(B) Guidelines for the investigation of archaeological properties (modified after 36 Code of Federal Regulations, Part 66). (1) General conduct of location and assessment studies The requirements of section 149.54 of the Revised Code and of this rule shall not apply to any department, agency, unit, instrumentality, or political subdivision of the state. Although the specific activities necessary for the identification of historic properties may vary, the following steps will generally be included.
(a) Background research and evaluation of existing data (i) Since few areas of the state have yet been adequately surveyed for historic properties, current lists of such properties seldom provide information sufficient for location and assessment studies. Documentary research is the starting place for any location study. Systematic study and evaluation of data may permit predictions about the kinds of historic properties that may be encountered in the area and about their possible distributions. Such study may also make it possible to develop a broad evaluatory framework within which the significance of particular properties can be judged. Finally, background research may pinpoint some properties that are already adequately documented, or properties that are known but need further study to obtain full documentation. In undertaking background research, answers to the following questions should be sought: (a) Are there known historic properties in the area? (b) Is knowledge about the presence or absence of historic properties based on a survey or surveys carried out according to the standards set forth herein? (c) To what extent are survey data lacking? (d) If the area has not been systematically surveyed, what predictions can be made about the location or kinds of historic properties expected, based on data from already surveyed areas, from the known history of the area, from the constraints imposed by the natural environment, etc.? (e) Given the known history and prehistory of the region, the social and cultural concerns of its people, and pertinent state, local, and regional plans, what preservation and/or research priorities appear to be appropriate, and what kinds of historic properties might be important to the satisfaction of these priorities? (ii) The person undertaking a location and assessment study should be vigorous in searching out useful sources of data, and should encourage innovative approaches in their use to predict the locations of properties and to develop evaluatory frameworks. It must be recognized, however, that some institutions and organizations that maintain lists, files, or other bodies of unpublished data are legitimately concerned about the integrity of these documents and/or about the cost involved in permitting their use; these concerns should be ascertained and, if legitimate, honored. At least the following sources of background data should be consulted: (a) The state historic preservation plan maintained by the state historic preservation officer, to obtain such data as: (i) Information on properties listed in, nominated to, or determined eligible for listing in the national register, properties on the state registry of archaeological landmarks and state registry of historic landmarks, properties in the Ohio historic and archaeological inventories, and properties on which the state has evaluated and unevaluated survey data; (ii) Information on predictive data regarding potential properties in the area; (iii) Recommendations as to the need for surveys in the area; (iv) Recommendations concerning methods that should be used in conducting such surveys and possible sources of professional expertise; (v) Results of any previous surveys in the area and the state historic preservation officer's comments thereon; and (vi) Recommendations concerning pertinent state or local laws and policies concerning historic properties. (b) Basic published and unpublished sources on local history, prehistory, anthropology, ethnohistory, and ecology should be studied to obtain an overview of the region's potential historic property distributions and research or preservation values. (c) The national register and other lists or files of data on historic properties should be consulted. A list of properties added to the national register each year is published annually in the "Federal Register." National register listings are also accompanied by a list of properties of federal and nonfederal ownership which have been determined to be eligible for inclusion in the national register as well as a list of pending nominations. The catalogs of the historic American buildings survey and the historic American engineering record maintained by the national park service, and any similar surveys and published reports should be utilized. State, university, or professional society historians, architects, architectural historians, archaeologists, and local organizations may also have registers, inventories, catalogs, or other lists of sites or areas with known or presumed historic values.
(d) Persons with first-hand knowledge of historic properties and/or their historic values should be interviewed where feasible and appropriate. Such interviews, and a proper respect for the opinions expressed by those interviewed, are of particular importance where properties of cultural importance to local communities or social groups may be involved. (iii) Background research should be undertaken by or under the supervision of professional historians, architectural historians, historical architects, and/or archaeologists. It will often be necessary to draw upon the services of specialists such as ethnohistorians, anthropologists, sociologists, and cultural geographers to make adequate use of available documentary data. (b) Field inspection. If review and evaluation of existing information yields incomplete data based upon prior professional examination of the area, then the background research should be supplemented by direct examination of the area subjected to environmental impact. Field inspection must be performed by qualified, competent historians, archaeologists, architectural historians and/or historical architects and such other specialists as local circumstances dictate.
The nature of the area will also affect the kinds of methods that must be employed to identify and record historic properties. Terrain, vegetation, land ownership and other factors will also affect the time required to conduct an inspection and the kinds of techniques that will be required to complete it.
Adequate records must be kept of all inspections to indicate clearly what lands were inspected, the degree of intensity with which they were inspected, the kinds of historic properties sought, all historic properties recorded, and any factors that may have affected the quality of the observations.
