Att_2_BLM_Handbook_Revised_2022.pdf

Handbook of Guidelines and Procedures for Inventory, Evaluation, and Mitigation of Cultural Resources

Bureau of Land Management Colorado State Office 1998 (revised November 2022) i

Table of Contents

I. PURPOSE AND OBJECTIVES

II. AUTHORITIES

III. GLOSSARY OF TERMS

IV. LIST OF BUREAU OF LAND MANAGEMENT MANUALS FOR CULTURAL RESOURCE

MANAGEMENT

V. PERMIT PROCEDURES FOR ARCHAEOLOGICAL INVESTIGATIONS

A. Types of Permits

1. Survey and Recordation

2. Limited Testing and/or Collection

3. Excavation and/or Removal

B. Permit Application

1. Organizational Qualifications

2. Individual Qualifications

3. Cultural and Geographic Area Experience

4. Qualifications of Proposed Curatorial Facility

5. Certification by Curatorial Facility

C. Permit Modification or Renewal D. Application Review and Evaluation E. Permit Areas F. Permit Numbers G. Fieldwork Authorization H. Pre-Field Check-In I. Post-Field Check-In J. Annual Permit Reports to the State Office K. Outreach

VI. INVENTORY

A. Objectives B. Classes of Inventory C. Determination of Level of Inventory D. Minimal Area to be Surveyed

1. Rights-of-Way

2. Coal

3. Oil and Gas

4. Geophysical

5. Indirect APE

E. Level and Intensity of Inventory and/or Monitoring F. Inventory Field Methods G. Recording Cultural Resources H. Digital Data Management Specifications I. Evaluation J. Reporting Process and Standards ii

1. Negative findings

2. Positive findings with no effect to cultural resources

3. Positive findings with effects to cultural resources

K. Collection and Curation

1. Collection

2. Curation

L. Treatment Options

1. Avoidance

2. Minimization

3. Mitigation

M. Treatment/Mitigation Plans N. Unanticipated Discoveries O. Emergencies P. Other General Standards that Apply to Land Uses

VII. APPENDICES

I. PURPOSE AND OBJECTIVES

This handbook addresses cultural resource standards and guidelines and provides direction to Bureau of Land Management (BLM), cultural resource specialists, prospective or current archaeological investigations permittees (herein referred to as permit holders), other Federal agencies, and commercial developers (herein referred to as project proponents). The requirements that are discussed here and in BLM Manual Series 8100 dated December 3, 2004 (https://www.blm.gov/policy/manuals) regarding cultural resource policy are to be used by applicants or permit holders to conduct cultural resource work for a Federal undertaking or independent scientific study. This information is also used by the BLM to guide its own cultural program and by permit holders and project proponents to understand the scope and requirements that they may have to undertake in carrying out the stipulations attached to leases and permits under which they may be working.

The BLM requires that the permit holder of a Permit for Archaeological Investigations (PAI) carry out the terms and conditions of the permit or face suspension or revocation of the permit. For a project proponent to proceed with a project, the permit stipulations must be completed. Signing the permit indicates acceptance of these responsibilities.

The BLM will provide necessary guidance to both permit holders and project proponents regarding legal and regulatory requirements and cultural resource management. The BLM is not an arbitrator between permit holders and project proponents with business disputes. The BLM strongly suggests that the two business entities develop explicit contracts between themselves prior to any PAI application or issuance.

The BLM is required by law and regulation to ensure that Bureau-initiated or Bureau-authorized actions do not inadvertently harm or destroy cultural resources. Because most cultural resources are unidentified, irreplaceable, and highly sensitive to ground disturbance, it is necessary that the resources are properly identified, evaluated, and reported prior to any proposed action that might affect their integrity or condition. All cultural artifacts and other related materials such as notes, photographs, GIS, GPS, and other digital data, etc. from public lands remain the property of the U.S. Government.

II. AUTHORITIES

Other guidance provided for the identification, evaluation, treatment, and management of cultural resources on BLM lands can be found in the Programmatic Agreement Among the Bureau of Land Management, the Advisory Council on Historic Preservation, and the National Conference of State Historic Preservation Officers Regarding the Manner in which BLM will Meet Its Responsibilities under the National Historic Preservation Act (NHPA, as amended in 2016). [Also see “BLM Manual 8100 The Foundations for Managing Cultural Resources” for listing and description of applicable historic preservation laws.]

In Colorado, specific guidance is provided by the:

• BLM Colorado Manual 8100 dated December 3, 2004;

• State Protocol Agreement Between the Colorado State Director of the Bureau of Land

Management and the Colorado State Historic Preservation Officer Regarding the Manner in which the Bureau of Land Management will meet its Responsibilities under the National https://www.blm.gov/policy/manuals

Historic Preservation Act and the 2012 National Programmatic Agreement Among the BLM, the Advisory Council on Historic Preservation, and the National Conference of State Historic Preservation Officers (2014) (Protocol or Protocol Agreement);

• Office of Archaeology and Historic Preservation (OAHP) Colorado Cultural Resource Survey Manual;

• Colorado OAHP Cultural Resource Report Forms and Guidelines; and

• General Colorado historic and prehistoric context documents, as well as specific context documents, many of which can be found here: www.historycolorado.org/historic-prehistoric-contexts.

