NORTH CAROLINA OFFICE OF STATE ARCHAEOLOGY ARCHAEOLOGICAL INVESTIGATION STANDARDS AND GUIDELINES FOR BACKGROUND RESEARCH, FIELD METHODOLOGIES, TECHNICAL REPORTS, AND CURATION -December 2017- About the North Carolina Office of State Archaeology The North Carolina Office of State Archaeology (OSA) was created by the North Carolina General Assembly in 1973 to coordinate and implement a statewide archaeological preservation program. Elements of this program include maintaining a statewide computer-based inventory of archaeological sites, enforcing the North Carolina Archaeological Resource Protection Act (G.S. 70 Article 2), and ensuring the proper treatment of human burials in cooperation with the individuals and organizations specified in the Unmarked Human Burial and Human Skeletal Remains Protection Act (G.S. 70 Article 3). An important aspect of North Carolina’s statewide archaeological preservation program is to implement the policies of the National Historic Preservation Act of 1966, as amended, and later, North Carolina General Statute 121-12a. G.S. 121-12a provides for consideration of National Register properties in undertakings funded or licensed by the state. North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page ii Table of Contents PART 1. BACKGROUND RESEARCH .................................................................................. 1 I. Introduction .................................................................................................................... 1 a. Qualifications ...................................................................................................................................... 1 b. Making an Appointment.................................................................................................................... 1 II. Accessing Records .......................................................................................................... 2 a. Maps ..................................................................................................................................................... 2 b. Site Forms ............................................................................................................................................ 2 c. Reports ................................................................................................................................................. 2 PART 2. TERRESTRIAL FIELD METHODOLOGY .......................................................... 3 I. Introduction .................................................................................................................... 3 a. Definitions ........................................................................................................................................... 3 1. Defining an Archaeological Site .................................................................................................... 3 2. Site Occurrence Probability Categories ....................................................................................... 3 3. Area of Potential Effects ................................................................................................................ 4 4. Cemeteries and Grave Sites ........................................................................................................... 4 b. Qualifications and Permitting ........................................................................................................... 4 1. Principal Investigator Qualifications ............................................................................................ 4 2. Archaeological Investigations on State Lands ............................................................................ 4 c. Planning and Contingencies .............................................................................................................. 5 1. Background Research ..................................................................................................................... 5 2. Changes in Field Strategies/Methodologies ................................................................................ 5 3. Inadvertent Discovery of Human Remains ................................................................................ 5 II. Forms of Investigation .................................................................................................... 5 a. Monitoring ........................................................................................................................................... 5 b. Reconnaissance Survey/Due Diligence .......................................................................................... 6 c. Phase I Identification Survey ............................................................................................................ 7 d. Phase II Evaluation/Testing ............................................................................................................. 7 e. Phase III Data Recovery/Mitigation or Treatment ....................................................................... 8 III. Field Methodologies ...................................................................................................... 8 a. Remote Sensing................................................................................................................................... 8 1. LiDAR and Multi-Spectral Imagery ............................................................................................. 9 2. On-Site Remote Sensing ................................................................................................................. 9 b. Pedestrian Reconnaissance ............................................................................................................. 10 c. Excavation ......................................................................................................................................... 10 1. Shovel Testing ............................................................................................................................... 10 2. Close-Interval Shovel Testing ..................................................................................................... 12 3. Soil Coring and Augering ............................................................................................................. 12 4. Test Unit Excavation .................................................................................................................... 12 North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page iii 5. Feature Excavation ....................................................................................................................... 13 d. Machine-Assisted Excavation ......................................................................................................... 14 1. Deep Testing .................................................................................................................................. 14 2. Mechanical Stripping .................................................................................................................... 14 e. Special Analyses .................................................................................................................................. 