ICCROMUNESCOICOMOSMANAGEMENTGUIDELINESFOR WORLDCULTURAL HERITAGESITESBernard M. Feilden and Jukka Jokilehto
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XXx Li .249Management Guidelines forWorld Cultural Heritage SitesBernard M. Feilden and Jukka JokilehtoOD"ICCROMSecond EditionRome, 1998
ISBN 92-9077-150-X 1998 ICCROMICCROM — International Centre for the Study of thePreservation and Restoration of Cultural PropertyVia di San Michele 131-00153 Rome RM, ItalyE-mail: [email protected] in Italyby OGRAROStyle editing/typesetting/layoutCynthia Rockwell with Thorgeir LawrenceCover design by Studio PAGE
CONTENTSPREFACEix1 SUMMARY OF THE GUIDING PRINCIPLESOBJECTIVESDOCUMENTATION2WORK PLANS2PREVENTIVE MAINTENANCE3PERSONNEL3SITE COMMISSION32 GENERAL POLICY OF THE CONVENTIONTHE WORLD HERITAGE COMMITTEE5OPERATIONAL GUIDELINES5NOMINATION TO THE WORLD HERITAGE LIST 6GLOBAL STRATEGY8OBJECTIVES OF PROTECTION AND CONSERVATION9LIST OF WORLD HERITAGE IN DANGER10REMOVAL FROM THE WORLD HERITAGE LIST10THE EMBLEM103 EVALUATION FOR CONSERVATIONSUMMARY11WHAT IS CULTURAL HERITAGE TODAY?11What defines world cultural heritage ?WHAT IS PROTECTED IN A MONUMENT OR SITE ?1313Critical Process14Values related to a heritage resource14Definition of the heritage resource14Historical time line16What is authenticity?16WHAT VALUES INFLUENCE TREATMENTS?18Cultural values18Contemporary socio-economic values19
ivContents4 MANAGEMENT OF WORLD HERITAGE SITESINTRODUCTIONMANAGEMENTObjectives of Management232323Data on which the management plan is based24Inventory and documentation25Information managementResearch planningGeneral scheduleAdministrationCost control and policyLegal instrumentsProgrammingPROGRAMME REVIEW AND FUTURE PLANNINGBUDGETINGUNESCO's roleCHECKLIST FOR MANAGEMENT26272829303031313232335 MANAGEMENT BY RESOURCE PROJECTSMANAGEMENT PLAN PREPARATIONProcedureRequirementsPreparation and consultation proceduresREPORTINGShort-term reporting and review353535363737Long-term reporting and review37Format of the management plan37Comments on the format40Presentation of management plans406 MAINTENANCE PROGRAMMEINTRODUCTIONPREVENTIVE MAINTENANCE4141Professional input42The context of inspecting historic buildings and sites43Monitoring a maintenance programme44
Management Guidelines for World Cultural Heritage Sites44SPECIAL PROBLEMS44Vandalism and theft45Fire detection and protection7 STAFFING AND PERSONNEL SERVICES47SITE COMMISSION48STAFFING FOR GENERAL MANAGEMENTSelection of experts and professionals48Staffing requirements49Need for qualified personnel49The role of conservation crafts50Good workmanship5051EXAMPLES OF CONSERVATION SKILLSConservation architects and their teams of co-workers51Architectural conservators52Art and archaeological conservators52Heritage recorders52RECRUITMENT AND CAREERS53CONSERVATION FACILITIES53PERSONNEL MANAGEMENT55Contracted Services56Standards and Training568 TREATMENTS AND AUTHENTICITY59AIM OF TREATMENTSPreparedness59Priorities60Definition of treatment approaches60Treatments and architecture6365Treatments and ruinsHOW DOES TREATMENT RELATE TO AUTHENTICITYTreatments related to authenticity in material9666870Treatments related to authenticity in workmanshipTreatments related to authenticity in design7ITreatments related to authenticity in setting73CONCLUSIONChecklist for management7475
Contentsvi9 URBAN PLANNING AND WORLD HERITAGE TOWNSINTRODUCTION77Qualities of historic towns77Threats to historic towns79- OBJECTIVES OF PLANNING80Integrated conservation80Control of change82PLANNING PROCEDURE83Inspections and surveys85Implementation85Demands on staff86Conservation report and plan86Degrees of intervention89Maintenance89Rehabilitation90Infill design91Administrative actionsCHECKLIST FOR URBAN CONSERVATION939410 VISITORS TO WORLD HERITAGE SITESINTRODUCTION97Needs of visitors98Vandalism and damage98Welcoming the visitors99SITE MAINTENANCE99PRESENTATION AND INTERPRETATION100VISITOR MANAGEMENT102Promotion103A code of practice104REFERENCES105APPENDIX A — The Venice Charter109APPENDIX B — Nara Document on Authenticity113APPENDIX C — UNESCO Conventions and Recommendations117APPENDIX D — World Cultural Heritage Sites119APPENDIX E — ICOMOS Guidelines on Education and Training127APPENDIX F — ICOMOS Principles for Recording133