III. GLOSSARY OF TERMS

Area of potential effects: 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 caused by the undertaking.

Cultural landscape: a cultural landscape is a geographic area, including both cultural and natural resources and the wildlife or domestic animals therein, associated with an historic event, activity, or person, or exhibiting other cultural or aesthetic values (NPS Preservation Briefs 36, “Protecting Cultural Landscapes: Planning, Treatment and Management of Historic Landscapes”).

Cultural resource or cultural property: a definite location of human activity, occupation, or use, normally greater than 50 years of age, identifiable through field survey, historical documentation, or oral evidence. The term includes archaeological, historical, or architectural sites, structures, places, or sites or places with important public and scientific uses, and may include definite locations (sites or places) of traditional cultural or religious importance to specified social and/or cultural groups (cf. “traditional cultural property”). Cultural resources are concrete, material places and things that are located, classified, ranked, and managed through the system of identifying, protecting, and utilizing for public benefit described in laws, regulations, and the BLM Manuals.

Definite location: having discernible, map-able, more-or-less exact limits or boundaries, on a scale that can be established by a survey crew using conventional sensing and recording equipment, by an informant’s direct on-the-ground indication, or by precise placement in a documentary source (see “cultural resource or cultural property”).

Direct effect: refers to the causality, not the physicality, of the effect to historic properties.

This means that if the effect comes from the undertaking at the same time and place with no intervening cause, it is considered “direct” regardless of its specific type (e.g., whether it is visual, physical, auditory, etc.). Pursuant to 36 CFR 800.5(a)(1), such effects must impact “…any of the characteristics of a historic property that qualify the property for inclusion in the National Register in a manner that would diminish the integrity of the property's location, design, setting, materials, workmanship, feeling, or association.”

Field office standards and procedures: procedures and reporting standards for permit holders conducting projects under a Permit for Archaeological Investigations that supplement standards and procedures in this Handbook and are maintained by individual BLM field offices or districts.

Historic property: any prehistoric or historic district, site, building, structure, or object included in, http://www.historycolorado.org/historic-prehistoric-contexts http://www.historycolorado.org/historic-prehistoric-contexts or eligible for inclusion in, the National Register of Historic Places (NRHP). The term includes artifacts, records, and remains that are related to and located within such properties. The term “eligible” for inclusion in the NRHP includes both properties formally determined as such by the Secretary of the Interior and all other properties that meet NRHP listing criteria (NHPA, 54 USC 300308 and 36 CFR 800.16(l)(1)). (See also “cultural resource or cultural property.” Cultural resource or cultural property is an analogous BLM term not limited by NRHP status.) In Colorado, properties classified as “need data” are treated as if they are eligible for the NRHP.

Indirect effect: effects caused by the undertaking that are later in time or farther removed in distance but are still reasonably foreseeable. Pursuant to 36 CFR 800.5(a)(1), such effects must impact “…any of the characteristics of a historic property that qualify the property for inclusion in the National Register in a manner that would diminish the integrity of the property's location, design, setting, materials, workmanship, feeling, or association.”

Isolated find: a physical location of past human activity consisting of one or very few artifacts in a location that is interpreted as not representing patterned human behavior. [Note: The distinction between a site and an isolated find is, in many instances, difficult to quantify. The above definition does not operationalize the distinction, it merely provides guidance to the Field Offices. In practice, the operational concepts of site and isolated find will be explicitly defined by each Field Office Archaeologist and may, therefore, vary significantly from region to region within Colorado.

Each Field Office should be asked to provide their definition before entering the field.]

Large-scale projects: projects involving acreage more than 160 acres with no sites, or any size acreage where sites are present. Test excavations, sample/full-scale excavations, and scientific research are considered large-scale projects. There is some flexibility in the use of this guideline according to project complexity.

Permit areas: permits are typically issued by three Colorado regions associated with Field Offices (FO) and National Landscape Conservation Lands: Plains Region (Browns Canyon National Monument [NM], Kremmling FO [Larimer County only], and Royal Gorge FO); Mountain Region (Colorado River Valley FO, Dominguez-Escalante National Conservation Area [NCA], Grand Junction FO, Gunnison FO, Gunnison Gorge NCA, Kremmling FO, Little Snake FO, McInnis Canyons NCA, San Luis Valley FO, Uncompahgre FO, and White River FO); and Southwest Region (Canyons of the Ancients NM, La Jara Geographic Area (formerly La Jara FO, the southern portion of the San Luis Valley FO), and Tres Rios FO).

Permittee: professional permit holder that holds a BLM PAI.

