Appropriate Documentation for Phase I and II Archaeological Reports

Transcription

1 APPENDIX E: ARCHAEOLOGY REPORT GUIDELINES Apprpriate Dcumentatin fr Phase I and II Archaelgical Reprts The terminlgy standard reprt is the same dcument type referred t as a Phase I r Phase II reprt as utlined in the Archaelgy Guidelines (OHPO 1994: 26-36). The results f the secndary surce review and field survey dictate the reprting frmat used t cmplete Phase I investigatins. Standard reprts are required at the Phase I level if Phase II wrk is recmmended r fr prjects that may affect NRHP listed r eligible sites. The standard reprt frmat is t be used fr prjects when Phase II wrk is needed t determine the NRHP eligibility f impacted cultural resurces. Phase II reprts will always fllw the standard reprt frmat. Recmmended Cmpnents and Cntent f Standard Phase I and II Archaelgical Reprts (as apprpriate); based n Archaelgy Guidelines (OHPO 1994): Title Page Abstract Table f Cntents List f Figures Intrductin/Prject Descriptin Prject Mapping (based n Appendix K examples) Secndary Surce/Recrds Check Review Archaelgy Secndary Surce Review Map Natinal Register Map r Bundary Descriptin Archaelgy Secndary Surce Review Table Histric/Cultural Cntext Predictive Mdel (if applicable) Research Design Archaelgy Field Methds Results f Archaelgy Survey Phase I Archaelgy Resurce Table (if cmpleted) Artifact Analysis Cllectin Curatin Lcatin Summary and Cnclusins Recmmendatins References Appendices Archaelgy Survey Methds Table (if cmpleted) Cultural Materials Prvenience Table (if cmpleted) Histrical Maps Building Lcatins Table (if cmpleted) Shrtened Phase I Archaelgical Reprts Shrtened reprt frmats can be used: when cultural resurces are present but nt impacted by a prject, when ineligible cultural resurces are present and impacted, when there are n cultural resurces present, and when resurces are nt present due t disturbance. This reprt frmat may be used when archaelgical resurces are discvered in a prject area, are incnsequential, and require n further wrk. This frmat may be used if NRHP listed r 1

2 eligible prperties are present but nt impacted r affected by the prject. The critical decisin pint fr using this frmat is when n further wrk is recmmended fr any f these reasns. If there is nthing t evaluate fr NRHP eligibility and/r there are n NRHP listed r eligible sites that will be affected, the reprt can be shrtened. Certain elements f a standard Phase I reprt are nt required due t the nature f the highway prject and the results f the field survey. Fr example, a shrtened reprt may be adequate fr a majr undertaking such as an interstate widening thrugh a mdern urban setting which was fund t be universally disturbed r where n histric prperties exist based n secndary surce review and cntextual data. A lengthy secndary surce review is nt needed if there are n previusly knwn archaelgical resurces in the area. A shrt reference t mdeling is helpful t predict the likelihd f archaelgical resurces and dcument the adequacy f the field methdlgy. Hwever, a lengthy cultural cntext is nt needed if n archaelgical resurces are fund. A Table f Cntents page is nt required if the reprt is ten pages r less and/r the majr sectins f the reprt, ther than the field wrk sectin, are a page r less in length. Always remember t abstract data, paraphrase ideas, and cite infrmatin frm previus investigatins in efficient ways. Pht dcumentatin, apprpriate maps, results f the literature review, cntext, and results f field investigatins shuld be included in a shrtened reprt. It des nt matter hw many test pits r sil cres are dne in rder t dcument disturbance and/r absence f archaelgical resurces in an area; the investigatr must unquestinably prve the disturbance and absence f resurces t use this frmat. Phts shuld als be used t dcument disturbance in an area. Fr areas nt shwing disturbance, thse areas shuld be subjected t testing/cring. Detailed phts f the results f that testing/cring may then be included in the Phase I survey reprt. If there is nthing t evaluate fr NRHP eligibility and/r there are n NRHP listed r eligible prperties that can be affected, the reprt can be shrtened. The investigatr MUST d the apprpriate level f wrk in the field and in the reprting t dcument any r all f these situatins r cnditins. Refer t the Archaelgy Guidelines (OHPO 1994). The prper level f dcumentatin can nly be determined nce the Phase I field survey is undertaken and survey results are knwn. Cnsultants and prject planners shuld scpe fr a Phase I Archaelgical Survey and prvide fr the shrtened reprt ptin as an if authrized deliverable. This apprach is designed t gather all relevant cultural resurces infrmatin in the mst cst- and time-efficient manner pssible. Archaelgical Disturbance Assessments A versin f the shrtened Phase I reprt is applicable t reprt and dcument prject areas that have been ttally disturbed and when there is a n ptential fr encuntering archaelgical resurces in their riginal physical cntext within r immediately adjacent t the prject area. Disturbance assessment may nly be used when the field review and preliminary archaelgical investigatins reveals 100% negative finding due t the presence f disturbed sils and ttally destructive prperty develpment. N artifacts shuld be cllected frm disturbed cntexts and n OAI frms shuld be generated. Disturbance assessment reprts may be apprpriate regardless f the PDP Path. Undergrund utilities cmmnly ccur alngside mst existing radway in mdern urban areas. Even n a PDP Path 5 prject, an archaelgical disturbance assessment wuld be apprpriate as lng as disturbance in the APE is universal. In that situatin, this type f shrtened reprt wuld be cnsidered the mst apprpriate level f dcumentatin. Cnversely, a small bridge prject may nly require a disturbance assessment reprt when the wrk is cnfined t the existing radway and wrk beynd the right-f-way is cnfined t gelgically mdern fldplain surfaces where nly stream bank prtectin is being installed. 2