14 IV. Documentation ............................................................................................................ 14 a. Field Documentation ....................................................................................................................... 14 b. Recording a Site ................................................................................................................................ 15 c. Recording a Cemetery ...................................................................................................................... 15 d. GIS Mapping ..................................................................................................................................... 16 PART 3. TECHNICAL REPORTS ....................................................................................... 17 I. Introduction .................................................................................................................. 17 a. Submission of Reports ..................................................................................................................... 17 b. Site and Accession Numbers .......................................................................................................... 18 c. Site and Cemetery Forms ................................................................................................................ 18 d. Curation ............................................................................................................................................. 19 II. Monitoring Reports ....................................................................................................... 19 III. Reconnaissance Survey/Due Diligence Reports ......................................................... 20 IV. Phase I Identification Survey (Intensive Survey) Reports ............................................ 21 a. Management Summary .................................................................................................................... 21 b. Introduction ...................................................................................................................................... 22 c. Environmental Setting ..................................................................................................................... 22 d. Archaeological and Cultural Background...................................................................................... 23 e. Methodology ..................................................................................................................................... 24 f. Results ................................................................................................................................................ 24 g. Significance Evaluations and Recommendations ........................................................................ 26 h. References Cited ............................................................................................................................... 27 i. Appendices ........................................................................................................................................ 27 V. Phase II Evaluation/Testing Reports .......................................................................... 27 VI. Phase III Data Recovery/Mitigation or Treatment Reports ....................................... 28 VII. Archaeological Investigations on State Lands ............................................................. 28 PART 4. CURATION ............................................................................................................ 29 I. Introduction .................................................................................................................. 29 II. Collection Submission .................................................................................................. 30 a. Responsibilities ................................................................................................................................. 30 b. Ownership ......................................................................................................................................... 30 c. Curation Fees .................................................................................................................................... 31 d. Accession Numbers ......................................................................................................................... 31 North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page iv e. Provenience Numbers ..................................................................................................................... 31 III. Conservation Standards ................................................................................................ 31 a. Treatment Measures ......................................................................................................................... 32 IV. Artifact Processing and Packaging ............................................................................... 32 a. Cleaning.............................................................................................................................................. 32 b. Sorting and Cataloging ..................................................................................................................... 32 c. Artifact Labeling ............................................................................................................................... 33 d. Packaging ........................................................................................................................................... 33 1. Artifact Bags................................................................................................................................... 33 2. Artifact Tags................................................................................................................................... 34 3. Fragile Specimens .......................................................................................................................... 34 4. Metal Artifacts ............................................................................................................................... 34 5. Soil Samples ................................................................................................................................... 34 6. Oversized and Bulk Artifacts ...................................................................................................... 35 7. Boxes ............................................................................................................................................... 35 V. Associated Records ....................................................................................................... 36 a. Documentation of Fieldwork .......................................................................................................... 37 b. Inventories and Lists ......................................................................................................................... 38 VI. Human Remains ........................................................................................................... 