then mitigation and/or remedial plans must be made, as well as a plan to suitably document any resource to be lost. The Advisory Council on Historic Preservation establishes policy on this process.

Section 110: Section 110 regulations require that each federal agency establish and maintain a "preservation program for the identification, evaluation, and nomination to the National Register of Historic Places, and protection of historic properties" for all properties owned by or under the jurisdiction of the agency, thus providing responsible management of current and future historic properties under their care.

For more information on compliance with Section 106 and Section 110, refer to the following:

Legal Agreements

Sometimes there are historic easements, covenants, mechanisms of title transfer, or other legal agreements placed on historic properties that can restrict work undertaken.

For more information on easements, refer to the following:

There are also binding commitments that federal agencies make with specific regulators that must be taken into consideration. These arrangements are established to protect significant historic, archeological, or cultural resources, and to ensure that the property's intrinsic values will be preserved for future generations through subsequent ownership.

Local Compliance

For information on compliance to local regulations, refer to the following:

Codes Compliance—Building Codes and Historic Buildings

Until recently, building codes were generally written exclusively for new construction with few provisions made for historic buildings and their unique requirements. New codes are now being developed for older structures on local, state, and national levels. These include those listed in the Codes & Standards.

Additionally, significant older buildings often qualify for zone or code variances if provisions are not explicitly made for historic buildings in the state or local code. Federal Agencies must adhere to other mandates, such as those listed in the WBDG Mandates/Reference section. Federal employees embarking upon a project involving a historic building in addition to checking with the agency's Federal Preservation Officer (FPO), should check with their environmental compliance office, preservation office, and/or facilities division for immediate requirements that must be adhered to.

Identify the Character-Defining Features of the Historic Property

Photo of Capitol building

U.S. Capitol
Courtesy of Architect of the Capitol

The terms "character-defining" or "architectural character" refer to all those distinctive elements and physical features that comprise the appearance of every historic building. Character-defining aspects of a historic building include its massing, materials, features, craftsmanship, decorative details, interior spaces and features, as well its site and environment.

Consider the following in identifying the character defining features of the historic property:

Following are recommended sources to aid in the investigation and to help identify a building's most salient features:

Fit the Program to the Historic Building

Photo of depot interior after its conversion

This former rail station depot was converted to a hotel with reception areas. This program fit the extant building well.
Courtesy of National Park Service.

The goal of preservation is to protect the historic integrity of an individual building and its surroundings. Once the important features of a property are identified, their protection is a priority. The design process should respect and respond to the historic features.

Consider the following:

Photo of train shed before its conversionPhoto of train shed after its conversion

Instead of demolishing the former train shed, it was converted into an indoor ice arena. This program fit the extant building well.
Courtesy of National Park Service; Photo of indoor ice arena: Audrey Tepper

For more information, click here.

B. Planning Stage

Form a Qualified and Experienced Project Team

A historic property's architectural integrity and successful long-term preservation rest on decisions made throughout the entire design and construction process. Therefore, assembling an experienced, competent project team is extremely important. The selected preservation professionals should have experience working on similar historic preservation projects (e.g., the same building type or property), and understanding their unique requirements.

Historic building surveys, planning documents, and technical studies concerning repair and alteration of historic material and spaces should be prepared only by firms and individuals meeting, at a minimum, Department of Interior qualification standards for the applicable preservation professions. This should also be done in accordance with the Secretary's Standards for the Treatment of Historic Properties. These individuals include but are not limited to architectural conservators, architectural historians, preservation architects, preservation engineers, and other allied preservation professionals.

Some agencies have developed criteria and procedures for evaluating the competency of preservation professionals and construction contractors.

There are many sources for finding good expertise in historic preservation, including:

Develop Individual Preservation Management Plans

Continuing the preservation process with sound preservation planning is the next course of action. Prior to construction, it is essential to create a planning document outlining the significance of a historic building, documenting the qualities and elements that contribute to its historic character, establishing preservation priorities, and addressing how the building is to be treated. This type of plan is often called a "preservation management plan" or "Historic Structures Report." In government agencies, this type of document may also be referred to as an Integrated Cultural Resource Management Plan (ICRMP) and Building Preservation Plan (BPP). In addition, a "Cultural Landscape Report or Inventory" may also need to be prepared.

For additional information on preservation management plans, click here.

Federal regulation requires development of individual preservation management plans if the property is federally owned or uses federal funds. The plan can take many forms, but MUST include the following types of information:

The following types of information may be included in a preservation management plan or Historic Structures Report:

Plan Suitable Spaces for Program Needs

Photo of ballroom converted into a parking garage

This late 19th century hotel ballroom conversion into a parking garage is not a suitable use or program for this type of highly articulated finished space.
Courtesy of National Park Service

Preservation management plans identify character-defining qualities and establish preservation priorities for matching program functions to specific buildings or spaces. The goal is to make the best possible use of existing historic features, minimizing the need for interventions that might compromise the historic character of the building or site. Comprehensive planning is encouraged so that all changes, large or small, are part of a well-integrated building plan, as opposed to piecemeal alterations undertaken without regard to long-term effects.

Preservation zoning establishes a hierarchy based on architectural merit, historic significance, and historic integrity, or the extent to which original materials and design remain intact. These zone categories are then correlated to appropriate levels of treatment, in accordance with the Secretary of the Interior's Standards. The proportion of zones dictating a stricter vs. more lenient design approach is unique to each building. In some buildings, every space is highly significant and all changes must be taken with great care, under the guidance of an experienced preservation professional or team. Other buildings can accommodate greater change while still maintaining their historic character.

