Appendix_C_-_Identification_of_Buried_Cultural_Resources_0002.pdf

Appendix C

Investigations:

Resources

Updated 05/2017

Regulatory Requirement

As part of the Section 106 process, as outlined at 36 CFR Part 800, Federal agencies are required to make a “good faith effort” to identify cultural resources within the Area of Potential Effects (APE) (§ 800.4[b][1]). For projects in which the scope of work defines the APE as extending below the ground surface, this effort needs to address the potential for buried archaeological deposits through geoarchaeological investigation. The investigation may range from a very simple investigation based on published data and field observations to a more complex subsurface investigation by a geoarchaeologist. The scope of the buried cultural resource investigation is largely dependent on the available literature, field observations, geology of the project location and scope of the action. This investigation is not intended to be a monitoring effort to salvage archaeological resources but rather is intended to supplement other identification efforts by identifying potential for, or lack of potential for, subsurface archaeology through the identification of buried soil packages that may or may not contain archaeological resources; mapping their vertical and, to the extent feasible, horizontal distribution; and discussing these results in a cultural resources identification report.

The Section 106 requirements should not be confused with monitoring under the California Environmental Quality Act (CEQA). Lacking adequate geoarchaeological investigations, the California State Historic Preservation Officer (SHPO) has indicated that, under Section 106, standard surface identification efforts that yield no discovery and prescribe a monitoring program are fundamentally inadequate, as it suggests that surface identification effort was insufficient. Reclamation requires a meaningful discussion on relevant geoarchaeological context as part of historic properties identification efforts as well as with the evaluation of cultural resources for listing on the National Register of Historic Places. In addition to addressing the identification requirements of Section 106, a geoarchaeological discussion may prove invaluable to Reclamation and project proponents in identifying potential problems which could affect the cost and/or schedule of project implementation.

§ 800.4 Identification of Historic Properties

(a) Determine scope of identification efforts. In consultation with the SHPO/THPO, the agency official shall:

(1) Determine and document the area of potential effects, as defined in §800.16(d);

§800.16 (d) Area of potential effects means the geographic area or areas within which an undertaking may directly or indirectly cause alterations in the character or use of historic properties, if any such properties exist. The area of potential effects is influenced by the scale and nature of an undertaking and may be different for different kinds of effects caused by the undertaking.

(2) Review existing information on historic properties within the horizontal and vertical area of potential effects, including any existing data concerning possible historic properties not yet identified (potentially buried).

Introduction

In general, geoarchaeological investigations concentrate on the age and distribution of soil types and lithostratigraphic units in the context of past human occupation. Geoarchaeological research focuses on interpreting the context of the archaeological record, with context defined as a multi-dimensional spatial-temporal matrix that comprises both a cultural environment and a non-cultural environment and that can be applied either to a single artifact or to a constellation of sites. Using this model as a framework for inquiry, geoarchaeological research aims to (1) identify the temporal context of a site or region through the study of stratigraphy, soil formation, and geochronology; (2) gain an understanding of the spatial context and preservation potential of cultural materials (natural site-formation processes); and (3) identify the prehistoric landscape context.

It is possible that a significant portion of the archaeological record has been buried by natural geologic processes and is not visible on the surface through pedestrian archaeological survey. The goal of a Geoarchaeological Model is to identify those landforms likely to contain buried archaeological resources (i.e., archaeological sensitive landforms), and those that are either too old or too young and thus not likely to contain such resources. As a result of these identification efforts, recommendations can be made for further investigation related to ground truthing and assessment of the findings of the investigation.

Identification and Analysis

Phase I. Geoarchaeological Model1 The Geoarchaeological Model Investigation is generally divided into four major tasks:

A. Development of an outline of proposed work B. Documentary research and analysis C. Field reconnaissance D. Reporting

The archaeologist and/or geoarchaeologist will analyze available geological and archaeological publications, maps, and digital databases relevant for developing a temporal and spatial understanding of the major depositional landforms within the project APE. Available archaeological and ethnographic data within the study area shall also be analyzed. A field reconnaissance could be performed in selected areas, focusing on natural cutbanks and other exposures of subsurface deposits, and the collection of appropriate samples for radiocarbon dating. The reconnaissance will serve to assess the reliability of the published data through a chrono-stratigraphic analysis of specific soils, sediments, and landforms.

If a lack of buried site potential can be supported through a geoarchaeological model (prior or current project) and/or land use history, the buried site investigation will be complete with the reporting of the finding. Criteria may include:

A. No potential for buried deposits (such as all Pleistocene or older sediments) B. The proposed disturbance is so shallow (generally less than 12 inches) that a surface survey should show a surface manifestation of any shallow buried deposit C. The proposed disturbance is entirely within historically deposited fill that can be documented as such (a canal berm, earthen dam, documented area of fill, historic era sedimentation, etc.)