PREFACE TO THE SECOND EDITIONThese management guidelines were first published by ICCROM in English in 1993.Providing in a nutshell' some of the most pertinent principles in the conservationand management of cultural heritage, the guidelines have met with an encouragingresponse, as shown by the ongoing demand for translations in various languages.These include a French edition published by ICCROM in 1996 and a Spanish editionpublished in Colombia in 1995. Translations into Chinese, Thai, Persian, Polish,German, Russian and Lithuanian are being published as well.Considering the variety of values and the complexity of issues related tosafeguarding cultural heritage in different countries, it will be obvious to the readerthat one book can hardly cope with all situations. These guidelines, therefore,should be conceived as a general framework, and should be properly interpretedin the particular situations arising in each specific case.The present edition is proposed with some minor corrections compared to theoriginal 1993 edition. Some of these consist of updating the administrativeguidelines according to the latest available edition of the Operational Guidelinesof the UNESCO World Heritage Committee (February 1997). Such officialdocuments are frequently revised, so it is advisable to verify whether furthermodifications have been made. New versions can be obtained either from theWorld Heritage Centre at UNESCO or by consulting the Home Page of UNESCOWorld Heritage. Other corrections result from clarifications of the original text,such as the definition of the concept of 'value,' as well as the issue of 'authenticity'in relation to modern conservation, revised following the outcome of the Narameeting in 1994. Some new appendices have also been added.Bernard Feilden and Jukka JokilehtoMay 1998
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INTRODUCTIONThis set of guidelines originated from a joint meeting organized in Rome by theInternational Centre for the Study of the Preservation and the Restoration ofCultural Property (ICCROM) and the International Council on Monuments and Sites(ICOMOS), under the auspices of the Cultural Heritage Division of UNESCO inApril 1983.From their wide range of experience, the following experts contributed to theformulation of these guidelines:BOURICE, MaxDIMACOPOULOS, JordanFEILDEN, Sir BernardJOKILEHTO, JukkaLEBLANC, FrancoisMILLER, HughMOJSILOVIC-POPOVIC, SvetlanaMTURI, Amini A.Qunst, AdliAustraliaGreeceUnited KingdomICCROMCanadaUSAYugoslaviaTanzaniaSyriaAn outline of the contents was prepared by the working party, and Sir BernardFeilden was entrusted with the task of writing the text. The CountrysideCommission of the UK, Mr Andrew Thornburn and Dr Jukka Jokilehto helped inproducing a revised draft incorporating the constructive comments of all themembers of the original committee. The draft was then circulated to severalconservation experts and managers in different countries, and their comments werealso taken into consideration. The final text was prepared jointly by BernardFeilden and Jukka Jokilehto, with editorial assistance from Susan Bronson andBarrett Kennedy.Other manuals and guidelines have been initiated in the meantime, and the presentpublication should be seen as an integral part of a wider context. In particular,another manual now available is Risk Preparedness: A Management Manual forWorld Cultural Heritage, by Herb Stovel, former Secretary-General of ICOMOS.BackgroundFor those States Parties to the UNESCO World Heritage Convention that lack adeveloped system for the protection of their cultural heritage, the system proposedin these guidelines may seem complicated. The greatest challenge is to securesufficient specialist personnel for the care and protection of their heritage.However, the proposed system is conceived to be followed in its broad outlines
Introductionand used as a framework to accommodate the systems of each State Party as thosesystems develop. Often, developing countries are rich in the craft resources thatare a 'living cultural heritage' and vital for the conservation of sites.When a site is inscribed on the World Heritage List, it is recognised as havingoutstanding universal value, being one of about 500 such sites in the whole world.It is found that only a few States Parties (countries) have adjusted theiradministrative and town planning procedures, to recognise this new and enhancedstatus of a site, which also brings challenges from tourism and new development.'The designation of buffer zones is an urgent priority.The States Parties should have a positive attitude to World Heritage, withcommitment to the piinciples, which means that all concerned should know andapply these principles, including community involvement — a shared heritage withshared responsibility.In view of the immense variety in World Heritage sites, ranging from prehistoricpaintings to cities such as Rome, the authors have to outline principles, rather thangive recipes for action.Management planning should focus on values, using them as an explicit basis fordecision making.This booklet has already been translated into several languages. It is suggestedthat it would assist site managers and staff if they can read it in their own tongue.Who has the day-to-day, hour-by-hour responsibility for the management of aWorld Cultural Heritage site? The site may be chock-a-block with visitors, but whois responsible? There may be a