Proponent: operator, commercial developer, or any other party or organization proposing to conduct Federal undertakings for which BLM is the lead agency.

Section 106 consultation: refers to consultation between the BLM (or other Federal agency), the Colorado State Historic Preservation Office (SHPO), the Advisory Council on Historic Preservation (ACHP), Tribes, local governments, and other consulting parties, in accordance with Section 106 of the NHPA (54 USC 306108), and following procedures specified in the State Protocol Agreement.

Site: the locus of previous human activity (50-year age minimum) at which the preponderance of evidence suggests either one-time diagnostically interpretable use or repeated use over time, or multiple classes of activities.

Small-scale projects with limited results: linear projects that do not exceed four (4) miles in length and/or block areas of 160 acres or fewer, with no sites, and a maximum of four (4) isolated finds.

Traditional cultural property: a property that derives significance from traditional values associated with it by a social and/or cultural group, such as an Indian Tribe or local community.

See “cultural resource or cultural property” and “definite location.” A traditional cultural property may qualify for the NRHP if it meets the criteria and criteria exceptions at 36 CFR 60.4 (see National Register Bulletin No. 38).

Undertaking: a term with legal definition and application i.e., “actions carried out by or on behalf of the agency; those carried out with Federal financial assistance; those requiring a Federal permit, license, or approval; and those subject to State or local regulation administered pursuant to a delegation or approval by a Federal agency” (see 54 USC 300320; 36 CFR Part 800.16(y)). The NHPA does not apply to actions subject to State or local regulations. Most land use authorizations approved by BLM, as well as BLM-funded projects, are undertakings for purposes of Section 106 of the NHPA (54 USC 306108).

IV. LIST OF BUREAU OF LAND MANAGEMENT MANUALS FOR CULTURAL RESOURCE

MANAGEMENT

8100 THE FOUNDATIONS FOR MANAGING CULTURAL RESOURCES

8110 IDENTIFYING AND EVALUATING CULTURAL RESOURCES

8130 PLANNING FOR USES OF CULTURAL RESOURCES

8140 PROTECTING CULTURAL RESOURCES

8150 PERMITTING USES OF CULTURAL RESOURCES

8160 COLLECTIONS MANAGEMENT (reserved)

8170 INTERPRETING CULTURAL RESOURCES FOR THE PUBLIC

V. PERMIT PROCEDURES FOR ARCHAEOLOGICAL INVESTIGATIONS

A PAI is a land use authorization that the State Director, or his/her designee, issues to a qualified applicant, pursuant to BLM Manual 8150, for the purposes of carrying out various identification and/or data recovery operations on cultural properties that are located on BLM-administered lands. The PAI does not apply to non-Federal surface. Although permits are not issued for consultants working on non-Federal land under BLM requirements, BLM is responsible for the quality of work done to satisfy historic preservation requirements and may ask to review both the project proponent’s proposed choice of consultant and the adequacy of the work proposed and advise the proponent about adequacy of the qualifications and/or the work through official correspondence. The BLM must accept a consultant’s work product before completing the historic preservation review process and approving the proponent’s lands use application. At no time should a consultant use the permit as the mechanism to gain access to non-Federal surface. The proponent is responsible for obtaining landowner consent and access.

Permits are issued partly under the authority of Section 302(b) of the Federal Land Policy and Management Act of 1976 (FLPMA) and the procedures in BLM Manual Section 2920, but in contrast to other “2920 permits,” PAIs are nonexclusive, noncompetitive, minimum impact permits, and are not subject to Notices of Realty Action, filing fees, or cost reimbursement. PAIs are required for any person(s) performing cultural resource investigations on BLM-administered lands in Colorado. Permits are also issued under the authority of the Archaeological Resources Protection Act of 1979 (ARPA). PAIs are issued by the BLM Colorado State Office. For more information, contact the BLM Colorado Deputy Preservation Officer (BLM_CO_CR_Permits@blm.gov).

The State Director, or his/her designee, is responsible for receiving permit applications; preparing case files; conducting technical and management reviews to ensure that all qualifying requirements are met; issuing, denying, modifying, suspending, and revoking permits; and maintaining current files.

Field Office Managers, or their designee, are responsible for conducting technical and management reviews of permit applications as requested by the State Director, or his/her designee; for making recommendations to the State Director, or his/her designee, for permit issuance, denial, modification, suspension, or revocation; for notifying and consulting with affected Tribes; for monitoring work conducted under permits; and for issuing fieldwork authorizations.

Cultural Resource Specialists on State and Field Office staffs are responsible for providing and documenting technical reviews and recommendations; for developing terms and conditions; for monitoring and documenting permittees’ technical performance; and for compliance with permit terms and conditions.

While the Colorado BLM encourages and requires participation by permittees at various stages of the Section 106 process, the Colorado BLM retains ultimate responsibility for complying with all requirements of the NHPA and its implementing regulations.