D. Not a depositional environment, such as the top of a ridge or hill E. Proposed utility project within an existing utility corridor, with prior cultural resource documentation or monitoring report with negative findings supporting a low sensitivity designation. This may also require an updated record search.

If the assessment determines that there is the potential for buried deposits and the project scope suggests there is a potential to disturb buried deposits, subsurface ground truthing may be required to investigate those landforms likely to contain buried archaeological resources within the vertical APE/area of direct effect.

Phase II. Subsurface Ground Truthing and Assessment1 This phase of work is usually divided into three major tasks including; 1) scoping (Reclamation approved work plan), 2) ground truthing, which involves geoarchaeological field work and documenting the research; and 3) assessment, which involves analysis and report preparation. In addition, this phase of work may also involve Native American coordination. If subsurface cultural deposits are identified, a proposal for eligibility of the deposit may be included within the Final Buried Site Testing Report. However, identification efforts may also result in the need or desire to modify the design and minimize the cost and potential effect to cultural resources.

The goal of the Ground Truthing and Assessment Phase is to investigate those landforms likely to contain buried cultural resources (i.e., archaeological sensitive landforms) using subsurface testing methods. Testing methods may

1 Phase I and Phase II are conceptual divisions and may run seamless with the appropriate communication or criteria or thresholds detailed in a research design or work plan. Phase III will only be required if a buried archaeological site has been identified.

include, but are not limited to, using a backhoe for digging trenches, a large power core bore/auger, documenting a preexisting cut bank, traditional excavation units in trench walls, collection of flotation samples, and screening isolated soil packages through hardware mesh. In addition, it may be necessary for the geoarchaeologist to collect carbon samples for radiocarbon analysis or other datable materials to identify or clarify chronological sequences of sediment packages. The selection of methods should be implemented on an appropriate scale to the project and proposed disturbance, as outlined in the Reclamation approved work plan.

Phase III. Projects May Require a Determination of Eligibility and/or Data Recovery1 When buried cultural resources have been identified, the assessment process is similar to a traditional Class III survey2, which will define and record the depth, extent, data potential, and integrity of the site as well as eligibility for inclusion in the National Register of Historic Places and Finding of Effect as any other cultural resources investigation as discussed in the Bureau of Reclamation, Mid Pacific Region, General Scope of Work for Cultural Resource Investigations. In addition, data recovery, avoidance, other mitigation measures may be implemented.

With a buried deposit, the depth and location of the proposed ground disturbance is key to the identification and Finding of Effect and, as with any project, re-design may be an option to explore.

Qualifications

Principal investigators and supervisory field personnel shall meet professional qualifications that comply with the Secretary of Interior’s Standards and Guidelines for Archaeology and Historic Preservation as published at 36 CFR Part 61 (http://www.nps.gov/history/local-law/arch_stnds_9.htm). Principal investigators should have knowledge and practical experience in the regional subject matter.

The primary responsibility of a geoarchaeologist is data collection and interpretation in support of archaeological investigations. The geoarchaeologist shall meet the Secretary of Interior’s Standards as described above. It is recommended that the geoarchaeologist have a graduate degree in geology, geomorphology, geoarchaeology, geoscience or a related field or a graduate degree in anthropology, archaeology, or cultural resource management with course work in geology. The geoarchaeologist must be capable of analyzing available geological and archaeological publications, maps, and digital databases relevant for developing a temporal and spatial understanding of the major depositional landforms. The geoarchaeologist may be a part of a multi-disciplinary team that integrates and synthesizes geological and archaeological data sets to identify where buried archaeological sites may or may not be located.

Although limited, some contractual situations may require that the geoarchaeologist be classified as a geologist and require a license from a State licensing board. Licensing requirements vary but often include education, experience, and a passing score on an examination. If the project does require a specific license, it will be stipulated in a Request for Proposal (RFP) or Request for Qualifications (RFQ).

All work shall be conducted in accordance with Reclamation Cultural Resources Management Policy (LND P01) and Directives and Standards (LND 02-01), and consistent with the Secretary of the Interior’s Standards and Guidelines for Archaeological Documentation.

2 Class III: The purpose of the Class III survey is designed to locate all cultural resources in an area. As appropriate, a professional evaluation of their eligibility for the National Register will be undertaken. The Class III survey includes the requirements of a Class I survey and an intensive on-the-ground examination of the entire study area. A Class III survey may require test excavations or other specialized studies for the purpose of evaluating the significance of cultural resources and for determining the geographical extent of a site.