Introduction

The report guidelines are intended to inform the preparation of technical reports for the purposes of compliance with federal and state historic preservation legislation. The majority of reports received by the Office of State Archaeology (OSA) for review are the result of archaeological investigations conducted for compliance with Section 106 of the National Historic Preservation Act (NHPA).

Report guidelines were first established in 1979, expanded in 1982, and revised in 1988. Revisions made in 2017 were the result of discussions among the OSA staff and consultation with members of the North Carolina Archaeological Council (NCAC) and the archaeological consultant community. The current version clarifies expectations, particularly as submission processes have changed to keep pace with technology.

Report review is conducted by the staff archaeologist with responsibility for the geographic area in which the investigation was undertaken. Other staff archaeologists may also participate in the report review as deemed appropriate by OSA staff. If a reviewer has questions or comments concerning any aspect of the project report, they will transmit them to the project sponsor and/or report author. The staff of the OSA ensure that comments and/or determinations are provided within the 30-day review period stipulated in 36 CFR 800.4. Any comments on the report will be contained in a letter signed by the State Historic Preservation Officer (SHPO) or their deputy. If comments are substantive, we may request that the report be revised and re-submitted before we can provide determinations of National Register eligibility or comments regarding project effects on archaeological resources. Once all comments have been addressed, a letter will be sent to request a hard copy of the report. Concurrence letters will not be sent until after the hard copy of the final archaeological survey report is received.

Several types of reports are accepted and reviewed by the OSA: monitoring, reconnaissance, Phase I, Phase II, and Phase III. Each report must stand on its own as a complete and self-explanatory document. The minimum standards and recommended format for the preparation of technical reports are discussed below. Comments and determinations will only be provided for projects that have been subject to review by the SHPO. However, professional non-compliance reports of archaeological investigations conducted in North Carolina, including reconnaissance surveys and research excavations, will be accepted into the Site File library.

Please see the following links to the North Carolina Archaeological Site Form, North Carolina Office of State Archaeology Cemetery Site Form, and the handbook for completing both the site form and the cemetery form.

By US Postal Service
Renee Gledhill-Earley
State Historic Preservation Office
4617 Mail Service Center
Raleigh, NC 27699-4617

By FedEx, UPS, or courier
Renee Gledhill-Earley
State Historic Preservation Office
109 East Jones Street, Room 258
Raleigh, NC 27601

Plagiarism

Any direct quotations from another author or research and analysis done by another researcher should be clearly identified and cited appropriately within a report. Failure to properly attribute writing and research constitutes plagiarism and is in violation of the Register of Professional Archaeologists Code and Standards. 

Site and Accession Numbers

All reports of archaeological investigations must use permanent archaeological site numbers issued by the OSA. Cemeteries within a project area that have interments 50 years old or older should also have a permanent site number assigned. If the cemetery is associated with other historic site elements, or is located within a prehistoric site, the cemetery component should receive a separate site number. Reports that discuss archaeological sites and/or cemeteries will not be accepted without permanent site numbers.

Site number assignments will be made in response to email requests sent to site.numbers@dncr.nc.gov. When requesting state site numbers from the OSA please provide the following information. It is helpful to provide this information in table format, such as an Excel spreadsheet.

• Your project or temporary site number for each site.
• What county each site is in.
• Site type--the time period(s) represented by each site—prehistoric, historic, or both.
• Whether you would like an accession number assigned. If you are requesting these for some but not all, please indicate.
• A map or maps—topographic type clearly marked with the map’s name, county in which it’s located, and labeled site location. If all sites legibly fit on one map one is fine for all.
• One of the following: shapefiles (preferred), kmz/kml files, or the UTMs and datum for each site.

While we will request maps showing site polygons, it is our preference that shapefiles also accompany the site number request. This helps to ensure the most accurate plotting for the sites. We prefer shapefiles submitted as polygons, even for small sites. If you choose to submit shapefiles or kmz/kml files we do not require submission of UTMs.

If artifacts are to be curated at the Office of State Archaeology Research Center (OSARC), accession numbers should be obtained from the Site Registrar when site numbers are requested and assigned. Curation standards for material to be curated by the OSARC are included as PART 4.  CURATION in this document.

Please be advised that it may take up to five business days to fulfill site and accession number requests. No permanent site numbers will be assigned on the basis of informal contacts such as telephone calls. No single numbers or blocks of numbers will be assigned in advance of field investigations or in anticipation of survey results.

Site and Cemetery Forms

All newly identified or revisited archaeological sites and cemeteries documented in a report of field investigations should be recorded using the appropriate OSA forms. Reports must be accompanied by the appropriate forms to be considered complete and sufficient for review. Forms should be submitted along with reports following the ShareFile procedures described above for report submissions.

Archaeological sites should be recorded using the North Carolina Archaeological Site Form version VIII. Earlier versions of this form (including Site Form III) will no longer be accepted. Do not change the format, font size, or font type of the site form.

Cemeteries containing interments greater than 50 years of age should receive a trinomial site number. If the cemetery is associated with other historic site elements, or is located within a prehistoric site, the cemetery component should receive a separate site number and a cemetery form should be submitted. This form is located in APPENDIX C and is also available on the OSA Forms page. Given the possibility for unmarked graves in historic cemeteries, even burial locations with a single above-ground marker should be recorded as cemeteries. See Part 2: Terrestrial Field Methodology for guidelines concerning cemetery documentation.