Permits may be issued to appropriately qualified applicants, provided the work proposed would further knowledge in the public interest, would not conflict with other legitimate or protected uses of the public lands and resources, and would not be inconsistent with any approved management plan, objective, or established policy applicable to the public lands concerned.

Because of the considerable staff time it takes to review applications, prepare permits for approval, and monitor status, the Colorado BLM will not issue speculative permits. Applicants who are qualified for but denied a speculative permit will be informed in writing (see BLM Manual 8150.12.B.8) that an application for definite work will be processed promptly, and that denial under these circumstances does not reflect negatively on qualifications or performance (BLM Manual 8150.12.B.5.b). It is therefore preferable that a new applicant has a job in hand when applying for a permit.

Permits are not issued to other Federal agencies. Officially proposed cultural work may be authorized by a written agreement. Approval is subject to the same review process and considerations specified in Manual 8150. The written agreement can be a letter, subject to the mailto:BLM_CO_CR_Permits@blm.gov same special conditions applied to other permit holders, which must be referenced in the letter, with special conditions attached. Other Federal agencies are required to obtain a fieldwork authorization from the appropriate Field Office Manager prior to beginning fieldwork. An employee of another Federal agency, proposing to conduct off-duty personal research that would require a permit, is subject to the standard permit application process.

The terms and conditions that apply to all permits are listed in them and must be followed for all projects, or the permit may be suspended or revoked.

Additional Field Office standards and procedures are available at https://www.blm.gov/programs/cultural-heritage-and-paleontology/archaeology/what-we-manage/colorado.

A. Types of Permits

Permit holders must be specific about the type of permit being requested in their application. The following uses are authorized:

1. Survey and Recordation activities may be authorized for applicants who propose to identify, evaluate, record, or conduct similar non-impacting studies of cultural properties that will not include excavation and/or removal of material remains or other significant disturbance of cultural properties. As acknowledged in advance, and specifically limited in the permit terms and conditions, such permits may authorize collection of isolated cultural materials, cultural materials that are at-risk of being damaged or removed by looters, and minor subsurface probing to locate limits of cultural properties or unconfirmed archaeological deposits for mapping purposes or eligibility determinations. Minor subsurface probing is limited to shovel or trowel tests.

Survey and recordation permits may be issued on a multiple-Field Office, region, or statewide basis for three (3) years to facilitate Section 106 compliance inventories. First-time permit holders, or those who have not demonstrated an organizational history of work on BLM Colorado lands, are issued permits for one (1) year only, until they have established a history of successful project completion.

2. Limited Testing and/or Collection activities may be authorized for applicants who propose to conduct small-scale testing and/or systematic collection and removal of cultural materials during field identification, evaluation, and recording, so that the significance or research potential of a cultural property may be better understood (but not substantially diminished). Small-scale testing should be limited to a maximum of three (3) square meters per site. It is important to understand that the purpose of limiting testing is to establish whether a site is eligible for nomination to the NRHP. Hence, testing should cease once it is determined that intact subsurface cultural deposits are present.

Exceptions to the three-square meter rule require written permission from the Field Office Archaeologist and must provide details about the site, project, time frame, and reasons for the exemption. Excavation of any cultural property beyond limited evaluative or eligibility testing requires the issuance of a permit for excavation and/or removal (see item 3 below). Limited testing may be conducted to identify mitigation needs at a site. Because the work performed under limited testing permits is expected to disturb relatively little of the cultural property, they generally can be issued without Native American consultation, at the discretion of the Deputy https://www.blm.gov/programs/cultural-heritage-and-paleontology/archaeology/what-we-manage/colorado https://www.blm.gov/programs/cultural-heritage-and-paleontology/archaeology/what-we-manage/colorado

Preservation Officer, in consultation with the Field Office Archaeologist.

3. Excavation and/or Removal may be authorized for applicants who propose to excavate and/or remove material remains at a greater scale than the limited testing described above, with the result that the significance and/or future research potential of a cultural property may be substantially altered. Excavation/removal permits are restricted to specific project areas or specific cultural properties and are issued for the duration of the project. Major testing programs designed to answer research questions and to guide future data recovery efforts of an eligible cultural property require excavation permits. Ordinarily, excavation/removal permits will be issued only after Native American notification and consultation required by ARPA and the Native American Graves Protection and Repatriation Act (NAGPRA) has been completed. The work is usually guided by a detailed treatment plan that has been reviewed and approved by BLM after consultation with the Colorado SHPO (details may be found in Section X.H. of the Protocol).

A combination of cultural resource activities described in items 1 and 2 above may be authorized in a single permit, as appropriate, depending on the extent and nature of work proposed in the application. A survey and recordation or limited testing/collection permit may be modified to authorize additional activities, project areas, and/or cultural properties that were not specified in the permit at the time of issuance. An excavation/removal permit normally will not be modified to include additional project areas and/or cultural properties; a new excavation/removal permit would be required.

Pursuant to BLM Manual 8150.11.C.3, permits are not required for ethnographic work.

