Managing Archaeological Investigations (2005)

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Several common themes can be identified in the responses from state departments of transportation (DOTs), FHWA, state historic preservation offices (SHPOs), tribes, and cultural resource management firms. First, discussions and consultations held outside of the requirements of individual projects are an effective means of building trust and com- munication. This is especially the case with tribal consulta- tion, where general discussions on protocols and important issues are best held without the constraints and potential conflicts inherent in specific transportation projects. The FHWA, DOTs, and tribes often formalize these proto- cols in programmatic agreements and memoranda of understanding. These pre-planning and nonproject-specific discussions, however, take time and a commitment from all parties involved. They also require activities that are not linked to specific projects. It is often difficult for agency staff to par- ticipate in nonproject-specific activities given scheduling constraints and agency priorities. However, DOT, SHPO, FHWA, and tribal representative responses to the survey demonstrate the long-term benefits of these nonproject- specific communication efforts. A second theme is the usefulness of programmatic agree- ments (PAs) as opposed to case-by-case approaches. This theme appeared throughout the responses, but especially in reference to productive approaches to coordinating Section 106 compliance with the National Environmental Policy Act (NEPA) process. Use of these agreements reduces project costs and review time, allows greater flexibility in Section 106 compliance, focuses Section 106 compliance on sub- stantive issues and site types, and results in predictable proj- ect and preservation outcomes. It should be noted, however, that creating and maintaining these agreements takes both time and a strong commitment from agency staff, including upper management. The third theme was a general enthusiasm for using tech- nology as a planning tool. Information technology and pre- dictive modeling, for example, are viewed as cost-effective ways to evaluate alternatives for transportation projects and to target survey and testing dollars on the areas where they will yield the most important information. Geophysical techniques are cost-effective ways of improving archaeo- logical resource identification and evaluation efforts and, 34 because they are nondestructive, they are appropriate for properties about which tribes have cultural or religious concerns. Survey respondents, however, considered several geophysical methods to still be experimental. As a result, some DOTs are testing the efficacy of geophysical investi- gations in the context of different environmental settings and site types. Although several DOTs and other agencies employ some form of predictive modeling as a planning tool, there has been no consistent approach to the crea- tion, use, and maintenance of these models. Such models may not operate as originally expected and they are sup- plemented with judgmental criteria to increase their ac- curacy, thereby reducing their systematic and objective character. The final theme has to do with marginally eligible sites and sites for which no historic context exists. A number of the states surveyed have turned the challenge of dealing with these types of sites into opportunities for creative mitigation measures. By dealing expeditiously (or not at all) with these sites and “sliver takes” of clearly significant sites, a number of DOTs have found a way to fund historic contexts and other studies that are needed for better evaluation and management of archaeological sites that will be affected by transportation projects. The effective practices discussed in this report can also be grouped into four broad categories: 1. Communication (includes tribal consultation and engaging the public), 2. Internal business practices and the project delivery process, 3. Pre-project planning, and 4. Innovative approaches to the steps in the Section 106 process. Some practices establish opportunities for regular and continuous communication; therefore, project issues and concerns can be dealt with quickly. This results in increased trust and cooperation among agencies and with the public and tribes. Other practices, especially those under the cate- gory of pre-project planning, provide a clear framework for conducting archaeological investigations and complying with the requirements of Section 106. As a result, project activities are predictable and project outcomes are known CHAPTER SEVEN CONCLUSIONS