Director-General, but, unless he or she has delegatedadequate authority, no local person is in effective charge. Without localmanagement control, anything can happen. The preventive actions needed toprotect cultural heritage must be taken by specially trained staff who understandits significance.These guidelines are written for all those concerned with a World Heritage site,but are applicable to other sites preserved for their cultural values. The aim is tohelp site management staff to become alert and self-sufficient, with adequateresources and active support from their central government. Since conservation isan essential part of the management process, the theory guiding conservationactions must be understood and used by the multidisciplinary management team.The designation of a site as World Heritage implies changes. Increased numbersof visitors demand new facilities and bring in more traders. Shops that encroachon the site in a few days may take years to remove, even if their presence is totallyillegal. A government may seek to enhance its site by over-restoration. The
Management Guidelines for World Cultural Heritage Sitesxilandscape and setting of the site may be damaged by intrusive development, suchas engineering works or mineral extraction, and so on. Management should focuson risk assessment.Management is essential, and can only be exercised at the site. What are theresponsibilities of a site manager? A visitor has a serious accident: someone hasto deal with it. A school party arrives unexpectedly without having booked, it israining heavily and there is no shelter. There has even been a case where a dryriverbed flooded and a party was swept away by a sudden storm. Continuouserosion of the site causes floors with inscriptions to become worn. Even the rocksof the Acropolis need protection. Crowding of visitors leads to frustration and thismay promote vandalism. Litter has to be cleared, paths repaired, plants protectedand the needs of wild animals respected. The site manager has constantly to monitorsecurity and be on guard against arson. All this strain on the management is toenable the citizens of the world to enjoy their cultural heritage. These citizensshould be encouraged to report to the World Heritage Centre.Politicians and administrators will be primarily interested in the principles, theDirector-General in the policy, and the staff in the practicalities of sitemanagement. Conservation theory should guide all actions. The site manager iscaught between daily problems and the larger issues imposed by supervisors, whohave an eye on the budget but for whom the prime need is to conserve the WorldHeritage site.The enjoyment of our heritage depends upon its conservation. These guidelinesaim to assist site managers to fulfil this role with the support of a commission ofexperts, by understanding what it is that makes the site significant and protectingit from the numerous threats to which it is exposed.World Heritage demonstrates that the industry, craftsmanship, love and care ofpast civilizations were given to make their surroundings meaningful. This shouldnever cease to fill us with wonder. The past can speak to us and help us realizewhere we are going in the future.Bernard Feilden and Jukka JokilehtoMay 1998
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Chapter 1SUMMARY OF THE GUIDING PRINCIPLES1.1 OBJECTIVES These Management Guidelines are intended to provide advice andsuggestions for implementing the intentions of the World Heritage Convention.They contain information which will be useful for all States Parties to the UNESCOConvention Concerning the Protection of the World Cultural and NaturalHeritage. The State Party will have already designated World Heritage sites inaccordance with conventions, guidelines and forms prescribed by UNESCO!Management techniques can be applied at any level of technical sophistication andcan be used to raise levels of technical competence. Priority should be given to establishing the framework for management. All proposed activities must be based on interdisciplinary collaboration usingconservation theory to evaluate alternative proposals. The management plan will consist of several interrelated resource projectplans.Each State Party should apply the principles given in these guidelines accordingto the degree of sophistication in management that can be made efficient andeffective. If the basic framework of actions suggested in these guidelines isfollowed initially, greater sophistication can be achieved in subsequent stages,when it is perceived to be necessary and when the required professionals areavailable.Actions to implement the management of World Heritage sites should be basedupon the traditions and legislation of the State Party, which should review itslegislation and update it if necessary.1Updated information on the World Heritage Convention and related issues can be found on theInternet at: http://www.unesco.org:80/whc./ . In particular the UNESCO Conventions should beconsulted, as these guidelines are based on the assumption that the State Party adheres to andimplements the said Conventions. The Recommendations of UNESCO also provide complementaryguidelines for implementation of conservation policies. In addition to the list of references given inthe last chapter, selected bibliographies relating to the management of historic areas, buildings andsites may be requested from ICCROM in Rome, Italy, or from the Conservation Information Network(CIN) in Ottawa, Canada.