Site and cemetery forms should be stand-alone documents, not bound or incorporated into reports. All site and cemetery forms should have at least one map attached that includes the site boundary, project area boundary if it is near or intersecting the site, shovel test locations and corresponding numbers (if not on labeled grid), areas of artifact concentrations, areas of disturbance, structures or other above-ground features, topographical features, and anything else that would assist with site relocation and explaining site formation processes. Maps and artifact inventories should be added as the final page(s) of each site form. 

Curation

All materials – including artifacts, floral and faunal remains, and sediment samples, along with related documentation such as original field notes, maps, photographs, artifact inventory lists, and analysis forms – recovered and created for purposes of compliance with state and federal regulations shall be permanently curated in an approved archaeological repository, preferably in the state of North Carolina. Since archaeological investigations are inherently destructive and non-replicable, these guidelines ensure that collected artifacts and associated documentation from work done in the public interest will be available to future researchers.

Principal investigators and project sponsors (including government agencies) are expected to arrange for the clear legal transfer of ownership, or, if necessary, permanent or long-term loan of all such materials to the curation facility.

Reports of archaeological investigations must include the name of the repository; name(s) of official contacts who can provide information on, and access to, the project collections; accession numbers; and other information such as mailing addresses and telephone numbers of the approved repository. Following 36 CFR 79.6, when possible, collections should be deposited in a repository that is in the state of origin and houses collections from a similar geographic region or cultural area. If the chosen repository is outside of North Carolina, an explanation for that choice should be provided.

If a landowner requests that artifacts be returned to them rather than curated in an appropriate repository, those artifacts should be thoroughly documented through photographs and notes so that they can still be studied by future researchers. At a minimum, photographs should be taken of representative diagnostics. These photographs and notes should be permanently curated in an approved archaeological repository, preferably in the state of North Carolina.

See Part 4: Curation for requirements if curating artifacts at the OSA Research Center and Lab.

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Courtesy Reports

Reports of archaeological investigations done without a recommendation by the OSA, the lead federal agency, or a Tribal Historic Preservation Office will be considered courtesy reports. The OSA will accept reports done for non-compliance purposes to be stored for future researchers but will not review those reports for compliance with guidelines.

Monitoring Reports

On-site monitoring of construction activities may be undertaken to ensure that a specific archaeological site, cemetery, or geographic area is not adversely affected by earthmoving activities. See Part 2. Terrestrial Field Methodology for guidelines regarding monitoring activities.

The complexity and length of a monitoring report will be proportional to the number and types of resources discovered. If no resources were uncovered, a simple letter report stating the dates and nature of monitoring activities will suffice.

If resources are identified, new or updated site forms should be submitted along with the report. To ensure acceptance by the OSA, all monitoring reports should include:

• Principal Investigator and crew.
• Date(s) of investigation.
• USGS topographic map with project area indicated.
• Client and project description.
• Relevant legislation and SHPO environmental review number.
• Discussion of monitoring process and results, including extent of area monitored, including map; description of any artifacts or features identified; photographs of identified features, if applicable; curation plans for materials collected; and recommendations for further work.

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Reconnaissance Survey/Due Diligence Reports

In certain circumstances, particularly with large, phased projects, reconnaissance surveys may be an appropriate first step in the compliance process. The reconnaissance survey should be used to identify readily apparent archaeological sites and areas with a high probability of containing sites. See Part 2: Terrestrial Field Methodology for guidelines regarding reconnaissance survey activities.

Due to the contingencies associated with compliance archaeology, we request that permanent site numbers be assigned, and site forms be submitted for all sites and cemeteries identified as a result of reconnaissance surveys. See Site and Cemetery Forms above for information concerning site and cemetery forms.

All reconnaissance reports must include the following information to be considered complete and sufficient for the purposes of receiving OSA-advised SHPO comments on survey methodology, site or cemetery eligibility, or the need for further work:

Title Page and Table of Contents

The Table of Contents should be appropriately paginated, and should include lists of tables, maps, and figures.

Management Summary

The management summary provides the contract sponsor, the report reviewer, and others with a succinct but complete synopsis of the project. A management summary is similar to but generally more detailed than an abstract. The management summary should include:

• Project title, client, and project description.
• Relevant legislation and SHPO environmental review number.
• A brief statement of project goals and objectives.
• A summary of the survey methodology (e.g., the survey involved a pedestrian walkover in transects with judgmental shovel tests, etc.).
• Total project acreage.
• A summary of the results, including:
  • A list of sites found or investigated (using permanent site numbers).
  • A summary of the information derived from the investigations.
• A summary of project recommendations for further investigations (no further investigations, targeted Phase I survey, etc., with specific reference to sites fitting each category).

Introduction

This section provides detailed information pertinent to the location of the archaeological investigations, the reasons for the work, personnel, and dates of the work. The contract specifications or scope of work should be briefly described in this section and attached as an appendix to the report. The introduction should include:

• Name and description of the project.
• Contracting agency or individual.
• Relevant legislation and SHPO environmental review number.
• Verbal description of the project location, including the county(ies).
• Map showing general location of project within the county(ies).
• Map(s) showing the boundaries of the project area depicted on USGS topographic imagery at 1:24,000 scale.
• Principal investigator and crew members.
• Dates of investigation.
• Brief description of contract specifications or scope of work, including project objectives.

Environmental Setting

The environmental setting of the project area should be described, considering relevant factors such as geology, vegetation, climate, soils, and topography. Emphasis should be placed on the relationship of the environmental setting to the cultural resources of the study area. The environmental setting should include:

• Total acreage of the project area.
• Map of project area boundaries showing recent aerial imagery at a scale of 1:24,000 or less.
• Types of current and historic land use (wooded, pasture, cultivated, developed, etc.) within the project area by percentage, and wetland delineations.
• Climate, topography, geology, and hydrology of the project area as relevant to the archaeological investigations.
• Distribution of soils, including slope percentages, as mapped by the NRCS, including estimates of the acreage within each soil category. 