A project-specific Fieldwork Authorization Request form (Form CO-8151-3) is required before commencing fieldwork and is issued by the appropriate BLM Field Office. Fieldwork authorizations should not be routinely used to apply additional special conditions to the permit beyond what was attached at original issuance, nor should the authorization process be used as a second level of review of proposed personnel. BLM Field Offices must verify permit status and permitted individuals prior to signing a Fieldwork Authorization.

BLM Archaeologists may participate in or monitor work conducted by permit holders.

B. Permit Application

Any person may apply for a PAI by submitting an application (Appendix 1, DI-1926 Form) and required supporting documentation to the State Director or his/her designee. Applicants should contact the BLM Deputy Preservation Officer for information about how to apply. Applications must be submitted electronically to the BLM Deputy Preservation Officer via email (BLM_CO_CR_Permits@blm.gov). The application should not be sent to the Field Office(s).

Permittees must allow four weeks for processing of a survey permit request and six to eight weeks for processing of testing or excavation permit requests.

Applications must show that the work proposed will further the knowledge of cultural resources in the public interest.

Permits must not be used as a Federal certification of consultants’ credentials, a license to practice, or a precondition for consultants to compete for industry jobs. However, if bidding on a BLM Colorado contract, a consultant generally must hold a valid BLM Colorado PAI or show they are sufficiently qualified to obtain a permit. The Request for Proposal should specify those requirements. The permit must be consistent with the type and scope of work proposed. Also, BLM may not renew first-time permit holders if work is not conducted under the permit during the year.

The following list of minimum requirements will assist permit holders in preparing applications (see also Appendix 2, Individual Permit Qualifications Quick Guide).

1. Organizational Qualifications

Applications must show the applicant's organizational ability to accomplish work of the type and scope proposed. A summary of organizational experience should be submitted providing the following minimum information:

a. Statement of applicant's organizational ability to accomplish work, including:

i. Location(s) of facilities and equipment;

ii. Description of facilities and equipment;

iii. Organizational structure and staffing; and

iv. Specification of which and to what extent facilities, equipment, and staff listed would be utilized.

b. Statement of applicant's organizational history in completing the type of work proposed, including:

i. Similar past projects;

ii. Past government contracts;

iii. Selected bibliography of project or contract reports and/or publications resulting from the previous two items;

iv. Previous Federal permits held in the last three (3) years, effective dates of permits currently in force, and applications pending or planned;

v. Suspended or non-renewed Federal permits; and

vi. Other pertinent organizational experience, such as research and special studies.

If the applicant is a newly formed entity, any information that might take the place of information requested in items 1.a. and 1.b. above should be provided. In such cases, individual capabilities of personnel will carry greater weight in evaluation of organizational qualifications. Lack of an organizational history will not be the principal factor in a recommendation for permit denial.

2. Individual Qualifications

A resume and experience chart must be submitted for each Principal Investigator and Field Director proposed for listing on the permit, detailing the below qualifications (see Appendices 3 and 4, recommended resume and experience chart formats). Resumes and experience charts shall not contain staff members’ personal addresses, phone numbers, email address, etc. as this is “personally identifying information (PII).” Only work contact information should be included on any submission to BLM. If PII is included, the application will be rejected.

a. Permit Administrator: Applications must include the name of the individual proposed to be responsible for carrying out the terms and conditions of the permit and otherwise complying with legal requirements applicable to the permitted activity. This individual must be legally empowered to obligate the applicant organization and must sign the application. Unless this individual is also named under items 2.b. and 2.c. below, it is not necessary that this individual is a professionally qualified archaeologist, historian, or architect.

b. Project Director/Principal Investigator: Applications must include the name of any individual(s) who would be responsible for planning, supervising, and overseeing the overall project, including responsibility for the professional quality of evaluations and recommendations. Principal investigators will have primary accountability for technical completeness and competence of work conducted under the permit. They are responsible for development of work plans and research designs, for performance of crew chiefs, for selection standards and limitations on work assignments of crew members, for analysis and interpretation of field data, for integration of fieldwork results into comparative regional perspectives, and for preparation of reports. Information must be included with the application to demonstrate that each individual has achieved the following:

i. Adequate professional instruction. This may be obtained in either of the following two ways:

1. Formal education resulting in a graduate degree in the appropriate discipline for the permitted activity, or

2. Formal education resulting in a bachelor's degree in the appropriate discipline for the permitted activity, plus at least two (2) years of pertinent, professionally supervised experience, with increasing responsibility leading to duties similar to those proposed in the application.

ii. Competence in theory and method, and in recording, collecting, handling, analyzing, evaluating, and reporting of cultural resources data, relative to the type and scope of work proposed.

iii. Ability to plan, equip, staff, organize, and supervise activity of the type and scope of the work proposed.

iv. Ability to carry research to completion, as evidenced by timely completion of theses, research reports, final reports, etc.

v. Completion of at least sixteen (16) months of professional cultural resource management experience, including similar duties as proposed in the application. This experience must include at least four (4) months (120 days) of experience with comparable cultural resources in similar cultural and geographical areas (see B.3.

below). If equivalency is claimed under item 2.b.i.2. above, the sixteen (16) months of experience required here is to be included in, not in addition to, the two (2) years of experience required in item 2.b.i.2. above.

c. Field Director/ Crew Chief: Applications must include the name of individual(s) that are responsible for carrying out field projects and are in the field when fieldwork is underway.

