Rule 16-3-11.6 - Create a Research Design for Terrestrial Cultural ResourcesA. Create a Research Design: An explicit research design should govern all archaeological work, especially Phase II and III investigations. Prior to going into the field, a design or plan should be created addressing the justification and legitimacy of the proposed field work, as well as the techniques to be employed. Furthermore, the research design should reflect the needs of the sponsor, such as how much area to look at and how much and what kinds of data to record (Davis 1982:B-5). In addition, each archaeologist must submit a scope of work to MDAH-SHPO for comment prior to conducting Phase I cultural resource surveys of 200 hectares (500 acres) or more. Scopes of work must also be submitted to MDAH-SHPO for comment before conducting any Phase II or III investigations. These documents should specify the types of cultural resources known or anticipated to be in the projects area of potential effects, the field and/or archival techniques proposed, the projected number of field personnel required for the project, and the estimated time in the field.
B. Conduct Literature Review/Records Check: Prior to investigations of terrestrial cultural resources, historical and archaeological records, literature, and archival sources should be examined to provide a cultural/historical context for the study area and to identify previously recorded archaeological or historical properties in or near the project area. The following is a brief list of sources maintained by MDAH-SHPO that should be consulted prior to conducting Phase I, II, and III terrestrial cultural resources investigations: 1. Mississippi Archaeological Site File (contains information on known sites)2. Archaeological Maps (15 and 7.5 USGS Topographic Quadrangles) which contain information on known site locations, previous cultural resource surveys, etc.3. Cultural Resources Survey reports and other applicable literature, such as the State Historic Context Document, Mississippi Archaeology, LouisianaArchaeology, Journal of Alabama Archaeology, Arkansas Archeologist, Tennessee Anthropologist, Southeastern Archaeology, American Antiquity, etc.4. Archaeological Subject File (supplemental data on recorded sites, such as artifact illustrations and photographs, site maps, newspaper articles, correspondence, etc.)5. Deeds, Historic Maps, Aerial Photographs, and other Remote Sensing Data6. National Register of Historic Places FilesC. Recordation: 1. Field notes should be maintained during the entire investigation and for all aspects of the project. If possible, all notes should be written or copied onto acid-free paper.2. Significant archaeological sites and prominent features found should be photographed with color and black and white film. Although most black and white film types are fairly stable, most color films are not. Due to color film dye instability and short life expectancy, archaeologists are strongly encouraged to use Kodachrome slide film when photo documenting sites for the permanent record. All photographs should be printed with a standard finish, such as matte, glossy, or satin and should be at least 31/2 x 5 inches. Each photograph should be labeled with a permanent audio-visual marking pen or pencil. Adhesive labels should not be used on photographs because they can become detached. All original photographs, negatives and transparencies should be included with the curated materials. Digital images, regardless of the media, are not appropriate for the permanent record. For further advice concerning photographing significant archaeological sites refer to National Register Bulletin 16A: How to Complete the National Register Form and National Register Bulletin 23: How to Improve the Quality of Photos for National Register Nominations.3. Maps of the project area should be maintained to record all areas investigated and sites located.D. Phase I:1. Terrestrial Cultural Resources Survey: The overall goal of a Phase I cultural resources survey is the location and evaluation of archaeological resources within a projects area of potential effects. If sites are found during this phase of research, sufficient information should be recovered to determine whether further investigations are necessary to assess National Register eligibility. Specific objectives of the Phase I cultural resources survey include: a. a review of archaeological and historical records pertaining to the general project area;b. a complete field inspection to determine the presence, nature, and degree of integrity, if possible, of any archaeological remains within the projects area of potential effects; andc. an evaluation of the potential impact of the project on the identified archaeological resources.2. Fieldwork Guidelines: The areas surveyed and the methodologies employed should be decided on an individual project basis. The following list, however, provides basic guidelines that should assist the archaeologist in retrieving adequate information:
a. General: i. The field survey must include a systematic pedestrian surface examination of all exposed ground surfaces, as well as shovel testing and screening of all vegetated ground surfaces in the entire area of potential effects.ii. If predictive modeling is used during any part of the Phase I cultural resources survey, the model must be verified through field testing.iii. Written records must be maintained throughout the course of the study.iv. Photographic documentation of potentially significant archaeological resources identified in the project area should be maintained to record the geographical setting and land use (see Recordation section for information concerning photographs).v. Representative artifact collections (i.e. all artifact forms, not just diagnostics) must be made from archaeological sites identified within the project area for the purposes of determining the sites temporal and cultural affiliations, as well as the functional and technological aspects of the assemblage.vi. All previously recorded sites in the project area should be visited, if possible. Information on these sites should be updated in the form of a new site card.vii. Gathering information from local informants about cultural resources in the project vicinity is encouraged. If possible, view, describe, and photograph private artifact collections obtained in or near the project area.viii. Past land alterations (e.g., plowing, timber activities, borrow pits, construction activities, erosion) in the project area of potential effects should be recorded.ix. Every shovel test, auger test, and other ground disturbance should be refilled upon completion of the survey unless consultation with participating agencies and/or landowners has produced an agreement to forego filling.x. Survey and site/s locations must be depicted on 7.5 USGS topographic maps.b. Systematic Pedestrian Visual Surface Examination:i. Ground cover conditions must be described and the techniques of pedestrian survey specified.ii. A systematic pedestrian visual surface examination must be conducted in those portions of the project area, such as cultivated cropland, possessing good surface visibility.iii. In areas of good surface visibility, archaeologists should walk transects spaced at 15-30 meter (50-100 feet) intervals maximum. A transect spacing justification (e.g., ground visibility, density of archaeological sites in area, severely disturbed areas, inaccessibility) should be part of the cultural resources survey report.iv. While a surface collection may help determine horizontal site boundaries, it is not considered an adequate procedure for assessing site nature (i.e., depth, composition, possible integrity, etc.). Therefore, some subsurface investigations should also be conducted at the site.c. Shovel Tests/Screening: i. Where the surface cannot be inspected with reasonable thoroughness, sub-surface testing must be conducted in all areas where archaeological sites are likely to occur.ii. The nature of any sub-surface testing must be discussed with size, depth, and spacing intervals of tests specified.iii. Shovel tests should be excavated at 30 meter (100 feet) intervals maximum across terrain with poor ground surface visibility.iv. Each shovel test, approximately 30x30 cm (12x12 inch) in diameter, should be excavated into sterile subsoil, if possible.v. Excavated soil should be screened through 6.35 mm (1/4 inch) or smaller hardware cloth unless soil conditions make such screening impractical. When such soil conditions exist, the archaeologist should identify these conditions in the report and indicate the method of artifact recovery that was used.vi. When a positive shovel test is excavated, the testing interval should be reduced to 5 to 10 m with shovel testing continuing in a cruciform or grid pattern until two consecutive negative shovel tests are encountered. This method should assist in determining horizontal site dimensions and boundaries.vii. Records of each positive shovel test should be maintained, including their locations within the project area and the number and types of artifacts recovered from each shovel test. Artifacts encountered exclusively in disturbed zones or at any other depths should be noted. Additionally, it is important to record any negative findings encountered during the survey.viii. Unvegetated cultivated fields and land forms are not automatically exempt from shovel testing. Therefore, if shovel tests are not excavated, the principal investigator should justify the decision. Plowed fields should be shovel tested under the following conditions: poor artifact visibility (e.g., soil recently plowed, lack of rainfall), when in a dynamic depositional environment (e.g., adjacent to aggrading stream, creek, river), or artifacts observed on the surface.d. Deep Soil Sampling: i. Principal investigators should conduct limited deep soil sampling, utilizing cores, augers, backhoes, etc., to locate and delimit cultural deposits deeply buried under alluvium, colluvium, and/or water. Deep soil sampling helps the archaeologist more thoroughly evaluate the project area by gathering site and soils information unobtainable through pedestrian visual surface examination and traditional shovel testing procedures.ii. Consultation with a geomorphologist or pedologist is encouraged if the principal investigator is not trained in or familiar with the geomorphology of the area.e. Other Methods: Archaeologists may also incorporate a variety of remote sensing techniques into the survey, such as ground penetrating radar (GPR), gradiometer, resistivity, conductivity, magnetometer, metal detecting, aerial photographs, multispectral imaging, etc. The research design should justify the use of these additional survey techniques.