(2) Special considerations with respect to submerged lands For submerged lands documentary research by qualified researchers may serve to indicate the need for, and recommended location of, physical and/or electronic surveys for submerged archaeological sites and sunken vessels.
(3) Documenting location and assessment studies The nature and level of specificity required in documenting a location and assessment study may vary with the scope and kind of project for which the study is conducted, the kinds of information available about the area studied, and other factors. In general, it is necessary to document the methods used in conducting the study, the assumptions that guided the application of the methods, the results of applying the methods, and any deficiencies in these results that may have arisen from the application or misapplication of the methods. The report of a location and assessment study should contain the types of information detailed in paragraph (C) of this rule.
(4) Data recovery operations Data recovery program operations carried out under the provisions of section 149.54 of the Revised Code should meet at least the minimum standards detailed in paragraph (C) of this rule. All operations are to be conducted under the supervision of appropriately qualified professionals. Qualifications required for professionals are set forth in paragraph (D) of this rule.
(5) Protection of data and materials Data recovery programs result in notes, photographs, drawings, plans, computer output, and other forms of information. They also may result in the acquisition of architectural elements, artifacts, soil, bone, modified stones, pollen, charcoal, and other physical materials subject to analysis, interpretation, and/or display.
Data and material resulting from a data recovery program should be in the custody of a qualified institution. A "qualified institution" is one equipped with space, facilities, and personnel adequate to curate, store, and maintain the recovered data and material. The exact nature of the requisite space, facilities, and personnel will depend on the kinds of data and material recovered.
(6) Provision of reports Pursuant to section 149.54 of the Revised Code, any person performing a location survey, assessment survey, or excavation under the provisions of this rule shall provide the director of the Ohio historical society with two quality copies of reports conforming to the specifications listed in paragraph (C) of this rule.
(C) Specifications for reports of archaeological services These specifications for reports of archaeological services were established by the "Ohio Archaeological Council" and adopted for use as review criteria by the Ohio historical society.
Archaeological services report. The report shall, in form and substance, conform to recognized professional standards applicable to archaeological reports. The report is designed to provide the director of the Ohio historical society with the inventory, statements of archaeological significance, and a means for the management of archaeological resources. The report is also designed to provide a systematic body of data for future evaluation and research. The specifications are not designed to exclude categories of information not listed nor to offer a rigid format for the final report. The reports should consist of the appropriate sections for the type of archaeological services being conducted. Sections applicable to specific types of research are outlined in paragraph (C)(2) of this rule.
(1) Report categories (a) Introductory statements (i) Title page. (a) Title, author, principal investigator, date of submission. (b) Consulting firm/archaeologist, address. (c) Client for whom report is prepared, address. (d) Lead federal agency or state agency, if applicable. (ii) Table of contents arranged in accordance with the sequence of topical headings with corresponding page numbers. (iii) Abstract (suitable for publication) to include a resource management summary which summarizes the research strategy, results, suggestions, and recommendations. (iv) Introductory statements (a) A statement as to the purpose and circumstances of the contracted archaeological services. (b) General description of the project and project area with appropriate mapping. (b) The setting/environmental background. This shall be a detailed description not only of the physiographic province, but also of the project area with attention given to flora, fauna, geology, soils and climatic history, and historic patterns of land use. Site potential shall be discussed, e.g., chance of deeply buried sites on a flood plain. The environmental background shall be described in a way to provide information on resource utilization potential, e.g., soils favorable for cultivation, availability of raw lithic resources. (c) Previous research and literature search. This shall be a comprehensive and detailed review of past and current archaeological and historic investigations of the project area and surrounding region, including but not limited to, the following: (i) Names of investigators or institutions. (ii) Dates, extent, results, and adequacy of previous research as it reflects on the interpretation of what might be found in the project area. (iii) Location and nature of field notes, unpublished manuscripts, and collected materials. (iv) Statement that a check has been made of the national register, the state registry, the Ohio archaeological inventory, regional archaeological files (universities, museums, regional preservation offices, societies), and appropriate state, county, and local histories. (d) Cultural development/archaeological background. The project area shall be placed in its regional setting with respect to the known cultural history. This shall include a description of the major outlines of prehistoric and historic cultures of the project area, including chronology, settlement and subsistence patterns, and any other significant data available. (e) Field methods and techniques (i) Sampling strategy. Description and justification; (ii) Field techniques: (a) A description and justification of the field techniques employed. (b) Environmental conditions during the survey and their effects upon the survey results. (c) A description of data collecting techniques, and types of data collected (e.g., artifacts and cultural debris as well as spatial relationships between them), sampling techniques (complete, systematic, or specific form of random sampling), and artifact-retrieval procedures. (d) Procedures used to locate landowners, collectors, and others knowledgeable in the archaeological resources. (e) Controls, if utilized, for personal bias. (iii) Data recording requirements: (b) Measuring devices and circumstances when used and not used. (c) Graphic as well as written summary descriptions of all surface and subsurface collection units, including any limitations of access. The description of the survey route should include spacing and number of traverses. Descriptions of test units employed, including graphic locations at appropriate scale, should be included. (d) When cultural materials are encountered, the following information is required: (i) Surface survey. Indicate methods utilized to determine density and extent of recovered materials. (ii) Subsurface survey. Information on each of the test units should minimally include: a. The location and size of each unit within the site. b. The types of levels excavated (natural, cultural