Field directors (for the purpose of PAIs, synonymous with crew chiefs) are responsible for the technical quality of fieldwork, for the direct on-the-ground supervision of all aspects of fieldwork and data gathering, for proposing resource evaluations and recommendations for further treatment, and for preparing field records and descriptive reports. For each individual, information must be included with the application to demonstrate that the individual has achieved the following:

i. Adequate professional instruction, obtained either of the following two ways:

1. Formal education resulting in a bachelor’s degree in the appropriate discipline (anthropology/archaeology, history, architecture) and at least twelve (12) months of pertinent professionally supervised experience, with increasing responsibility leading to duties similar to those proposed in the application; or

2. Equivalent training and experience, including at least thirty (30) months of pertinent, professionally supervised experience, with increasing responsibilities equivalent to those proposed in the application.

ii. Competence in recording, collecting, handling, analyzing, evaluating, and reporting cultural property data, relative to the type and scope of work proposed.

iii. Demonstrated ability to supervise activity of type and scope proposed.

iv. Completion of at least four (4) months (120 days) of professional cultural resource management experience with comparable cultural resources in similar cultural and geographic areas (see B.3. below). This may be part of the experience required in item 2.c.i. above.

The same individual may be named under items 2.a.-c. above (e.g., the same individual may be proposed to serve as permit administrator, principal investigator, and field director), provided that evidence is submitted to demonstrate that all pertinent criteria are met.

d. Monitors: Project excavation or trenching monitors who will be operating on their own in the field (without direct field director supervision) must meet qualifications V.B.2.c.i. and ii.

above. In addition, monitors must have at least one (1) month (30 days) of professional cultural resource management experience with comparable cultural resources in similar cultural and geographic areas. Monitors must have experience in excavation methods, either through an approved field school, or at least thirty (30) days supervised experience in excavation. Excavation experience may be part or all of the one month of experience in a similar cultural or geographical area. Previous monitoring experience may take the place of any or all of these qualifications, on a case-by-case basis. Exceptions to these qualifications may be made in discussion with the State Deputy Preservation Officer, depending on the type and scope of monitoring project.

e. Historical Archaeologist: This designation is only for those with professional experience restricted to historical archaeology. Certification must meet the same minimum qualifications as a principal investigator and field director.

f. Architectural Historian: The minimum professional qualifications in architectural history are a graduate degree in architectural history, art history, historic preservation, or a closely related field, with coursework in American architectural history, or a bachelor's degree in architectural history, art history, historic preservation, or a closely related field plus one of the following:

i. At least two (2) years of full-time experience in research, writing, or teaching in

American architectural history or restoration architecture with an academic institution, historical organization or agency, museum, or other professional institution; or

ii. Substantial contributions, through research and publication, to the body of scholarly knowledge in the field of American architectural history (Secretary of the Interior's Standards and Guidelines: Professional Qualifications Standards).

g. Crew Members: All crew members must possess a minimum of eighteen (18) hours of anthropology or archaeology experience, with two (2) months field experience or field school. The permit holder is responsible for assuring that these qualifications are met.

3. Cultural and Geographic Area Experience

The completion of at least four (4) months (120 days) of professional cultural resource management field experience in applicable cultural and geographical areas associated with the

Field Office, or in areas of adjacent states involving similar cultural resources (Appendix 5, Geographical and Cultural Field Experience by County and BLM Field Office) is required. The geographical area experience is based on the number of field days by project work (i.e. survey, excavation, and monitoring) by county. At least half (60 days) of the qualifying experience must be survey work. Additionally, at least half of the qualifying experience must be within Colorado.

For purposes of evaluating professional work experience, thirty (30) days constitutes one (1) month. One workday, even if it is slightly more or less than eight (8) hours, counts as a single day.

Thus, if an individual worked for no less than six (6) hours or no more than ten (10) hours in a single day, that workday would count as one (1) day. The resumes and experience charts (Appendices 3 and 4) of personnel submitted with the application must clearly show the required information. Resumes must reflect the specific projects cited in the experience chart (see Appendix 3).

4. Qualifications of Proposed Curatorial Facility

Materials collected from BLM-administered lands and associated records will be deposited in the following facilities unless otherwise noted in the permit:

a. Canyons of the Ancients Visitor Center and Museum: Canyons of the Ancients National Monument and the Gunnison, Tres Rios, and Uncompahgre Field Offices.

b. Museums of Western Colorado: Colorado River Valley, Grand Junction, Kremmling, Little Snake, and White River Field Offices.

c. Royal Gorge Regional Museum and History Center: Royal Gorge Field Office.

d. No specified long-term facilities are available for the San Luis Valley Field Office. A no collection policy is currently in effect, unless specified in the fieldwork authorization.