2Guiding PrinciplesThe management of a World Heritage site is based on the detailed analysis of itssignificance as identified during the nomination procedure. Management includesthe following: ensuring that all site staff understand the cultural values to be preserved inthe site; providing specific guidelines based upon the statement of significance of thesite; making a complete inventory of all the cultural resources within the site; arranging for regular inspections and formal reports by professionals withsuitable qualifications and experience; drafting a strategic maintenance plan leading to the formulation of resourceprojects which are incorporated into an annual work programme accordingto their priority; and respecting, in all work, the ethics of conservation, the establishedinternational recommendations of UNESCO, and guidelines such as theVenice Charter.1.2 DOCUMENTATIONAll pertinent published literature relating to the site should be collected, cataloguedand made accessible. The statement of significance should take this material intoaccount. If this has not been done, the omission should be rectified as a matter ofurgency.Management of the site should be based on the State Party's legislation controllingland use, but additional protection may have to be applied, particularly to the areasurrounding the site. The inventory should include all buildings and, whereappropriate, their contents as well as the townscape and landscape resources withinthe site.1.3 WORK PLANSLong-term (5-30 years), medium-term ( 5 years), and annual work plans are thebasis of management planning, programming and budgeting. Annual programmesmay consist of a number of related projects which can be brought forward forapproval by stages.Management should be organized by resource projects according to a standardmethodology. Since programming will depend on both the capacity of the staff andthe budget, resource projects must be identified in advance and implemented inorder of priority.
Management Guidelines for World Cultural Heritage Sites3Research activities will require planning, coordinating and management under aseparate committee; a brief outline should be attached as an appendix to themanagement plan. Town planning studies form part of the management plan, beingintegrated on the basis of regular inspections.One aim of conservation is to not lower living standards of the occupants of historicareas, so rehabilitation guided by suitable standards and guidelines may benecessary.1.4 PREVENTIVE MAINTENANCEA preventive maintenance strategy should be developed, based upon amultidisciplinary approach. When practical, alternative courses have beenexamined, conservation theory should be used to evaluate the prescription to beadopted.Maintenance includes all practical and technical measures that are needed to keepthe site in condition at a standard that permits enjoyment of the cultural resourcewithout damage. It is a continuous process. Frequencies of action should be definedbased upon professional input and special training of craftspersons. Monitoring ofthe maintenance programme is necessary.Special precautions may be needed against vandalism, theft, fire, floods andearthquakes.1.5 PERSONNELSuitable experts must be selected to advise on the work plan and to assist in itsexecution. The plan should start with a statement of management philosophy,couched in terms all site staff can appreciate. Staffing requirements must beassessed, and key staff should be appointed first. Staffing and personnel arediscussed in Chapter 7.1.6SITE COMMISSIONThe establishment of a Site Commission is recommended.The Site Commission should act as a guardian of the World Heritage site. Itsprimary duty is to conserve and manage the site. The form of the Site Commissionshould be dictated by practical considerations, and its name — be it task force,agency, commission, etc. — should fit into the national administrative pattern. Ifsufficiently close geographically, several small World Heritage sites with similarproblems could come under one Commission (e.g., within the State Party'sarchaeological organization). Certain bodies, such as committees of city councils,could act as Site Commissions.