40 PART 5. Appendices Appendix A: Office of State Archaeology (OSA) Staff Regional Assignments Appendix B: Preferred Format for the Request of Permanent Site Numbers Appendix C: North Carolina Office of State Archaeology (OSA) Site Form (version VIII) Appendix D: North Carolina Office of State Archaeology (OSA) Cemetery Site Form Appendix E: Handbook for Completing the North Carolina Office of State Archaeology (OSA) Site Form and Cemetery Form North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page v PART 1. BACKGROUND RESEARCH I. Introduction Prior to the initiation of fieldwork, a records search should be conducted at the North Carolina Office of State Archaeology (OSA). The purpose of this search is not only to determine whether any previously recorded archaeological sites are located in the project area, but also to better understand local cultural contexts. Compiling and synthesizing information about previous work and sites in the vicinity around a project area allows for better prediction of site types that may be identified, and provides a baseline of knowledge for making assessments of site significance. For projects in North Carolina’s piedmont and coastal plain, records searches should be conducted at OSA’s Raleigh office. For projects in the western counties (Alleghany, Ashe, Avery, Buncombe, Burke, Caldwell, Cherokee, Clay, Graham, Haywood, Henderson, Jackson, McDowell, Macon, Madison, Mitchell, Polk, Rutherford, Swain, Transylvania, Watauga, Wilkes, and Yancey), a records search can be conducted either in Raleigh or at the North Carolina Department of Natural and Cultural Resources’ (DNCR) Western Office in Asheville. For underwater projects or projects in the coastal counties (Bertie, Beaufort, Bladen, Brunswick, Camden, Carteret, Chowan, Columbus, Craven, Currituck, Dare, Duplin, Gates, Greene, Hertford, Hyde, Jones, Lenoir, Martin, New Hanover, Onslow, Pamlico, Pasquotank, Pender, Perquimans, Pitt, Robeson, Sampson, Tyrell, Washington), a records search can be conducted at Underwater Archaeology Branch at South Kure Beach. a. Qualifications Individuals seeking to do background research at an OSA facility must meet or be under the supervision of an individual who meets the Secretary of the Interior’s Professional Qualification Standards as described in 36 CFR Part 61 (see Principal Investigator Qualifications in Field Methodology section below). In situations where a supervised individual is to conduct records research, it is expected that they will have been trained in pertinent research methods prior to scheduling an appointment. b. Making an Appointment Prior to doing a record search, researchers must first make an appointment to access the files at the OSA Raleigh Office, the Western Office in Asheville, or the Underwater Archaeology Branch at South Kure Beach. Please contact us at least 24 hours prior to when you would like to visit. Appointments are scheduled at the OSA for any day but Wednesday. To make an appointment to do a records search at the Raleigh office, please contact Rosie Blewitt-Golsch at (919) 807-6558/ [email protected], or contact the review archaeologist responsible for the region where the project is located by using information available at http://archaeology.ncdcr.gov/about/whos-my-archaeologist. To make an appointment with the Underwater Archaeology Branch, please contact Madeline Spencer at (910) 458-9042 x200 / [email protected], or contact the review archaeologist responsible for the project. To make an appointment with the Western Office, please contact Linda Hall at (828) 296- 7230 x225 or [email protected]. North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 1 II. Accessing Records a. Maps OSA staff are no longer adding site locations, reviewed areas, or surveyed areas to the paper topographic quadrangle maps. This information is instead being added to OSA’s Geographic Information System (GIS) which is available for access during background research appointments on computers in the Raleigh and Asheville offices. Scans of the original paper topographic quadrangle maps are accessible as base-mapping in GIS. OSA staff are in the process of digitizing the information from the paper maps. b. Site Forms OSA staff are in the process of data-entering site forms for all previously recorded sites. Data from site forms are being added to a site database (SiteForm) that is available on computers in the Raleigh and Asheville offices. In the Raleigh office, site forms that have not yet been data entered are available in boxes stored in the map room, and are organized by county. Scans of the original forms are also available for those site forms that have been data-entered into the database. Scans are stored on discs in the Raleigh map room or are available on microfiche in the OSA Raleigh office library. These may be useful as they often include site maps and artifact inventories that were appended to the original forms, which are not available in the database. c. Reports Paper copies of all reports are stored at the OSA Raleigh office library, and copies of reports concerning the western counties (see Part 1, Background Research Introduction, above) are available at the DNCR western office in Asheville. Copies can be made for $0.10/page or scans be made for $0.05/page. North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 2 PART 2. TERRESTRIAL FIELD METHODOLOGY I. Introduction For compliance projects, our office requests consultation with the designated Office of State Archaeology (OSA) Review Archaeologist to discuss appropriate methodologies prior to archaeological field investigations. The methodology standards outlined below are to be used for clarification and guidance, but allow for exceptions based on various factors. The aim of the guidelines is to help project sponsors and archaeological consultants better understand what methods and techniques are deemed appropriate, and to provide consultants with information that should enable them to design more efficient and cost-effective investigations. The field methodology guidelines are organized in three parts. The introduction provides information concerning definitions, qualifications, and special conditions. The second section differentiates forms of field investigation according to objectives, level of effort, and associated activities (i.e., monitoring, reconnaissance survey or due diligence, Phase I identification survey, Phase II evaluation/testing, and Phase III data recovery/mitigation or treatment). The third section provides standards and guidelines for undertaking and documenting fieldwork activities. a. Definitions 1. Defining an Archaeological Site According to the National Park Service (NPS), an archaeological site is defined as “the location of a significant event, a prehistoric or historic occupation or activity, or a building or structure, whether standing, ruined, or vanished, where the location itself possesses historic, cultural, or archeological value regardless of the value of any existing structure” (as defined in the ‘How to Apply the National Register Criteria for Evaluation’ portion of the National Register Bulletin). For the purposes of archaeological site identification, the OSA defines an archaeological site as a location where at least one artifact or feature greater than 50 years of age has been identified. All archaeological sites identified as a result of field investigations receive a trinomial site number, and require a completed OSA site form. 