Archaeological and Historical Background

This section should consider the subject project area within the context of previous archaeological investigations and the broader cultural context of the region. This information provides the basis for identifying site types likely to occur in the project area and evaluating the potential for NRHP-eligible archaeological sites to be present. It should conclude with predictions of site locations and site types expected to be present in the project area based on environmental and cultural factors.

It is expected that archaeologists working in the region will be familiar with broader trends in prehistory and established chronologies. This background section should provide locally specific contexts and address research potential based on current relevant discussions in archaeological literature.

When conducting research, a two-phased approach should be implemented. The first phase of the background research should gather information about the prehistory and history of local American Indian communities from antiquity to present, periods of European colonization and migration, major industries, prominent families or persons who lived in the vicinity of the project area, and the presence of enslaved individuals or other underrepresented communities.

The second phase begins after field work is completed. The objective of this second phase is to collect information for proposing any additional field work on archaeological sites found during the reconnaissance survey to assess National Register eligibility.

The archaeological and cultural background should include:

• Information on how the background research was conducted, including:
  • Locations where research was performed (e.g., local or regional libraries, the archives at the OSA, online sources, etc.).
  • Date(s) that research was conducted at the OSA along with the name of the individual who came to the office for that research.
• Summary of previous archaeological investigations within two miles of the project area, including a table that lists:
  • Site number.
  • Time period (specific time periods where possible).
  • Eligibility.
  • Site discovery method (surface, subsurface, or both).
• Summary of current and relevant archaeological research, including new insights on prehistoric trends of the region, from the past ten to twenty years including published books, masters theses or dissertations, and articles from journals such as North Carolina Archaeology, Southeastern Archaeology, American Antiquity, and Historical Archaeology;
• Summary of relevant local history, including major industries, transportation routes, prominent families, and potentially underrepresented populations. This should include:
  • Archival and historic (parcel/deed) research.
  • List of historic maps consulted and resultant findings.
• Expected archaeological potential for the project area, including expected site types and settings for both prehistoric and historic sites, and potential research questions for the region.

Methodology

This section contains detailed discussions of the methods and techniques used during the project to identify areas with high potential for sites and/or identify readily apparent archaeological resources. The methodology section should include:

• Field Methods, including:
  • Date that staff reviewer was contacted regarding field methods and date that reviewer concurred with methods.
  • A discussion of the survey techniques used, specifying any variations in techniques due to varying field conditions (i.e., ground cover, alluviation, erosion, development).
  • Details related to survey intensity, with specific attention to pedestrian transect spacing.
  • Details related to when and where judgmental shovel testing occurred, including:
    • Field conditions considered indicative of intact soil horizons or buried horizons.
    • Specifications of subsurface tests, including shape, size, depth, and excavation technique(s).
    • Data recorded for each subsurface test.
    • Procedures followed for preserving contextual information of collected materials.
    • Mapping and photography procedures.
• Lab Methods, including:
  • General methods used to process and catalog artifacts.
  • Explanation of how artifacts were analyzed, including information such as the classification or typological schemes that were used to describe different artifact types.
  • Information on curation methods used and the location where the curated collection will be housed. The standards for collections to be curated by the OSA Research Center (OSARC) are detailed in Part 4: Curation of this document. Following 36 CFR 79.6, curation at OSARC is strongly recommended. If a collection will not be curated by the OSARC, a justification should be provided for the chosen curation facility.

Results

This section describes field conditions and site potential identified during the investigation. Any sites discovered should be described, whether or not they will be impacted by the proposed undertaking. Standing historic structures or ruins within the project area should be noted as to location, materials, and apparent type. If present, archaeological components associated with structures should be described.

If any materials are recovered, they should be described by means of customary references to amount and type.

The survey results should include:

• Field survey time, specifically how many person-days in the field were necessary to cover the project area using the techniques described.
• Percentage of the overall project area investigated with different survey methodologies, including detailed map(s) of pedestrian transects and judgmental shovel test locations.
• Representative photographs of landscape conditions.
• For any shovel tests excavated, description (soil color, type, and horizon) and images of representative soil profiles, and the extent to which excavated soils resemble those mapped by the National Resource Conservation Service.
• Classification of project area with regard to archaeological site potential, illustrated with map(s) and representative photographs of project area.
• Table, if more than one site is identified, that lists site numbers, site types, temporal range and/or cultural affiliation of the sites.
• Individual site descriptions (if sites are located), including:
  • Cultural affiliation and functional type.
  • Site map, showing shovel test locations, features if present, and relevant landmarks.
  • At least one representative photograph of the site vicinity.
  • Amount and type of materials recovered from site and artifact collection biases (e.g., surface visibility, previous collections).
  • Stratigraphy of site with reference to shovel test profiles, soil horizons, and at least one representative photograph (do not need drawings of shovel test profiles).
  • Description and photograph(s) of features and/or selected diagnostic artifacts if present.

Recommendations

This section should serve as a proposed scope of work for a targeted Phase I survey, if deemed appropriate. Criteria to consider for a Phase I survey include whether there are sites with the potential for intact deposits, whether field conditions indicate the possibility of deep intact deposits or other indications of high probability for NRHP-eligible sites, and whether archival evidence indicate the possibility of significant historic resources (particularly those related to underrepresented communities). If no further work is proposed, justification should be provided for that recommendation based on the cultural resources assessment and field investigations undertaken for the reconnaissance survey. This section should include:

• Summary of what types of archaeological sites might be expected in the project area based on the background research and field investigations.
• Expected effects of project on any archaeological sites in the project area, and recommended methods for additional investigations or avoidance.
• Map(s) indicating areas proposed for further investigation.