or arbitrary) and the justification for such techniques. c. A description of all natural and/or cultural material observed and/or collected within the test units including soil descriptions and the description, dimensions and interpretation of any features encountered. Graphic representations of all test pit locations, profiles and features should be included. (f) Description of analytical techniques. Laboratory and analytic methods should be summarized so that they are clear to other researchers, minimally including: (i) Classificatory scheme (typology) or schemes used in artifact description and analysis. If using a scheme developed by another archaeologist, give full reference. (ii) Method of chronological determination (typological, radiometric, etc.). (iii) Other special analytical methods and techniques (e.g., predictive models). (iv) The curation location of all artifacts and research data (including field notes) must be specified. This curation must be open to inspection by the director of the Ohio historical society or the director's duly authorized representatives. The final disposition of all data must be acceptable to the director of the Ohio historical society. (g) Site descriptions. This section shall include the following information: (i) A completed Ohio archaeological inventory form which must be referenced here but may be appended. (ii) A general description of the site location. (iii) The environmental setting including topography, proximity to water, soils, and elevation. (iv) Dimensions and boundaries of the site. (v) The nature and amount of previous disturbance. (vi) The materials recovered, including a description of the assemblage or assemblages with illustrations and distribution tables. Illustrations of the materials collected should include photographs and/or line drawings of all diagnostic artifacts when reasonable or should, in case of a large quantity of recovered material, include representative examples of those materials. (vii) The cultural/temporal affiliation(s), if known. (viii) A discussion of the potential impact of the project on the site, if applicable. (ix) A statement of significance and recommendations for further work. Statements of significance for each site located are determined by historic, scientific, and social values. Such statements will consider, but not be limited to, the following definitions: (a) Historical value of cultural resources depends on the potential for identification and reconstruction of specific cultures, periods, lifeways, processes, and events. Cultural resources are historically significant if they provide a typical or well-preserved example of a prehistoric or historic tribe or society, period of time, or category of human activity. Archaeological remains are also historically significant if they can be associated with an identifiable individual, event, or aspect of history. (b) "Scientific value" is the potential for using cultural resources to establish reliable generalizations concerning past societies and cultures and deriving explanations for the differences and similarities between them and for their development through time. Much of the same data is used for both scientific purposes and historic studies, but the treatment and scope of the information differ. Generalizations and explanations require controlled comparison of statistically representative samples of all types of data relevant to past human life. Samples include artifacts, settlements, dietary remains and evidence of past environments. Scientific significance depends on the degree to which archaeological resources in the project or program area constitute a representative sample of data which can be used in comparative studies. The value of these data is determined in the regional context of the project or program area and in relation to general anthropological or historical problems. The scientific significance of cultural remains is assessed by consideration of a variety of factors, including:
(i) The relative abundance of the resources. (ii) The degree to which specific resources and situations are confined to a given area. (iii) The quality of preservation conditions as it relates to the potential for future research. (iv) The cultural and environmental relationships of the archaeology of a given area to the surrounding province or provinces. (v) The variety of evidence for human activities and their environmental surroundings that is contained within a given area. (vi) The range of research topics to which the resources may contribute. (vii) Special deficiencies in current knowledge that the study of these resources may elucidate. (c) Social value consists of direct and indirect ways by which society at large benefits from study and preservation of cultural resources, including: (i) The acquisition of knowledge concerning man's past. (ii) Indirect benefits received by educational and research institutions and their communities, including opportunities for professional training. (iii) The acquisition and preservation of objects and structures for public exhibit and enjoyment. (iv) Educational and economic benefits from tourism attracted by archaeological and historical exhibits. (v) The practical application of scientific findings acquired in archaeological and historical research. (vi) The preservation of areas significant for ethnic groups. (h) Eligibility assessment. When sufficient information is available, each site shall be evaluated in terms of its eligibility for listing on the national register of historic places and the state registry of archaeological landmarks. The investigator must state the justification for considering any resource eligible for these registries. (i) In such a consideration, the following national register criteria will apply to all cultural properties possessing historical, architectural, archaeological, or cultural value located within the area of the actual or proposed project's potential environmental impact. "National register criteria" means the following criteria established by the secretary of the interior for use in evaluating and determining the eligibility of properties for the national register. The quality of significance in American history, architecture, archaeology, engineering, and culture is present in districts, sites, buildings, structures, and objects of national, state and local importance that possess integrity of location, design, setting, materials, workmanship, feeling and association, and: (a) That are associated with events that have made a significant contribution to the broad patterns of our history; or (b) That are associated with the lives of persons significant in our past; or (c) That embody the distinctive characteristics of a type, period, or method of construction, or that represent the work of a master, or that possess high artistic values, or that represent a significant and distinguishable entity whose components may lack individual distinction; or (d) That have yielded, or may be likely to yield, information important in prehistory or history. Ordinarily historic cemeteries, birthplaces, or graves of historical figures, properties owned by religious institutions or used for religious purposes, structures that have been moved from their original locations, reconstructed historic buildings, properties primarily commemorative in nature, and properties that have achieved significance within the past fifty years shall not be considered eligible for the national register.