2. Site Occurrence Probability Categories The following site probability categories can be used to aid in the design of particular survey strategies. Thresholds for certain environmental variables used in classifying areas as high or low probability vary regionally, and should be derived from previous survey data in the Site Record Inventory at OSA. Low Probability – This designation typically applies to areas with poorly drained soils; areas with 15 percent or greater slope; and/or areas that are disturbed to such a degree that archaeological materials, if present, would lack sufficient integrity to be considered eligible for listing in the National Register. Areas identified as low probability through the inspection of topographic and soil maps should still be verified and documented in the field using visual inspection and subsurface testing, as appropriate. In many cases it may be suitable to survey low probability areas at a reduced sampling interval. North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 3 High Probability – Areas that do not necessarily fit into the low probability category, or that provide low-cost resource access according to factors such as local geology, arable soil, water sources, ecological diversity, and transportation routes. Relevant factors will vary by region and expected site types. 3. Area of Potential Effects According to 36 CFR 800.16(d), the Area of Potential Effects (APE) for a project is “the geographic area or areas within which an undertaking may directly or indirectly cause alterations in the character or use of historic properties.” In the case of archaeological sites, the APE is often the maximum area of potential ground disturbing activities associated with a project. Certain undertakings, such as repairing the foundations of a historic building, may have a very limited APE, while others, such as the implementation of land management practices, may cover large areas. The Area of Potential Effects as originally defined for a project may change if it is re-designed. 4. Cemeteries and Grave Sites According to North Carolina General Statute 65, Article 12, a cemetery is “a tract of land used for burial of multiple graves.” Cemeteries containing interments greater than 50 years of age should receive a trinomial site number. If the cemetery is associated with other historic site elements, or is located within a prehistoric site, both a completed OSA Site Form and a Cemetery Form should be submitted (see Appendices C and D). Otherwise only a cemetery form is necessary. Given the possibility for unmarked graves in historic cemeteries, even burial locations with a single above-ground marker should be recorded as cemeteries. b. Qualifications and Permitting 1. Principal Investigator Qualifications Principal investigators of archaeological compliance surveys must meet the Secretary of the Interior’s Professional Qualification Standards as described in 36 CFR Part 61. For archaeology, minimum qualifications are a graduate degree in archaeology, anthropology, or closely related field plus at least one year of full-time professional experience or equivalent specialized training in archeological research, administration or management; at least four months of supervised field and analytic experience in general North American archeology, and demonstrated ability to carry research to completion. 2. Archaeological Investigations on State Lands If an area to be archaeologically investigated includes lands owned or leased by the state of North Carolina, excluding highway rights-of-way, the Principal Investigator must obtain an Archaeological Resources Protection Act (ARPA) permit from the State Archaeologist, according to the provisions of North Carolina General Statute Chapter 70, Article 2. Permits should be applied for well in advance of the anticipated field work start date and require at least 30 days for issuance. Permit applications can be obtained from the State Archaeologist, 4619 Mail Service Center, Raleigh, NC 27699-4619, or online from the OSA website. A criminal background check by the State Bureau of Investigation is required for the Principal Investigator. Fingerprint cards and release forms can also be obtained from the State North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 4 Archaeologist. While no fees are required to obtain the ARPA permit itself, a cost of $38.00 is required for the criminal background check. Certified checks or money orders for that amount, made out to the Office of State Archaeology, should be submitted with the fingerprint card, release form and completed permit application. c. Planning and Contingencies 1. Background Research Prior to the fieldwork phase of a project, background research of previous investigations and previously recorded archaeological sites must be undertaken at the OSA. Access to archaeological site files, reports, and related documents is provided to qualified professional archaeologists and authorized representatives of federal, state, or local agencies and institutions whose purpose is to effect planning decisions regarding archaeological resources. Persons having access to site files will be expected to maintain the confidentiality of site location information in accordance with North Carolina General Statute 70-18. Due to the number of researchers desiring access to the site files and the limited space and equipment available, appointments are necessary. See Part 1 for more information about background research at the OSA. 2. Changes in Field Strategies/Methodologies Any changes in survey, testing, or data recovery strategies/methods should be undertaken only after consultation with representative staff of the OSA. 3. Inadvertent Discovery of Human Remains If human skeletal remains are encountered during archaeological investigations, the provisions of North Carolina General Statute Chapter 70, Article 3 apply. The State Archaeologist should be contacted immediately. Investigations can resume after contact has been made and the consultation process has been initiated. The Principal Investigator shall notify the State Archaeologist as to the cultural and biological characteristics of the remains as soon as such determination has been made. Consultation between the State Archaeologist and the Principal Investigator will determine where the remains will be held after excavation. If the skeletal remains are determined to be Native American, consultation will be undertaken between the State Archaeologist and the Executive Director of the North Carolina Commission of Indian Affairs. If the skeletal remains are not Native American, the State Archaeologist will publish notice of the discovery in an effort to determine next of kin. II. Forms of Investigation a. Monitoring 1. Objective The goal of archaeological monitoring is to determine the presence or absence of archaeological deposits while ground disturbing activities are taking place. Archaeological monitoring is not a primary survey strategy but it may be used in certain situations when deemed appropriate. For example, on-site monitoring of construction activities may be undertaken to ensure that a specific archaeological site, cemetery, or geographic area is not adversely affected by earthmoving activities. North Carolina Office of State Archaeology – Archaeological Investigation Standards and Guidelines (December 2017) Page 5