References Cited

The references cited should include a full bibliographic citation following the Society for American Archaeology (SAA) standard format for all sources referenced in the report. All references should be complete and consistent in form.

Appendices

The appendices should include the following items:

• An artifact catalog that lists all the artifacts recovered during the survey (if any).
• Shovel test records for, at minimum, all positive shovel tests.
• Any maps, figures, or tables not incorporated into the body of the report. Please note that site forms should not be included as an appendix of the report.

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Phase I Identification Survey (Intensive Survey) Reports

Phase I intensive surveys are designed to identify all archaeological resources within the project area and, if possible, to determine their eligibility for listing in the NRHP. Phase I survey reports will also assess project effects on archaeological sites in the APE. See Part 2: Terrestrial Field Methodology for guidelines regarding Phase I survey activities.

Phase I reports should follow the same outline as the reconnaissance survey reports, but with additional information included in certain areas as needed to make NRHP eligibility recommendations. All Phase I reports must include the following information to be considered complete and sufficient for the purposes of receiving OSA-advised SHPO determinations of site eligibility, comments on the need for further work, and assessments of the effects of proposed undertakings on archaeological sites:

Title Page and Table of Contents

The Table of Contents should be appropriately paginated, and should include lists of tables, maps, and figures.

Management Summary

The management summary provides the contract sponsor, the report reviewer, and others with a succinct but complete synopsis of the project. A management summary is similar to but generally more detailed than an abstract. The management summary should include:

• Project title, client, and project description.
• Relevant legislation and SHPO environmental review number.
• A brief statement of project goals and objectives.
• A summary of the survey methodology (e.g., the survey involved a pedestrian walkover in transects with shovel tests every 30 meters, etc.).
• Total project acreage, along with a breakdown of how many acres were surveyed intensively versus acres surveyed at a reconnaissance level.
• Description of factors that limited the intensity or coverage of the survey in any area.
• Field survey time, specifically how many person-days in the field were necessary to cover the project area using the techniques described.
• A summary of the results, including:
  • A list of sites found or investigated (using permanent site numbers) with eligibility recommendations.
  • A summary of the information derived from the investigations.
• A summary of project recommendations for further investigations, no further investigations, site avoidance, etc., with specific reference to sites fitting each category.

Introduction

This section provides detailed information pertinent to the location of the archaeological investigations, the reasons for the work, personnel, and dates of the work. The contract specifications or scope of work should be briefly described in this section and attached as an appendix to the report. The introduction should include:

• Name and description of the project.
• Contracting agency or individual.
• Relevant legislation and SHPO environmental review number.
• Verbal description of the project location, including the county(ies).
• Map showing general location of project within the county(ies).
• Map(s) showing the boundaries of the project area depicted on USGS topographic imagery at 1:24,000 scale.
• Principal investigator and crew members.
• Dates of investigation.
• Brief description of contract specifications or scope of work, including project objectives.

Environmental Setting

The environmental setting of the project area should be described, considering relevant factors such as geology, vegetation, climate, soils, and topography. Emphasis should be placed on the relationship of the environmental setting to the cultural resources of the study area. The environmental setting should include:

• Total acreage of the project area.
• Map of project area boundaries showing recent aerial imagery at a scale of 1:24,000 or less.
• Types of current and historic land use (wooded, pasture, cultivated, developed, etc.) within the project area by percentage, and wetland delineations.
• Climate, topography, geology, and hydrology of the project area as relevant to the archaeological investigations.
• Distribution of soils, including slope percentages, as mapped by the NRCS, including estimates of the acreage within each soil category.
• Other environmental factors as deemed relevant.

Archaeological and Historical Background

This section should consider the subject project area within the context of previous archaeological investigations and the broader cultural context of the region. This information provides the basis for identifying site types likely to occur in the project area and evaluating the potential for NRHP-eligible archaeological sites to be present. It should conclude with predictions of site locations and site types expected to be present in the project area based on environmental and cultural factors.

It is expected that archaeologists working in the region will be familiar with broader trends in prehistory and established chronologies. This background section should provide locally specific contexts and address research potential based on current relevant discussions in archaeological literature.

When conducting research, a two-phased approach should be implemented. The first phase of the background research should gather information about the prehistoric and historic occupations of local American Indian communities from antiquity to present, periods of European colonization and migration, major industries, prominent families or persons who lived in the vicinity of the project area, and the presence of enslaved individuals or other underrepresented communities.

The second phase begins after field work is completed. The objective of this second phase is to collect additional information if needed to assess National Register eligibility for any archaeological sites identified or revisited during the Phase I survey.

The archaeological and cultural background should include:

• Information on how the background research was conducted, including:
  • Locations where research was performed (e.g., local or regional libraries, the archives at the OSA, online sources, etc.).
  • Date(s) that research was conducted at the OSA along with the name of the individual who came to the office for that research.
• Summary of previous archaeological investigations within two miles of the project area, including a table that lists:
  • Site number.
  • Time period (specific time periods where possible).
  • Eligibility.
  • Site discovery method (surface, subsurface, or both).
• Summary of current and relevant archaeological research, including new insights on prehistoric trends of the region, from the past ten to twenty years including published books, masters theses or dissertations, and articles from journals such as North Carolina Archaeology, Southeastern Archaeology, American Antiquity, and Historical Archaeology;
• Summary of relevant local history, including major industries, transportation routes, prominent families, and potentially underrepresented populations. This should include:
  • Archival and historic (parcel/deed research).
  • List of historic maps consulted and resultant findings.
• Expected archaeological potential for the project area, including expected site types and settings for both prehistoric and historic sites, and potential research questions for the region.