E. Phase II: 1. Terrestrial Cultural Resources Testing and Evaluation: The primary objective of the Phase II investigation is to determine if the site in question is eligible for inclusion in the National Register of Historic Places. Although archaeological site significance can be documented under National Register Criterion A (events), B (important persons), and C (design, construction, and work of a master), eligibility for most sites will probably be determined under Criterion D (information potential) or a combination of all the above (see National Register Bulletin 36). In order to determine the significance of a site [under Criterion D], enough subsurface investigation must be done to establish the potential for information that can be used to formulate and answer research questions in regard to a regional context (Bense et al. 1986:56). Investigation objectives include, but are not limited to, identifying:a. the vertical and horizontal extent of intact archaeological deposits within each site;b. the density and distribution of the archaeological deposits within each site;c. the cultural affiliation of the components represented at each site;d. the presence of undisturbed/relatively intact subsurface features or buried stratified deposits at each site;e. the classes of archaeological remains retrievable; andf. whether the site is eligible for inclusion in the National Register. Phase II investigations should not be initiated without consultation with MDAH-SHPO.2. Fieldwork Guidelines: The fieldwork methodology and areas to be investigated should be decided on an individual site basis. The selected methodology should focus only on data relative to research questions of potential importance as they pertain to evaluating National Register significance. The following list provides basic guidelines that should assist the archaeologist in retrieving adequate information: a. General: i. Written records and standardized forms should be maintained throughout the course of the study. Test units, features, soil profiles, and other identified anomalies should be photographically recorded.ii. All field investigations must use a permanent reference grid.iii. Every test excavation unit, auger test, backhoe trench, or other ground disturbance should be refilled upon completion of the testing project, unless consultation with participating agencies and/or landowners has produced an agreement to forego filling (e.g., preparation for Phase III mitigation).iv. Provide location of Phase II testing on 7.5 USGS topographic map.b. Testing: i. Work conducted during the Phase I cultural resources survey should have identified the archaeological propertys boundaries and artifact distribution and/or concentrations. However, if this is not the case, then the archaeologist may need to conduct limited clearing and/or plowing and disking of the site to enhance surface visibility. Some areas, such as forests, may preclude this step. Therefore, it is recommended additional shovel tests and screening be conducted in order to identify site boundaries. Upon completion of this task, the archaeologist should conduct a controlled surface collection utilizing a permanent reference grid. Areas in tree/bush lines may be investigated by excavating test units. Based on the results of the surface collection, shovel testing, and/or previous artifact/feature concentrations encountered during Phase I survey, a limited number of test units (based on site size, artifact distributions, land formations, etc.) should be manually excavated to determine the depth of the plowzone (or A horizon) and nature of subplow zone deposits and subsoil. All land clearing and testing activities should be justified in the report.ii. Excavated soil should be screened through 6.35 mm (1/4 inch) or smaller hardware cloth (e.g., dry shaker screens or water screens). It is advisable to double screen feature fill or other complex deposits through a 1.58 mm (16th inch) fine hardware cloth to ensure retrieval of as much cultural material as possible (e.g., micro-debitage, archaeobotanical and zooarchaeological remains) (see also Flotation Sampling).iii. If deemed appropriate by the principal investigator, heavy equipment (e.g., backhoe, grader) may be used to remove selected portions of disturbed upper soil zones (e.g., plowzone) to expose possible intact buried deposits. Locations and orientation of trenches, depositional and pedogenic profiles for trenches, and stratigraphic evidence for integrity, or lack thereof, should be included in the report. However, it is important to note, that solely grading a site and looking for features is not considered an appropriate, effective, or scientific means of testing an archaeological site. Justification for conducting all mechanical tests should be included in the report.iv. Typically, the sampling design should provide adequate subsurface exposure (i.e., below plowzone or other identified initial soil level) of the site area as defined by surface and subsurface techniques (e.g., surface