To the maximum extent possible, proposed curatorial facilities should meet the 36 CFR Part 79 standards and must satisfy the following minimum considerations, as applicable:

a. Physical Considerations:

i. Adequate security;

ii. Adequate protection for the types of materials expected to be housed, such as climate control for perishable material remains;

iii. Adequate protection for records, data, photographs, and other documents;

iv. Adequate records/accessioning/retrieval systems, including full capability to account for materials;

v. Adequate provisions for scholarly access and study; and

vi. Maintenance of physical plant insurance.

b. Administrative Considerations:

i. Provision for permanent preservation, including transfer to a Federal or federally approved location in the event the facility should cease to exist;

ii. Adequate staffing;

iii. Provision for granting qualified scholars reasonable access to records and collections for research purposes.

5. Certification by Curatorial Facility

Curation agreements are required regardless of the type of permit issued and uses authorized (BLM Manual 8150.11.E). It is the responsibility of the permit holder to establish curation agreements with repositories for all regions they request to be permitted in. The agreement(s) should be submitted to the BLM with the application or renewal request and must be in place before a permit is issued.

Each curation agreement must be signed by an authorized official of the proposed curatorial facility, detailing the facility’s willingness to accept collections, records, data, photographs, and other documents generated during the proposed term of the permit, and to assume permanent curatorial responsibility and accountability for such materials on behalf of the United States (U.S.)

Government. The U.S. Government owns all collections and associated records. The permit holder is required to notify the curatorial facility of the term of the permit. The curation agreement must include the expiration date for the permit.

C. Permit Modification or Renewal

Application for modification of permits may be requested using the “Request for Modification of Permit for Archaeological Investigations” (Appendix 6, Form CO-8151-006). Applicants may need to submit supporting documentation that is relevant to the requested modification. Permittees should try to combine modification requests to include as many changes as possible at one time.

No more than three modifications may be requested in a year.

Renewal requests for existing permits should include Form CO-8151-006 (Appendix 6) and resumes and experience charts for any new staff being requested as Principal Investigators or Field Directors. The renewal request may not be made prior to 30 days before the expiration of the term of the permit. Provided the permit has not been misused since it expired, renewals may be requested within a reasonable period after expiration. If the existing permit is in good standing, during the time a permit renewal is being reviewed and processed, the permit will remain in effect.

D. Application Review and Evaluation

Applicants should expect a minimum of 20 business days for a permit application to be reviewed (depending on the type of permit application- see V.B. above). The BLM Deputy Preservation Officer will review all applications, with input from the Field Office in which the proposed work will occur, for compatibility of proposed work with any approved management plans, established policy, objectives, or requirements applicable to the management of the public lands and resources involved. Proposed work may be modified or limited by the BLM through established terms and conditions. An application may also be denied if work proposed is or would be incompatible with cultural resources management commitments established through evaluation and planning, multiple resource use protection requirements pertaining to time of year, type of activity, type of equipment employed, access, personal safety, fire safety, or other management restrictions, and other authorized uses of lands or resources exclusive in nature.

The applicant is responsible for seeking input from the appropriate Field Offices to better complete an application, particularly when the application involves treatment plans. Prior to the approval of any excavation and/or removal permits and some limited testing permits, the Field Office must complete appropriate SHPO and Tribal consultation and provide documentation of consultation to the Deputy Preservation Officer.

Documentation of qualifications for all supervisory personnel must be provided in resumes.

Applications that are missing necessary information or required documentation in support of an information item may be withheld from further review until the needed information or documentation is provided. The BLM will inform the applicant what is needed for review as quickly as possible. For this purpose, documented telephone or email contact is preferable to written notification.

Applications may be disqualified based on failure to meet qualifying criteria, which may include documented history of inadequate performance under a previous permit. Similarly, individuals named in applications may be excluded from a permit or have their intended roles changed for insufficient qualifications or documented inadequate performance under a previous permit.

Any application that fails to meet minimum qualifying criteria specified, either upon initial receipt or through failure to respond adequately to a request for missing information, may be recommended for rejection without further review, by following the applicable permit denial procedures in the 8150 Manual.

If an individual deliberately falsifies or grossly exaggerates his or her qualifications or experience on their resume, the BLM will suspend any further consideration of certifying that individual in a supervisory capacity for a period of time commensurate with the severity of falsification.

E. Permit Areas

Survey/Recordation permits are issued by Field Office/Regional jurisdiction (Appendix 5). Limited Testing/Collection and Excavation/Removal permits are issued by project area or cultural property.