Methodology

This section contains detailed discussions of the methods and techniques used during the project to locate and evaluate sites. The methodology section should include:

• Field Methods, including:
  • Date that staff reviewer was contacted regarding field methods and date that reviewer concurred with methods.
  • A discussion of the survey techniques used, specifying any variations in techniques due to varying field conditions (i.e., ground cover, alluviation, erosion, development).
  • Details related to survey intensity, with specific attention to transect spacing and subsurface testing interval(s).
  • Specifications of subsurface tests, including shape, size, depth, and excavation technique(s).
  • Data recorded for each subsurface test.
  • Procedures followed for preserving contextual information of collected materials.
  • Mapping and photography procedures.
• Lab Methods, including:
  • General methods used to process and catalog artifacts.
  • Explanation of how artifacts were analyzed, including information such as the classification or typological schemes that were used to describe different artifact types.
  • Information on curation methods used and the location where the curated collection will be housed. The standards for collections to be curated by the OSA Research Center (OSARC) are detailed in Part 4: Curation of this document. Following 36 CFR 79.6, curation at OSARC is strongly recommended. If a collection will not be curated by the OSARC, a justification should be provided for the chosen curation facility.

Results

This section describes sites located and materials recovered during the investigation. All sites discovered should be described, whether or not they will be impacted by the proposed undertaking. Standing historic structures or ruins within the project area should be noted as to location, materials, and apparent type. If present, archaeological components associated with structures should be described.

Recovered materials should be described by means of customary references to amount and type. The use of tables is encouraged for the presentation of data from large numbers of sites.

The survey results should include:

• Field survey time, specifically how many person-days in the field were necessary to cover the project area using the techniques described.
• Percentage of the overall project area investigated with different survey methodologies, including map(s) noting shovel test locations.
  • If other survey strategies (such as probing or ground penetrating radar) were used, additional maps should be included noting areas covered using different strategies.
• Total number of shovel tests excavated per designated study area, along with:
  • Description of soils (color, type, and horizon).
  • Images of representative soil profiles from shovel tests of surveyed areas (may be included as an appendix).
  • The extent to which excavated soils resemble those mapped by the National Resource Conservation Service.
• Portions of the overall project area not intensively investigated, if any, and reason(s) why these areas were not examined (wet, disturbed, etc.), including map(s) showing areas not intensively surveyed labeled with associated rationale for exclusion.
• Table, if more than one site is identified, that lists site numbers, site types, temporal range and/or cultural affiliation of the sites, and site NRHP eligibility recommendations.
• Individual site descriptions, including:
  • Cultural affiliation and functional type.
  • Estimate of site size and percentage of site area covered by artifact collections.
  • Site map, showing site boundaries, shovel test locations, features if present, and relevant landmarks.
  • At least one representative photograph of the site vicinity.
  • Amount and type of materials recovered from site and artifact collection biases (e.g., surface visibility, previous collections).
  • Stratigraphy of site with reference to shovel test profiles, soil horizons, and at least one representative photograph (do not need drawings of shovel test profiles).
  • Description and photograph(s) of features and/or selected diagnostic artifacts if present.
  • Effects of project on individual sites.

Significance Evaluations and Recommendations

Significance evaluations must be presented with explicit reference to the eligibility criteria for listing in the NRHP following National Register Bulletin 36, and should be consistent with contemporary research interests of the archaeological community. Evaluation of each site must be framed by the information potential for local, regional, statewide, or national research problems, and/or the historical importance of the resources with regard to important people and events.

While archaeological sites are most frequently considered eligible under criterion (d) for their ability to yield important information about the past, all four criteria should be considered when developing a recommendation. In some cases, multiple criteria may be applicable. All evaluations should be accompanied by a justification that applies the NRHP eligibility criteria and assesses site integrity.

Recommendations regarding the treatment of sites will usually be phrased in terms of “further work,” “no further work,” or “avoidance” (i.e., preservation in place). Appropriate recommendations should be presented for each site recorded during the survey and should be consistent with the site significance evaluations.

Sites recorded during the survey that are not located within the proposed area of ground disturbance, or that will not be affected by the project, should also be considered in the recommendations. Sites with boundaries beyond the proposed area of disturbance should be considered unassessed overall, but the portion of the site within the project area can be assessed for eligibility.

The significance evaluations and recommendations should include:

• An evaluation of each site located during the survey according to the criteria for listing in the NRHP, including a contextualized justification for each evaluation.
• Site-specific recommendations for further work, including:
  • Description of type(s) and amount(s) of further work if recommended; or
  • Description of recommended avoidance, management, and preservation procedures if recommended.

References Cited

The references cited should include a full bibliographic citation following the Society for American Archaeology (SAA) standard format for all sources referenced in the report. All references should be complete and consistent in form.

Appendices

The appendices should include the following items:

• The scope of work for the project approved by the OSA staff reviewer.
• An artifact catalog that lists all of the artifacts recovered during the survey.
• Shovel test records for, at minimum, all positive shovel tests.
• Any maps, figures, or tables not incorporated into the body of the report. Please note that site forms should not be included as an appendix of the report.