collections, shovel tests). Each site is different, and the archaeological methods used, the areas of the property tested, and the percentage of the site sampled in order to determine National Register eligibility should be decided on an individual site basis.v. A justification of test excavation unit spacing and placement (e.g., artifact densities, presence of features) should accompany the Phase II testing report.vi. Priority should be given to accurately mapping the distribution of subsurface features and deposits that have been revealed through testing (e.g., plan and profile illustrations; artifact piece plotting).vii. A representative sample of subsurface cultural features and deposits should be excavated to determine temporal and cultural affiliations.viii. Munsell soil color and texture data should be provided for all excavated units (by level) and features.c. Deep Soil Sampling: Limited deep soil sampling should be conducted at appropriate locations, if applicable, across the site in order to ensure proper coverage and to detect any deeply buried deposits that may exist.d. Flotation Sampling: Systematic flotation samples should be taken to provide a sample of artifacts less than 6.35 mm (1/4 inch), such as archaeobotanical and zooarchaeological remains. Flotation samples provide an index not only of the presence of remains but also an indication of the density of material. The percentage of site (levels, features) sampled through flotation should be decided on an individual site basis.e. Chronometric Sampling: Systematic chronometric samples should be taken to provide information on the age of the site. Types of chronometric dating procedures include radiocarbon dating, archaeomagnetic dating, oxidizable carbon ratio, thermoluminescence, etc.f. Other Methods: Archaeologists may also incorporate a variety of remote sensing techniques into the survey, such as ground penetrating radar (GPR), gradiometer, resistivity, conductivity, magnetometer, metal detecting, aerial photographs, multispectral imaging, etc. The research design should justify using these additional survey techniques.F. Phase III: 1. Mitigation of Terrestrial Cultural Resources: The mitigation of impacts or effects on a significant (i.e., National Register eligible) property can take several forms. For example, relocating, changing, or modifying the proposed project is one way to avoid impacting an eligible archaeological site. Although the site may not be preserved in the long run, this action can eliminate imminent impacts and adverse effects associated with the original project. This step incorporates the property into the project in a non-destructive manner. However, when avoidance of a significant property is impractical and partial or total destruction is unavoidable, an agreement to conduct data recovery (i.e., extensive and in some cases complete site excavation) is usually reached (see Section 110b of NHPA). This plan is usually a continuation and expansion of Phase II activities. The data recovery plan should be detailed, discussing and justifying the design of the investigation which will retrieve the data, what research questions will be addressed, the proposed analysis and the expected results, and a justification for the expenditure of money on the data recovery project should be clearly stated. If the recovery plan is unusually complex, then a Memorandum of Agreement (MOA) between participating agencies should be developed. Mitigation recovery projects may not proceed without consultation with MDAH-SHPO and the development of the appropriate written agreement. Whatever is decided, this plan should be consistent with the principles set forth in Consulting About Archeology Under Section 106, the Secretary of the Interiors Standards and Guidelines for Historic Preservation Projects, and the Participants Desk Reference issued by the Advisory Council on Historic Preservation in 1995.
2. Underwater Archaeological Research: Mississippi possesses a diverse range of submerged cultural resources, ranging from canoes and pirogues to steamboats, schooners, and ocean-going vessels, as well as prehistoric sites inundated through coastal subsidence. These archaeological sites receive the same level of protection as do terrestrial sites. In addition to the aforementioned laws (e.g., NEPA, NHPA) governing terrestrial site protection and mitigation, additional legislation, such as the Abandoned Shipwreck Act of 1987, serve to further protect these important resources. The following section briefly outlines Phase I, II, and III techniques and guidelines that should assist archaeologists and agency administrators in developing research designs capable of retrieving sufficient amounts of data in order to identify and evaluate submerged cultural resources, primarily sunken vessels. Each phase should be approached within the context of a research design with project results contributing to a better knowledge and understanding of Mississippis past.
Miss. Code §§ 39-7-1, 25-59-1 (1972, as amended).