4Guiding PrinciplesIt is desirable that the Site Commission have a budget forproviding generalinformation, promoting public awareness and accommodatingschool education,and that the mass media and other channels of communicationbe used to publicizethe site worldwide. The production of guidebooks merits serious consideration.Visitor and community services ought to be provided, but themaximum capacityof the site should not be exceeded, and security and protection may have to beprovided. The policy on admission fees needs study. Training and licensing ofguides is usually the responsibility of the Site Commission.Economics will control much of the Site Commission'sactivities. Althoughdepending in a large part on a state grantfor site preservation and research studies,the commission should be allowed to raise money from tourists in order to developthe site and so increase visitor enjoyment, as well as defrayingsome costs. Annualbudgeting should be established within a framework of governmental finance, withpowers to carry fiscal allocations forward from one year tothe next. Budgetingshould be under standardized headings.
Chapter 2GENERAL POLICY OF THE CONVENTION2.1 THE WORLD HERITAGE COMMITTEEThe Convention Concerning the Protection of the World Cultural and NaturalHeritage is one of the three UNESCO Conventions related to cultural heritage,1 andwas adopted by the General Conference of UNESCO at its seventeenth session inParis on 16 November 1972. As of 28 October 1997, 152 states had deposited aninstrument of ratification, acceptance or accession to this Convention.The Convention is managed by the World Heritage Committee assisted by theUNESCO Secretariat, the World Heritage Centre. Decisions are prepared for theCommittee by the World Heritage Bureau, which consists of a chair, vice-chairsand a rapporteur. The Committee, which consists of representatives of StatesParties, generally meets once a year. The three essential functions of the Committeeare: to identify, on the basis of nominations submitted by States Parties, culturaland natural properties of outstanding universal value which are to beprotected under the Convention, and to list those properties on the WorldHeritage List; to decide which properties on the World Heritage List are to be inscribed onthe List of World Heritage in Danger (i.e., properties on the WorldHeritage List that are threatened and would require major operations for theirconservation; generally a request for assistance is required); and to determine in what way and under what conditions the resources in theWorld Heritage Fund can most advantageously be used to assist StatesParties in the protection of their properties of outstanding universal value.2.2 OPERATIONAL GUIDELINESThe Operational Guidelines for the Implementation of the World HeritageConvention (hereinafter simply referred to as the Operational Guidelines), firstwritten in 1977 and periodically revised,' were prepared for the purpose ofinforming States Parties to the Convention of the principles that guide the work of12The others are: Convention for the Protection of Cultural Property in the Event of Armed Conflict (theHague Convention), adopted in 1954, and Convention on the Means of Prohibiting and Preventingthe Illicit Import, Export and Transfer of Ownership of Cultural Property, of 1970.These Management Guidelines reflect all such revisions up to and including the changes to theSession of the World Heritage Committee in Merida,Operational Guidelines as adopted by theMexico, December 1996 (WHC-97-2, February 1997).le
6General Policy of the Conventionthe Committee in establishing the World Heritage List and the List of WorldHeritage in Danger, as well as in granting international assistance under theWorldHeritage Fund. The Operational Guidelines are considered a workingtool, andmay be edited and revised by the World Heritage Committee according tolocalneeds in accordance with the policies defined for the Convention by the Committee.2.3 NOMINATION TO THE WORLD HERITAGE LISTOne of the principal aims of the World Heritage Convention is to identify specificheritage sites, cultural or natural, to be nominated to the World Heritage List.Tobe eligible, the cultural heritage should be of outstanding universal value;thespecific criteria for nomination to the World Heritage List are definedin theOperational Guidelines (Section C., par. 23-34) and refer to three categories ofWorld Heritage sites: (a) monuments, groups of buildings and sites; (b) groupsofurban buildings; and (c) cultural landscapes.The