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Phase II Evaluation/Testing Reports

The primary goal of a Phase II testing project is to determine the potential of a previously recorded archaeological site to contribute important information to local, regional, or national prehistory or history, and render its eligibility for inclusion in the NRHP. The end results of the investigation should be an evaluation of the NRHP-eligibility of each site.

This level of investigation may include controlled surface collections, intensive shovel testing, excavation of test units, geomorphological analysis, mechanical stripping of disturbed soils, or other appropriate methods for the determination of the extent and nature of the archaeological deposits at the site. See Part 2: Terrestrial Field Methodology above for guidelines regarding Phase II activities.

Given the variable nature of individual archaeological sites and the variety of appropriate investigation methods, guidelines for testing methodology are left to the individual researchers in consultation with the OSA staff review archaeologist. The research designs developed (and the field methodologies employed) should be specifically directed toward the type of resource being investigated and should be more focused than that developed for a Phase I survey.

An updated North Carolina Archaeological Site Form VIII that includes the results of the testing phase should be submitted to the OSA for each site investigated.

Phase II reports should follow the same outline as the reconnaissance and Phase I survey reports, but with information tailored to the specific sites being evaluated for NRHP eligibility recommendations. All Phase II reports must include the following information to be considered complete and sufficient for the purposes receiving OSA-advised SHPO determinations of site eligibility, comments on the need for further work, and assessments of the effects of proposed undertakings on archaeological sites:

Title Page and Table of Contents

The Table of Contents should be appropriately paginated, and should include lists of tables, maps, and figures.

Management Summary

The management summary provides the contract sponsor, the report reviewer, and others with a succinct but complete synopsis of the Phase II investigation results. A management summary is similar to but generally more detailed than an abstract. The management summary should include:

• Project title, client, and project description.
• Relevant legislation and SHPO environmental review number.
• A brief statement of project goals and objectives.
• A summary of the Phase II methodology.
• Total acreage of investigated areas.
• A summary of the results, including:
  • A list of sites investigated with eligibility recommendations.
  • A summary of the information derived from the investigations.
• A summary of project recommendations for no further investigations, site avoidance, data recovery, etc., with specific reference to sites fitting each category.

Introduction

This section provides detailed information pertinent to the location of the archaeological investigations, the reasons for the work, personnel, and dates of the work. The contract specifications or scope of work should be briefly described in this section and attached as an appendix to the report. The introduction should include:

• Name and description of the project.
• Contracting agency or individual.
• Relevant legislation and SHPO environmental review number.
• Verbal description of the project location, including the county(ies).
• Map showing general location of project within the county(ies).
• Map(s) showing the boundaries of the project area and the location of the sites excavated depicted on USGS topographic imagery at 1:24,000 scale.
• Principal investigator and crew members.
• Dates of investigation.
• Brief description of contract specifications or scope of work, including project objectives.

Archaeological and Historical Background

For Phase II reports, the archaeological background section should be focused on the previous archaeological investigations that have been conducted at each specific site being tested/evaluated, and the cultural background section should be focused specifically on the time period(s) associated with the site(s).

The archaeological and cultural background should include:

• Information on how the background research was conducted, including locations where research was performed (e.g., local or regional libraries, the archives at the OSA, online sources, etc.).
• Summary of previous archaeological investigations at the sites being evaluated.
• Summary of current archaeological research relevant to issues under investigation at the Phase II sites including published books, masters theses or dissertations, and articles from journals such as North Carolina Archaeology, Southeastern Archaeology, American Antiquity, and Historical Archaeology.
• Summary of relevant local history, including major industries, transportation routes, prominent families, and potentially underrepresented populations as needed to assess the significance of sites under evaluation. This may include:
  • Archival and historic (parcel/deed research).
  • List of historic maps consulted and resultant findings.
• Environmental factors may be described in this section if that information is needed to understand the potential eligibility of the evaluated sites. For example, a description of the geology of the area is useful if discussing quarry sites, and discussion of plants native to the area might help demonstrate the meaningful nature of plants found at a cemetery.

Methodology

This section contains detailed discussions of the methods and techniques used during the project to evaluate sites. The methodology section should include:

• Field Methods, including:
  • Date that staff reviewer was contacted regarding field methods and date that reviewer concurred with methods.
  • A discussion of the field techniques used.
  • Specifications of subsurface tests, including shape, size, depth, and excavation technique(s).
  • Data recorded for each subsurface test.
  • Procedures followed for preserving contextual information of collected materials.
  • Mapping and photography procedures.
• Lab Methods, including:
  • General methods used to process and catalog artifacts.
• Explanation of how artifacts were analyzed, including information such as the classification or typological schemes that were used to describe different artifact types.
  • Information on curation methods used and the location where the curated collection will be housed. The standards for collections to be curated by the OSA Research Center (OSARC) are detailed in Part 4: Curation of this document. Following 36 CFR 79.6, curation at OSARC is strongly recommended. If a collection will not be curated by the OSARC, a justification should be provided for the chosen curation facility.
• Specialized Analyses, including:
  • Methods undertaken for the collection and processing of any specialized analysis samples.
  • The name and qualifications of the individual(s) undertaking those analyses.

Results

This section should describe the results of the field investigations and any specialized analyses for each site investigated during Phase II investigations. The results should include:

• Field survey time, specifically how many person-days in the field were necessary to cover the project area using the techniques described.
• Table, if more than one site is identified, that lists site numbers, site types, temporal range and/or cultural affiliation of the sites, and site NRHP eligibility recommendations.
• Map of all delineated sites within the project’s Area of Potential Effects (APE).
• Individual site descriptions, including:
  • Cultural affiliation and functional type.
  • Site map, showing site boundaries, shovel test and/or test unit locations, features if present, and relevant landmarks.
  • At least one representative photograph of the site vicinity.
  • Amount and type of materials recovered from site and artifact collection biases.
  • Stratigraphy of site with reference to shovel test profiles, soil horizons, geomorphological analysis, and representative photographs.
  • Description and photograph(s) of features and/or selected diagnostic artifacts if present.
• Effects of project on individual sites.