3 Disturbance assessments shuld be designed t fcus n basic literature search infrmatin, dcument land use, and narrate develpment in cnjunctin with a phtgraph lg. A title page, prject descriptin, a shrtened literature review, cnclusins, and reference sectin are required fr a disturbance assessment. A phtgraph lg (in an appendix) and a fieldwrk sectin shuld be cncise and designed t recrd the varius types f grund disturbances fund alng the prject area. Hwever, predictive mdeling, a cultural cntext, and lengthy methdlgical apprach are nt required if the APE is universally disturbed by mdern develpment. Reprting Standards that Apply t All Archaelgical Reprts: General Use fnt size 12, except fr tables with numerus items. Reprt cvers shuld always include the prject name (which is usually the Cunty, Rute, Sectin, & Prject Identificatin Number (PID) f the prject), and the title f the reprt. The units f measurement in reprts are t be in English with metric in parentheses. Artifact tables shuld be in metric nly. The prject descriptin shuld be generated by the District ffice, LPA prject spnsr, r the prime cnsultant n the prject. ODOT-OES staff and cultural resurce cnsultants shuld get the prject descriptin frm ne f these surces, as apprpriate fr the prject. Tables, phtgraphs and figures may be integrated int the main bdy f the text r attached t the reprt as appendices. Size f area surveyed (in acres), and size f the APE shuld be included in the Abstract and Intrductin. When the scpe f a prject changes during the curse f an investigatin, a summary f such changes shuld be dcumented in the reprt. This shuld explain t readers why smething was dne r changed during the curse f the prject study. Fr example, it wuld explain why field methds changed because f changes t a prject s ftprint. Phase I and II archaelgy survey reprts are t include cst and time estimates fr the next phase f wrk, if applicable. Further wrk cannt be recmmended fr tasks that shuld have been included in the Phase I as a standard cmpnent f Phase I surveys. Include a Secndary Surce Review Map shwing the knwn prperties in the APE/Study Area (refer t Figure 3, Appendix K). Cultural cntext/predictive mdel develpment (Refer t Chapter 7.) Include revised bundary delineatins as apprpriate, fllwing NRHP guidance. Results f identificatin and evaluatin, including recmmendatins regarding eligibility r nn-eligibility. Identify additinal research required t determine NRHP eligibility fr resurces recmmended fr further wrk and supprt reasning why additinal wrk is necessary. Include a separate Dispsitin f Cmments matrix fr all changes made in revised reprts in respnse t reviewer cmments; cite ld page number and new page number where the cmment was addressed. This will streamline the review f the revised reprt. This matrix is nt included as part f the revised reprts; it is a separate dcument. Title Page The title page shuld include the fllwing: Name f agency Name f cnsultant preparing reprt Date f reprt and revisin dates if applicable Vlume number (if applicable) Prject name (usually Cunty, Rute, Sectin, & PID f the prject) Type f reprt - shrtened r standard Phase I r II Type f archaelgical survey (i.e., Phase I r Phase II) 3