Buildings well matched to their tenants and functions require very little change. Whenever changing building occupancy or functions, seek uses and tenants suited to the building. Suitable uses are functions that minimize the need to alter character-defining features or spaces. The less modification required by the proposed program, the more suitable the program.

Accommodating new functions demands ingenuity. The success of which rests, to a great extent, upon the ability to successfully integrate old and new so that the property retains its historic character and the parts still relate to the whole.

In addressing changing space requirements, first consider options that enable the historic building to continue serving the function for which it was originally constructed. When the historic function is no longer viable, feasibility studies are undertaken to assess the financial and practical achievability of treatment options.

C. Design Development Stage

Design to Minimize Changes to Historic Property

Photo of Federal Courthouse, Scranton, PA

Federal Courthouse, Scranton, PA. Adding an adjoining or freestanding annex has enabled many federal courts to remain in historic courthouse buildings, allowing continued public access to ceremonial courtrooms.

The underlying philosophy behind any preservation project is to keep to a minimum the proposed changes to a historic property. For its long-term protection, the historic property must always come first. Therefore, any changes should play a secondary role to the historic property and new work must not dictate what occurs on site. The role of the preservation design team or specialist is to help ensure that these changes contribute to, rather than detract from, a building's historic character and design unity.

If a historic property is on federal land or using federal funds and changes are proposed, the State Historic Preservation Officer (SHPO) in which the property is located must be consulted to comply with Section 106. The Secretary of the Interior's Standards provide the framework for responsible preservation design. Technical guidance is available to help resolve common preservation challenges.

For more detailed design guidance, refer to the following WBDG pages:

Select Competent and Qualified Contractors

Similar to the selection of the project team, the construction team should consist of qualified contractors and subcontractors with experience working on similar historic properties. Select contractors early enough to include them in developing solutions that meet the project goals (where the contract process so permits).

GSA has developed contract language and evaluation criteria to verify the competency of architectural and engineering firms, as well as, construction contractors that propose to work on historic buildings. GSA's preservation project management online guidance also includes a model scope of services for architectural and engineering design work involving historic buildings. For more information, visit the GSA Historic Buildings website.

D. Construction Stage

Provide Temporary Protection

Construction activity during the course of a project can damage historic resources. Therefore, providing temporary protection of a building or site during this time should be incorporated in planning and construction documents. On-site supervision with regular inspections ensures that historic fabric is not at risk. For additional information on temporary protection see the National Park Service TechNote section on Temporary Protection.

Ensure Fire Safety During Construction

Many historic buildings are destroyed as a result of fires during construction. Fire-safe clean-up, including removal of flammable solvents and rags and debris, is critical. Fire suppression systems must be maintained and augmented when appropriate. Leave pathways to exits clear, and ensure that fire doors remain closed. Additional supervision may be required while high risk construction activities are underway.

Educate Workers and Public on Significance of Historic Property

Educating everyone involved in the project—from the property owner, to the consultants (architectural, structural, mechanical, plumbing, electrical, civil), to the contractors and laborers, and to the eventual property users—about why the property is worthy of preservation is vitally important. The better informed one is the more likely one is to treat the property with care.

Regular on-site supervision and good communication between the preservation team and the construction team can protect a historic building while construction is underway. Sometimes features worthy of preservation are uncovered as work progresses and this can ensure these and other important elements are not compromised.

Wayside signs or exhibits describing construction/preservation work can generate interest in the project while building good will among tenants and visitors who are inconvenienced by construction. The costs of these installations can be offset by reduced effort required to respond to questions and complaints.

Develop Building Maintenance Manual

For the long-term protection of a historic resource, operational guidelines should be developed for not only tenants, but also for the building staff. These guidelines should provide:

E. Occupancy Stage

Modify Leasing Agreements and Provisions

Tenants must know what they can and cannot do prior to leasing. This type of information may be included in leasing documents and through the development of tenant guidelines.

Historic properties must also be protected when tenants move in or relocate to a property. Transporting furniture and office equipment can often cause damage unless care is taken to protect important features during increased levels of activity. Once again, accommodations for temporary protection should be made early on in the planning process and in construction documents.

Leases should also include procedural guidance for Section106 compliance when alterations are unavoidable.

Develop Special Events Policies

Historic properties are often used for special events (e.g., exhibitions, exceptions, parties, demonstrations, etc.). These activities increase the wear and tear on a property and can damage an historic resource. Temporary protection of the architectural fabric and landscapes when equipment is moved in and out, and when the space is being used, should be provided. The following actions are recommended to minimize the effects of special events on the historic property:

Update Individual Preservation Management Plans

Technical guidance provided in the preservation management plans and other preservation plans should be periodically updated to ensure that the plans reflect current conditions. Updating also ensures that recommendations take into account technical advancements in treatment technologies that may have occurred since the plan was initially created. Updates should be undertaken by a specialist firm meeting the Department of Interior qualification standards, preferably by the firm who prepared the original plan.

Relevant Codes and Standards

Federal Mandates

Standards and Guidelines

Federal

State/Local

Codes

Major Resources

WBDG

Historic Preservation—Additional Resources

Publications

General

Codes

Technical Guidance

Investigation

Preservation Management Plans

Special Events Policies

Training

Related Resource Pages
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WBDG Services Construction Criteria Base