F. Permit Numbers

Survey/Recordation and Limited Testing/Collection permits are assigned numbers that will remain in effect through all modifications and renewals. Excavation/Removal permits are assigned numbers that will remain in effect only through the term of the project.

G. Fieldwork Authorization

Prior to commencement of any field investigations, permit holders must notify the appropriate Field Office(s) of their intent to carry out fieldwork and submit a Fieldwork Authorization Request (Appendix 7, Form 8151-003). A request must be made for each project-specific authorization and a map showing the proposed project area must be included. At no time should a permittee use the authorization as the mechanism to gain access to non-Federal surface. The proponent is responsible for obtaining landowner consent and access. The BLM Archaeologist will file a copy of the authorization in the Field Office permit files and send an electronic copy to the BLM Deputy Preservation Officer for the permanent, statewide PAI file.

H. Pre-Field Check-In

Prior to each project, having received a Fieldwork Authorization and before commencing fieldwork, the permittee must conduct a records search. The permit holder will have to check the records at the BLM Field Office(s) and History Colorado, Office of Archaeology and Historic Preservation, to identify all recorded cultural resource sites and previous inventories. The BLM may not have the staff and time to conduct such pre-field records check for permittees. In this event, the permit holder may schedule a check-in with the BLM Archaeologist at the Field Office where fieldwork will be conducted. The purpose of the check-in is to conduct the files searches, discuss the scope of the project and the adequacy of the proposed survey, and to obtain a BLM project number. Scheduling the check-in may be done by phone or email and should allow at least a week’s notice for scheduling. Failure to conduct a pre-field records check may result in the rejection of the associated survey report and/or suspension or revocation of the permit.

I. Post-Field Check-In

As soon as possible, upon completion of the fieldwork, the permit holder will notify the appropriate BLM office of the results of the fieldwork. This may be done over the phone or by email (please see section VI.J. Reporting Process and Standards). For long-term projects, it is advisable to keep the BLM Archaeologist informed as fieldwork proceeds using progress reports.

After the permit holder reports the results, the BLM Archaeologist will contact SHPO to obtain the OAHP documentation number for the survey or limited results report, for inclusion on the written documentation. The BLM will provide the permit holder with an OAHP documentation number.

The following information is required for the post-fieldwork phone call or email to the BLM Archaeologist:

1) County or counties associated with the project;

2) Type of finding (positive or negative);

3) Working report title; and

4) The BLM project number assigned to the project.

J. Annual Permit Reports to the State Office

Permit holders are required to submit an annual report of their work for the calendar year, even if no work was conducted. The report will include the following information: name, type, and size of project; OAHP and BLM documentation numbers; number of isolated finds and sites discovered (if any) and number of eligible sites; date of report acceptance or notation of report pending; and if artifacts were collected, number of materials, from which site(s) they originated, and where and when they were curated (see Appendix 8, recommended annual report format). Curation receipts must be submitted at the same time as the report, if they have not been previously submitted.

The report will be submitted to the Deputy Preservation Officer no later than December 31 of each year. The report should be submitted by email, rather than in hard copy. If no projects were conducted within the year, an email with this information may suffice as the annual report. Failure to submit the annual report may be grounds for permit suspension or revocation. [Note: the annual report is not to be used as a substitute for any survey or excavation reports or site evaluations.]

K. Outreach

Permit holders are especially encouraged to educate project proponents about the value of cultural resources and the legal consequences of unauthorized damage and unauthorized removal of artifacts. It is strongly recommended that project proponents offer an employee education program for field employees.

VI. INVENTORY

(See BLM Manual 8110 Identifying and Evaluating Cultural Resources)

A. Objectives

The inventory objective is to identify all cultural resources, including traditional cultural properties (TCPs), that may be affected within a specified APE. Identification efforts should meet the “Reasonable and Good Faith” standard, outlined by the ACHP in the document located here:

https://www.achp.gov/sites/default/files/guidance/2018- 05/reasonable_good_faith_identification.pdf. The identification of cultural resources must be conducted in accordance with professional standards detailed in the Secretary of the Interior’s Standards and Guidelines for Archaeology and Historic Preservation (published by the NPS at 48 FR 44716, September 29, 1983).

B. Classes of Inventory

The BLM cultural resource inventory system is composed of three kinds of inventory: Class I – existing information inventory; Class II – probabilistic field inventory; and Class III – intensive field inventory. Each type of inventory is designed to provide specific cultural resource information for various planning and resource management needs. The most frequently employed method is Class III inventory, carried out with the intent of enabling BLM to comply with Section 106 of the NHPA before making decisions about proposed land and resource uses. In those cases, unless specifically prohibited in regulations, the cost of inventories will be the responsibility of the project proponent or the benefiting BLM activity, as authorized by Section 110(g) of the NHPA (54 USC 306109).

1. Class I inventory is not merely a records search or pre-field literature review, conducted prior to land disturbance actions. A Class I inventory is most useful for gaining a comprehensive view of all the known archaeological, historical, and cultural resources and TCPs within a large area.