(ii) An archaeological property, prehistoric or historic, is eligible for listing in the state registry of archaeological landmarks if it: (a) Possesses integrity of location, context, or materials; and (b) Has yielded, or may be likely to yield, information important in furthering the understanding of prehistory or history. An archaeological property can include, but is not limited to, any village, earthwork, mound, burial, campsite, quarry, prehistoric or historic ruin, or other location which is or may be the source of important archaeological data.
(iii) In addition to these basic statements of national register and state registry criteria, the following twenty categories of archaeological information taken singly or in any combination, are regarded as elements of significance: (b) Stratigraphic sequence; (c) Short time period (single component site); (d) Long time period (multiple component site); (h) Geographic distribution (k) Socio-cultural processes; (l) Uniqueness of cultural expression; (n) Replication of pattern evidence; (o) Potential for testing techniques; (p) Degree of disturbance; (q) Place in history of archaeology; (r) Potential for public interpretation; (s) Potential for training professional archaeologists; (t) Potential for interpreting a particular prehistoric culture. (i) Summary and recommendations. The summary section should discuss the following items: (iii) Evaluation of findings including: (a) The theoretical orientation of the principal investigator and/or author's bias and assumptions shall be explicitly stated as they pertain to this cultural resource. (b) The significance of each site in terms of its scientific, archaeological, historical or cultural value. If the examination did not offer an opportunity to gain data sufficient to arrive at a satisfactory conclusion, offer recommendations for further research. (iv) When applicable, the principal investigator shall consider mitigation possibilities and evaluate the most appropriate and feasible alternative for sites within the project area. This section of the report should offer suggestions for: (a) Protecting any portion(s) of the site, or sites, that will remain after examination from damage or destruction. (b) Protecting any site, sites, or portions of a site that are proven or suspected to be either directly or indirectly affiliated (e.g., culturally, spatially, etc.) with the site or sites under investigation. (c) Interpreting the site or sites for public information and educational programs. (j) Required appendices: (i) Bibliography and field contacts (names and addresses). (ii) United States geological survey seven-and one-half-inch quadrangle map showing project and site locations to scale. (iii) Ohio archaeological inventory forms. (iv) Survey permits, if applicable. (v) Archaeological services proposal (budget and curriculum vitae of principal investigator may be omitted). (2) Final report. The following is a list of the report categories in paragraph (C)(1) of this rule, required for the type of research being conducted. Since literary research, location, eligibility assessment and excavation are frequently sequential activities for the same project, report categories previously published may be referenced. (a) Literature research: (i) No sites. Paragraphs (C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d), and (C)(1)(j) of this rule. (ii) Known or suspected sites within project area. Paragraphs (C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(f), (C)(1)(g), and (C)(1)(h) of this rule if applicable. (b) Location: (i) No sites. Paragraphs (C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(e), and (C)(1)(f) of this rule if applicable; and paragraphs (C)(1)(i) and (C)(1)(j) of this rule. (ii) Known sites. Paragraphs (C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(e), (C)(1)(f), (C)(1)(g), and (C)(1)(h) of this rule if applicable; and paragraphs (C)(1)(i) and (C)(1)(j) of this rule. (c) Eligibility assessment. All report categories are applicable. (d) Excavation. All report categories are applicable.