4 D nt include the wrds draft r preliminary in the reprt title unless agreed t befrehand by ODOT. The wrd Addendum in the title shuld be reserved fr additinal wrk n the same site r prject at the same level f survey and the title shuld reflect this; e.g., Addendum t the Phase I... Archaelgy Tables MS Excel frmat must be used when preparing the archaelgy tables. All tables must als be submitted as active tables in MS Excel frmat. Secndary surce literature review infrmatin will be dcumented n an Archaelgy Secndary Surce Review Table. A Phase I Archaelgy Resurce Table shuld be cmpleted fr prjects having five r mre identified resurces in the APE/study area. A Phase I Archaelgy Survey Methds Table, a Cultural Resurces Prvenience Table, and a Histric Buildings Citatin Table shuld be cmpleted as necessary n prjects where that infrmatin is cllected. The bulleted lists belw are the minimum clumn headers that must be included fr each table. All tables cmpiled fr ODOT prject reprts must be in Excel frmat. These spreadsheet fields will permit basic data srting by reprt reviewers at ODOT and OHPO. Archaelgy Secndary Surce Review Table Site Identifier (OAI Number r ther identifier) Tempral Perid Site Type Cmmn Name (if knwn) Landfrm Site Dimensins: Feet Site Dimensins: Meters Current Land Use (i.e., farm field, pasture, husing develpment, etc.) Natinal Register Eligibility Status/NR Listing Date/NR Status Nt Determined Phase I Archaelgy Survey Methds Table Pht Reference Number Survey Area Designatin Landfrm Land Use Surface Visibility Percentage Survey Methd Interval Number f Shvel Test Pits Resurces Identified (Site Designatin) Phase I Archaelgy Resurce Table Pht Reference Number Site Designatin (OAI Number, Field Site Number) Date Inventried UTM Cultural Perid/Century (e.g., Late Archaic, 19 th Century) Diagnstic Artifacts: Present/Nt Present Artifacts Cnfined t Plw Zne (Y/N) 4

5 Resurce Type Landfrm Sil Phase Investigatin Type Surface Visibility Site Dimensins: Feet Site Dimensins: Meters Natinal Register Eligible? (Y/N/Unknwn/Undetermined) Applicable NR Criteria Applicable Aspects f Integrity Recmmendatin (e.g., n further wrk, Phase II, avidance) Histric Buildings Citatin Table Cmmn Name (if knwn) Lcatin Designatin OHI Number (if knwn) OAI Number (if knwn) Address (if knwn) Twnship Range Sectin Histric Atlas Citatin Sanbrn Fire Insurance Map Citatin 15 Quadrangle Map Old 7.5 Quadrangle Map Mdern 7.5 Quadrangle Map Current Land Use Archaelgical Recmmendatin (e.g., n further wrk, Phase II, avidance) Cultural Materials Prvenience Table Site Number Field Site Number Nrthing and Easting Area Number Cultural Materials Observed/Cllected Ttal (ttal bserved r cllected by prvenience) Artifact Analysis All artifacts frm archaelgical investigatins must be analyzed accrding t the Archaelgy Guidelines (OHPO 1994). Inventry Frms Refer t instructins fr cmpleting OAI frms (Chapter 7; OHPO 2007, 2007). Prepare OAI frms fr all identified archaelgical sites and islated finds. The final OAI frms are t be submitted t OHPO via the IFrm applicatin when the final survey reprts are submitted t ODOT. When available, the OAI number must be used when referencing the inventried cultural resurce in the text f the reprt and n any figures and phtgraphs. Phtgraphs Phtgraphs fr archaelgy reprts shuld fllw the Archaelgy Guidelines (OHPO 1994). Fr a shrtened reprt, selected representative phtgraphs shuld be included 5