Significance Evaluations and Recommendations

Significance evaluations must be presented with explicit reference to the eligibility criteria for listing in the NRHP and should be consistent with contemporary research interests of the archaeological community. Evaluation of each site must be framed by the information potential for local, regional, statewide, or national research problems, and/or the historical importance of the resources with regard to important people and events.

If sites are evaluated as eligible for the NRHP, recommendations for potential project modifications to avoid or lessen adverse effects should be included, if possible. The report should also contain a draft research design that identifies the datasets that would be created as a result of data recovery activities at the site, and research topics and questions that may be addressed using these datasets.

The significance evaluations and recommendations should include:

• An evaluation of each site investigated according to the criteria for listing in the NRHP, including a contextualized justification for each evaluation.
• Site-specific recommendations for further work, including:
  • Description of type(s) and amount(s) of further work if recommended; or
  • Description of recommended avoidance, management, and preservation procedures if recommended.

References Cited

The references cited should include a full bibliographic citation following the Society for American Archaeology (SAA) standard format for all sources referenced in the report. All references should be complete and consistent in form.

Appendices

The appendices should include the following items:

• The scope of work for the project approved by the OSA staff reviewer.
• An artifact catalog that lists all of the artifacts recovered during the investigations.
• Any maps, figures, or tables not incorporated into the body of the report. Please note that site forms should not be included as an appendix of the report.

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Phase III Data Recovery/Mitigation Plans

A data recovery plan (DRP) should be submitted for sites that will be adversely impacted by the proposed undertaking for approval by the OSA staff reviewer prior to Phase III excavations. In addition to the technical archaeological reports of the data recovery investigations, provisions should be made for some type of public reporting of the results. Such reporting could include a report, pamphlet or brochure, an exhibit, a public program, or a web site. All DRPs must include the following information to be considered complete and sufficient for the purposes of receiving OSA-advised SHPO concurrence on the proposed methods:

Project Background

• Project title, client, and project description.
• Relevant legislation and SHPO environmental review number.
• Description of the proposed undertaking.
• Recommendations of the agencies involved.
• Data recovery justification and conditions (why preservation is not feasible, whether consultation with TPHOs or other parties is appropriate).
• Supervisory personnel.

Description of Archaeological Site

• Summary of previous research at the site proposed for data recovery.
• Site size, chronology, type, and structure.

Research Orientation

• Research Context(s) – State of Current Research Summary (for example: Middle Archaic of the Inner Coastal Plain, Archaeology of Postbellum Tenancy, Archaeology of Early Twentieth Century Mill Villages); explains significance of and prioritizes research topics.
• Potentially addressable research topics - explain the significance of each topic/research question, and what type(s) of data can be used to investigate it (for example: regional social history, site occupation, ethnicity, household socio-economy, foodways, health, craft production, environmental change).

Data Recovery Methods

• Archival research, including summary of previous archival work and anticipated additional research (including what repositories will be consulted).
• Outreach methods for community engagement and obtaining information from relevant groups.
• Oral history protocols, if applicable.
• Fieldwork, including:
  • Percentage of site that will be excavated and/or stripped, and explanation of sampling procedures.
  • Spatial Control, description of methods & equipment for establishing and recording datums, laying out grids, making maps.
  • Investigation methods used with detailed descriptions of procedures (close-grid shovel testing, remote sensing, excavation unit sampling, and/or mechanical stripping).
  • Feature excavation procedures, including sampling strategies and processing of fill.
  • Provisions for specialized analyses (timing with regard to other aspects of project, personnel, sampling).
  • Provision for consultation if DRP needs to be modified while fieldwork is underway.
  • Provision for discovery of human remains.

Data Analysis and Curation Methods

• Collection documentation processes, including databases and photography.
• Planned analyses for different classes of artifacts with information on resources to be consulted.
• If high quantities of iron objects are expected, x-ray plan for analysis, documentation, and conservation plan.
• Provisions for sampling/selective discard prior to curation.
• Curation arrangements.

Reporting schedule

The reporting schedule should include expected start and end dates for fieldwork, expected timeframe for completion for any specialized analyses (if proposed), expected dates of submission for draft and final reports, and expected timeframe for completion of any outreach products.

References Cited

The references cited should include a full bibliographic citation following the Society for American Archaeology (SAA) standard format for all sources referenced in the report. All references should be complete and consistent in form.

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Phase III Data Recovery/Mitigation Reports

If an NRHP-eligible archaeological site cannot be avoided and will be adversely affected by the proposed project, data recovery excavations may be undertaken as mitigation. Such excavations are intended to retrieve the important information that makes the site significant prior to its destruction.

Given the individual nature of each archaeological site, data recovery methodology and reporting requirements will be developed through consultation among the principal investigator, the staff of the OSA, consulting parties including representatives of descendant communities, and representatives of the federal or state agency project sponsors. See Part 2: Terrestrial Field Methodology above for guidelines regarding data recovery activities.

An updated North Carolina Archaeological Site Form VIII that includes the results of the data recovery phase should be submitted to the OSA for each site investigated.