criteria for category (a) sites are that they must:(a) (i) represent a masterpiece of human creative genius; or(ii) exhibit an important interchange of human values, over a span of timeor within a cultural area of the world, on developments in architecture,monumental arts, town-planning or landscape design; or(iii) bear a unique or at least exceptional testimony to a cultural tradition orto a civilization which is living or has disappeared; or(iv) be an outstanding example of a type of building or architectural ensembleor landscape which illustrates (a) significant stage(s) in human history;Or(v) be an outstanding example of traditional human settlement or land-usewhich is representative of a culture (or cultures), especially when it hasbecome vulnerable under the impact of irreversible change; or(vi) be directly or tangibly associated with events or living traditions,withideas, or with beliefs, with artistic and literary works of outstandinguniversal significance (the Committee considers that this criterion shouldjustify inclusion in the List only in exceptional circumstances or inconjunction with other criteria cultural or natural);In addition, a World Heritage site must:(b) (i) meet the test of authenticity in design, material, workmanship or settingand in the case of cultural landscapes their distinctive character andcomponents (the Committee stressed that reconstruction is only acceptable if it is carried out on the basis of complete and detailed documentation on the original and to no extent on conjecture).
Management Guidelines for World Cultural Heritage Sites7(ii) have adequate legal protection and/orcontractural and/or traditional protection and management mechanisms to ensure the conservation of thenominated cultural property or cultural landscapes. The existence ofprotective legislation at the national, provincial and municipal level orwell-established traditional protection and/or management mechanismsis therefore essential and must be stated clearly on the nomination form.Assurances of the effective implementation of these laws and/or management mechanisms are also expected. Furthermore, in order to preserve the integrity of cultural sites, particularly those open to largenumbers of visitors, the State Party concerned should be able to provideevidence of suitable administrative arrangements to cover the management of the property, its conservation and its accessibility to the public.Category (b) covers groups of urban buildings, and refers mainly to historictowns.3 These are classified into three types (par. 27):(i) towns which are no longer inhabited but which provide unchangedarchaeological evidence of the past; these generally satisfy the criterionof authenticity and their state of conservation can be relatively easilycontrolled;(ii) historic towns which are still inhabited and which, by their very nature,have developed and will continue to develop under the influence ofsocio-economic and cultural change, a situation that renders the assessment of their authenticity more difficult and any conservation policymore problematical;(iii) new towns of the twentieth century which paradoxically have somethingin common with both the aforementioned categories: while their originalurban organization is clearly recognizable and their authenticity is undeniable, their future is unclear because their development is largelyuncontrollable.The Operational Guidelines define the criteria for the nomination of historic townsas follows (par. 29):To qualify for inclusion, towns should compel recognition because oftheir architectural interest and should not be considered only on theintellectual grounds of the role they may have played in the past ortheir value as historical symbols under criterion (vi) for the inclusionof cultural properties in the World Heritage List. To be eligible forinclusion in the List, the spatial organization, structure, materials,forms and, where possible, functions of a group of buildings shouldessentially reflect the civilization or succession of civilizations whichhave prompted the nomination of the property.3The term towns is used generically throughout these Management Guidelines to also include citiesand other urban sites.
World Cultural Heritage, by Herb Stovel, former Secretary-General of ICOMOS. Background For those States Parties to the UNESCO World Heritage Convention that lack a developed system for the protection of their cultural heritage, the system proposed in these guidelines may seem complicated. The greatest challenge is to secure