6 fr archaelgy (e.g., test pits, grundcver, etc.). See Appendix C: Phtgraphy Guidelines fr additinal infrmatin. Phtgraphs f excellent quality are a requirement. Include panramic r streetscape type views when apprpriate t characterize a prject area, whether it is an urban r rural setting. Phtgraphs shuld be keyed t prject maps (refer t Figure 7, Appendix K). Phtgraphs may be included as an appendix f the reprt. They may als be incrprated int the bdy f the reprt, as apprpriate, but shuld be n the same page as the text referencing them. All archaelgical sites that have been phtgraphed and identified shuld be included n a Phase I Archaelgical Resurce Table (if used, subject t the five prperties r mre ptin). Phtgraphs f artifacts shuld include a scale and an accurate label. Frmal prehistric tls must be shwn as phtgraphs, illustratins, r ther graphic representatin. Plan views, lngitudinal and transverse crss sectins may be useful fr interpretatin purpses. Diagnstic histric artifacts must be illustrated as phtgraphs r in plan view and lngitudinal and transverse crss sectins. Phtgraphs dcumenting survey cnditins, areas f disturbance, test unit prfiles, frmal tls, and diagnstic artifacts bserved and nt cllected r in private cllectins must be included. Phtgraphs f features, test units, prfiles, etc., n a site shuld include a letter bard/chalkbard indicating date, site number, prvenience, nrth arrw, and a scale in English and metric. If digital manipulatin r clean-up is dne n a phtgraph (e.g., t clarify sil stratigraphy in a test pit), then the phtgraph s captin must say that it has been enhanced/altered. Phtgraphs shuld prvide sufficient infrmatin abut resurces being investigated and be labeled with OAI number, site name, etc., s that the prperty can be identified in the text and n mapping. Maps All mapping prduced fr Phase I and II survey reprts shuld fllw the examples in Appendix K. If a NRHP listed r eligible prperty is lcated in the study area/ape, the bundary f the histric prperty must be indicated n prject mapping (such as with the example at Figure 6, Appendix K). If the prperty s NRHP bundary map is nt available, illustrate the written bundary descriptin frm the NRHP nminatin frm n the map. If a bundary determinatin has been made as part f Sectin 106 cnsultatin with the OHPO cncurrence, then that written descriptin must be illustrated n the map. Citatins Date Page number(s) Persnal cmmunicatin citatins belng nly in the text and nt in the References Cited Use published surces fr analytical analyses (e.g., methds fr lithic analysis sectin). When quting, presenting quantifiable data (such as facts r statistics), r paraphrasing riginal r unique ideas, cite the riginal r primary dcument where the idea was first expressed, nt smene else s secndary citatin f that idea. Citatins and references fr archaelgy reprts shuld be cited accrding t Editrial Plicy, Infrmatin fr Authrs, and Style Guide fr American Antiquity and Latin American Antiquity (Sciety fr American Archaelgy, n.d.). Cnsult the mst recent Chicag Manual f Style (University f Chicag, 2010a) fr tpics nt cvered by the American Antiquity style guide. 6

