Archaeological Survey Requirements

Background

The OSA Archaeological Manual divides archaeological surveys into phases, which are determined by management objectives and standard archaeological practice.

Phase 1 surveys utilize basic reconnaissance techniques to locate sites within project areas. Phase 1 work can prevent effects to sites caused by development projects, eliminating the need for Phase 2 and Phase 3 work. The purpose of Phase 2 surveys is usually to evaluate the importance of sites, and if necessary, to better characterize the site for implementation of a data recovery plan -- which would be done as a Phase 3 project.

Literature Searches

All phases of archaeological fieldwork are preceded by a Literature Search. A literature search examines standard references in order to summarize what has been written and what is known about a given area or topic without the necessity of fieldwork. Most literature searches are performed prior to undertaking fieldwork, but may be expanded during or after fieldwork.

Literature searches can be used to do the following:

Help assess the need for survey and what methods should be employed
Develop site locational models
Determine areas of previous terrain disturbance or land-use
Provide historic context to help evaluate site significance
Provide background information for developing data recovery plans
Provide sufficient information for National Register nominations or site interpretation

A literature search is synonymous with a records search or archival research, although literature searches can and, in some cases, should involve oral interviews with appropriate individuals such as landowners, local artifact collectors, and topical experts.

Phase Definitions

Phase 1
Reconnaissance or Phase 1 Surveys determine if sites exist in a particular area and define the approximate vertical and horizontal boundaries of any sites within an area without significantly harming site integrity.

The purpose of a Phase 1 survey is usually to determine if archaeological sites within a project area will be impacted by a development project or to characterize an area for archaeological research potential. Because an Area of Potential Effect (APE) may not be contiguous with site boundaries, Phase 1 surveys often will not completely define the horizontal limits of archaeological sites that extend beyond the APE; this could be due to project need, agency guidelines, or lack of landowner permission. In these cases, project archaeologists are encouraged to provide a "best guess" estimate of complete site boundaries based on topography, although these limits can only be confirmed by field survey.

Phase 1 surveys can also make preliminary assessments as to a site's archaeological nature (e.g., context, function, condition, eligibility).

Phase 1 surveys can involve the use of a great variety of archaeological field techniques including:
- Visual inspection
- Surface walkover (pedestrian survey)
- Controlled surface collection
- Shovel testing
- Augering, coring, and electronic remote sensing.
A Phase 1 survey provides enough information to allow consideration of avoidance if a site may be impacted by an undertaking. It also gathers enough information to allow for reasonable recommendations for more detailed work should it be necessary.
Phase 2
Evaluation or Phase 2 Surveys can incorporate two basic objectives:
- To assess the importance or eligibility of a site
- To gather detailed site information to help design an adequate and efficient data recovery plan should mitigation be necessary.
Phase 2 surveys can also better define the vertical and horizontal limits of a site or gather other information for a National Register of Historic Places (NRHP) nomination or formal site interpretation. Evaluation Survey requires intensive fieldwork that usually involves the excavation of formal units (1x1 m or larger) with close provenience control and a level of analysis beyond Phase 1 reconnaissance surveys.

OSA requires that NRHP criteria be used to evaluate a site's importance. This means that a site must be evaluated under one or more of the four NRHP significance criteria (A, B, C, D) and NRHP integrity aspects. The OSA does not require that an NRHP form be filled out to evaluate eligibility, although this can be helpful if eligibility is problematic.

In order to evaluate eligibility, a representative sample must be obtained from the site or at least within the limits of the site within the project area. However, this does not mean that the entire site or project area must be tested utilizing intensive recovery techniques.

If the Phase 1 survey, site topography, and land-use history suggest that a relatively uniform pattern of artifact distribution and integrity exists throughout much of the site, a limited number of test units may serve to evaluate a large site as well as a small site. But more units may be needed to characterize the site sufficiently to construct an appropriate data recovery plan. In general, Evaluation testing on state-licensed projects should not exceed 10 square meters unless approved by the State Archaeologist.
Phase 3

A large scale site excavation or site mitigation is considered the same as a Phase 3 archaeological project. This is called a treatment activity under federal regulations. A Phase 3 project can also be referred to as a data recovery project.

Treatment of archaeological sites usually involves intensive excavation or other forms of intensive field examination following a carefully developed plan. Treatment can also include non-fieldwork alternatives such as preservation easements and National Register of Historic Places (NRHP) nomination, but these options are not discussed in the OSA manual. Treatment involving intensive fieldwork is generally only done for sites eligible under NRHP Criterion D.

Phase 3 investigations are usually carried out to examine a site in detail and recover extensive data in order to mitigate the adverse effects of a construction project. Such investigations most often involve excavating extensive formal units, employing fine-scale recovery techniques, and subjecting recovered artifacts to detailed analysis. Phase 3 work can also include completing controlled surface collections when only horizontal integrity remains at an eligible site. Archaeological monitoring of construction activities at eligible sites can be part of a treatment activity if called for in a data recovery plan.

Archaeological Contractors

The State Archaeologist does not maintain a list of qualified archaeological contractors, but we do maintain a database of licensed contractors. The State Historic Preservation Office (SHPO) maintains an archaeological contractor list that can be found on the SHPO website.

The State Archaeologist will not recommend one particular contractor, but can comment on a contractor's past performance and on the current availability or special qualifications of particular contractors.