Phase III reports should follow the same outline as the Phase I survey reports. All Phase III reports must include the following information to be considered complete and sufficient for the purposes receiving OSA-advised SHPO concurrence that the adverse effects to the site have been mitigated:

Title Page and Table of Contents

The Table of Contents should be appropriately paginated, and should include lists of tables, maps, and figures.

Management Summary

The management summary provides the contract sponsor, the report reviewer, and others with a succinct but complete synopsis of the Phase III investigation results. A management summary is similar to but generally more detailed than an abstract. The management summary should include:

• Project title, client, and project description.
• Relevant legislation and SHPO environmental review number.
• A brief statement of project goals and objectives.
• A summary of the Phase III methodology.
• Total acreage of investigated areas.
• A summary of the information derived from the investigations.

Introduction

This section provides detailed information pertinent to the location of the archaeological investigations, the reasons for the work, personnel, and dates of the work. The contract specifications or scope of work should be briefly described in this section. The introduction should include:

• Name and description of the project.
• Contracting agency or individual.
• Relevant legislation and SHPO environmental review number.
• Verbal description of the site location, including the county.
• Map showing general location of site within the county.
• Map(s) showing the boundaries of the project area and the location of the site excavated depicted on USGS topographic imagery at 1:24,000 scale.
• Principal investigator and crew members.
• Dates of investigation.
• Brief description of contract specifications or scope of work, including project objectives.

Archaeological and Historical Background

For Phase III reports, the archaeological background section should be focused on the previous archaeological investigations that have been conducted at the specific site being mitigated, and the cultural background section should be focused specifically on the time period(s) associated with the site.

The archaeological and cultural background should include:

• Information on how the background research was conducted, including locations where research was performed (e.g., local or regional libraries, the archives at the OSA, online sources, etc.).
• Summary of previous archaeological investigations at the site being mitigated.
• Summary of current archaeological research relevant to issues under investigation at the Phase III site including published books, masters theses or dissertations, and articles from journals such as North Carolina Archaeology, Southeastern Archaeology, American Antiquity, and Historical Archaeology.
• Summary of relevant local history, including major industries, transportation routes, prominent families, and potentially underrepresented populations if needed to contextualize the archaeological data. This may include:
  • Archival and historic (parcel/deed research).
  • List of historic maps consulted and resultant findings.

Methodology

This section contains detailed discussions of the methods and techniques used during the project to evaluate sites. The methodology section should include:

• Field Methods, including:
  • Date that staff reviewer was contacted regarding field methods and date that reviewer concurred with methods.
  • A discussion of the field techniques used.
  • Specifications of subsurface tests, including shape, size, depth, and excavation technique(s).
  • Data recorded for each subsurface test.
  • Procedures followed for preserving contextual information of collected materials.
  • Mapping and photography procedures.
• Lab Methods, including:
  • General methods used to process and catalog artifacts.
  • Explanation of how artifacts were analyzed, including information such as the classification or typological schemes that were used to describe different artifact types.
  • Information on curation methods used and the location where the curated collection will be housed. The standards for collections to be curated by the OSA Research Center (OSARC) are detailed in Part 4: Curation of this document. Following 36 CFR 79.6, curation at OSARC is strongly recommended. If a collection will not be curated by the OSARC, a justification should be provided for the chosen curation facility.
• Specialized Analyses, including:
  • Methods undertaken for the collection and processing of any specialized analysis samples.
  • The name and qualifications of the individual(s) undertaking those analyses.

Results

This section should describe the results of the field investigations and any specialized analyses for each site investigated during the Phase III investigations. The results should include:

• Field survey time, specifically how many person-days in the field were necessary to cover the project area using the techniques described.
• Map of delineated site within the project’s Area of Potential Effects (APE).
• Map of mitigated site showing site boundaries, locations of features and/or relevant landmarks, and locations of any subsurface investigations.
• Amount and type of materials recovered from site and artifact collection biases.
• Stratigraphy of site with reference to shovel test profiles, soil horizons, geomorphological analysis, and representative photographs.
• Description and photograph(s) of features and/or selected diagnostic artifacts if present.
• Results of any specialized analyses undertaken.

References Cited

The references cited should include a full bibliographic citation following the Society for American Archaeology (SAA) standard format for all sources referenced in the report. All references should be complete and consistent in form.

Appendices

The appendices should include the following items:

• The scope of work for the project approved by the OSA staff reviewer.
• An artifact catalog that lists all of the artifacts recovered during the investigations.
• Any maps, figures, or tables not incorporated into the body of the report. Please note that site forms should not be included as an appendix of the report.

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Addendum Reports

Addendum reports are appropriate when there have been slight changes or additions to project areas and additional Phase I identification survey investigations are warranted. The structure may also be appropriate for targeted Phase I surveys that were preceded by a reconnaissance survey and report. Addendum reports are similar to standard Phase I Identification Survey reports in the way they are organized and the information that is conveyed but certain sections can be omitted or abbreviated from the addendum report so long as the original report is referenced.

At a minimum, addendum reports should include the following sections in the same format as standard Phase I Identification Survey reports: management summary or abstract, introduction, methodology, results, significance evaluations and recommendations, and references cited (see Phase I Identification Survey for detailed descriptions of what is required in those sections).

Noted differences with addendum reports and standard Phase I reports are with the environmental setting section and the archaeological and cultural background section. An environmental or natural setting section is not required in addendum reports if a thorough one was included in the original report. An archaeological background of the entire project area is also not necessary in the addendum report but any previous archaeological research for portions of the project area directly covered by the addendum survey should be summarized in the addendum report. Historic maps should be consulted for portions of the project area directly covered by the addendum survey and any relevant results should be provided.