7 In the event that a cmbined Phase I Cultural Resurces Survey reprt is t be prduced, including bth histry/architecture and archaelgy survey, the style guidance shall be as fllws: Use the Chicag Manual f Style (2010a) fr the histry/architecture prtin f the reprt and use the Editrial Plicy, Infrmatin fr Authrs, and Style Guide fr American Antiquity and Latin American Antiquity (n.d.) fr the archaelgical prtin f the reprt The prfessinal standards fr each discipline will be fllwed apprpriately and the references fr bth will be included as separate reference sectins in the reprt. Appendices Prject dcumentatin (e.g., phtgraphs, preliminary plans, mapping, specific analyses, etc.) shuld be included as apprpriate. Submitting Reprts Prir t submitting reprts t ODOT, cnsultants will review and edit reprts t ensure that the apprpriate level f cultural resurce investigatin has been cmpleted, that the apprpriate reprt frmat has been used t dcument the cultural resurce investigatin, and that an accurate prject descriptin is included. The ODOT District staff shuld review reprts t the extent necessary t cnfirm these same pints. Uplad initial electrnic reprts fr review and cmment int the OES Online Categrical Exclusin Frm System. The reprt uplad frmats fr this submissin t OES shuld be as fllws: Reprt text in Wrd Tables in Excel (active) Each gruping f graphics in separate.pdf frmat (i.e., figures in ne grup, phtgraphs in ne grup, etc.) Appendices uplad each as a separate file Als prvide ne hard cpy f the reprt t the ODOT District fr OHPO review. The District will frward this t ODOT-OES, wh will prvide it t the OHPO. Large data files (phtgraphs, mapping, GIS, etc.) submitted as part f the hard cpy review package fr OHPO shuld be submitted n cd/dvd alng with the OHPO review hard cpy f the reprt in rder t streamline the reprt review prcess. Phts (and ther data as apprpriate) must als be labeled and keyed t prject mapping. Submit all digital data t OES (e.g., GPS, GIS, mapping, etc.) in apprpriate digital frmats. This data shuld be upladed int the Online Categrical Exclusin Frm System alng with the initial review reprt submissin. Once the abve versin is reviewed and finalized, with all cmments frm OES and OHPO addressed, uplad the final electrnic reprts int the OES Online Categrical Exclusin Frm System. The reprt uplad frmats fr this submissin t OES shuld be as fllws: Reprt shuld be a cver-t-cver.pdf scan Tables in Excel (active) GIS shapefiles (separate uplad file) Als prvide ne hard cpy f the reprt and ne electrnic cpy f the reprt n cd/dvd t the ODOT District fr OHPO. The District will frward these t ODOT- OES, wh will prvide them t OHPO. The preparatin f all electrnic reprts fr OHPO shuld fllw the Ohi Histric Preservatin Office Electrnic Reprt Guidelines (in OHPO Guidelines bx n linked page). Submit all digital data t OES (e.g., GPS, GIS, mapping, etc.) in apprpriate digital frmats. This data shuld be upladed int the Online Categrical Exclusin Frm System alng with the final electrnic reprt submissin. 7

8 Large data files (phtgraphs, mapping, GIS, etc.) submitted as part f the hard cpy package fr OHPO shuld be submitted n cd/dvd alng with the OHPO hard cpy f the reprt. Phts (and ther data as apprpriate) must als be labeled and keyed t prject mapping. Hard cpy reprts submitted t ODOT fr OHPO review must be in remvable binding called presentatin binding (plastic binding cmbs). Heat binding f reprts is nt acceptable. Editrial The reprt shuld be edited befre being submitted t ODOT t ensure that it is free f grammatical, spelling and typgraphical errrs. Substantive infrmatin shuld be reviewed fr cmpatibility with tables and figures. Statements f fact shuld be supprted by data gathered frm primary and secndary surces. Omit all references t effect (i.e., direct, indirect, visual, nise, adverse, n adverse, etc.) Survey reprts must explain why a prperty is eligible fr the NRHP. References t ptential eligibility in any reprt will nt be accepted. Uninfrmed, inadequate r unsupprted statements cncerning any aspect f the cultural resurce investigatin are unacceptable. When multiple errrs and/r missing infrmatin impede understanding r interpretatin f the infrmatin cntained in the reprt, the reprt will be returned withut further review fr revisin and resubmissin f the reprt. 8