35 early in the project development and regulatory compliance processes. These practices focus on outcomes and not rote implementation of processes. In general, these practices are used uniformly across the country (see Appendix D). There are, however, some regional preferences. None of the western states responding to the survey (i.e., Colorado, Montana, New Mexico, Wyoming, and all states to the west of these states) use arche- ological predictive modeling or phased approaches to archaeological surveys. The survey responses do not provide an explicit reason for these regional differences. It can be inferred, however, that phasing and predictive models are used in eastern states because of the difficulty of locating archaeological sites in the agricultural and forested lands common to this area. In the west, sites are generally visible on the surface. In eastern states, these two practices reduce the time and cost of evaluating the impacts of project alter- natives on archaeological resources. One of the goals of this synthesis study was to examine how DOTs and FHWA quantify the benefits of innovative, effective practices. The questionnaires for DOTs and FHWA asked if they had quantified the benefits of implementing these practices and, if so, what measures they used—cost, timeliness of project delivery, number of sites avoided, or other factors. Unfortunately, very few states collect this type of information. The Texas DOT reported that it has been able to keep his- toric preservation compliance costs down as a result of implementing various innovative practices over the previous 5 years. It noted that the cultural resource management office budget had doubled over that period, whereas the DOT’s overall construction budget had increased fourfold. The Illi- nois DOT stated that their statewide archaeological survey budget had not increased in the previous 5 years. This bud- get includes all of their “run-of-the-mill” inventory and sur- vey projects and some National Register eligibility testing efforts. The DOT keeps finding better and more efficient ways of doing its historic preservation compliance work, using such tools as programmatic agreements, smarter arti- fact collection strategies, and surveys that are postponed until they are really needed during the NEPA and project design process. The Oregon DOT noted that in its state, nontraditional approaches are seen as ways to reduce project cost and improve project delivery, even when initial start-up costs appear to be substantial. These initial costs are viewed as appropriate, given the long-term benefits of these practices. The Wisconsin DOT noted that all of these efforts and approaches pay off by reducing future costs. Furthermore, many of these approaches are low cost, given that they predominantly deal with improving and enhancing commu- nication among parties. Some states are beginning to quantify the results of using innovative approaches. The Georgia DOT, for example, is starting to collect this type of information in response to FHWA’s “Vital Few” initiative and a directive from upper management within the department. Both the DOT and FHWA want to demonstrate a reduction in adverse effects per project mile as a measure of the effectiveness of the state’s streamlining efforts. Another goal of this synthesis study is to identify future research needs for improving the management of archaeo- logical investigations. The survey questionnaires asked respondents to list the types of studies or research that they felt were important. As noted in chapter four, the majority of the responses focused on pre-project planning. The respon- dents identified the need for: • Historic contexts, especially for problematic sites such as lithic scatters, 19th-century farmstead, and 20th- century archaeological sites. • Protocols for geophysical investigations and deep test- ing for buried archaeological sites. • A repository or clearinghouse for archaeological infor- mation, data, and documentation, which should be web-based. • A nationwide study on the use of site burial as a form of mitigation. The last item listed requires an initiative that is beyond the capabilities of a single state DOT, as would the creation of a national archaeological data/document repository. The effec- tive practices described in this report, however, can be used to create needed state historic contexts, testing protocols, and state-specific repositories or clearinghouses. Several DOTs, such as those in Georgia, Nevada, Penn- sylvania, and Texas, have addressed the need for historic contexts by using creative mitigation to fund and develop contexts, syntheses of archaeological work in a given area, and studies of specific categories of sites. As for state- specific repositories of archaeological information and doc- umentation, Arizona has developed an internal web-based portal for the storage and retrieval of electronic cultural resource survey data and documentation. Florida DOT’s Geographic Information System/Internet-based Efficient Transportation Decision Making process not only serves as a repository for cultural resource data, but also provides an electronic platform for decision making and information exchange among agencies. The creation of these types of information management systems, as well as computerized site inventories, requires funds outside of the project devel- opment process. Funding sources for creating and maintain- ing these state-focused information technology tools and systems include Transportation Enhancement funds, FHWA streamlining project funds, and other special funding sources.

Additional research needs identified during this synthesis study include: • Synthesizing and evaluating past archaeological inves- tigations to better define significant archaeological resources, and to identify the most effective methods for managing such resources. • Evaluating the public benefit of archaeological investi- gations. • Determining whether centralized versus decentralized state DOT programs impact the effectiveness of these streamlining and stewardship efforts. • Evaluating the effectiveness of agency-generated manuals, guidance, and training. • Quantifying the benefits of innovative, effective practices. As noted in chapter one, transportation and historic preservation professionals repeatedly call for better integra- tion of historic preservation compliance and transportation project delivery. Those interviewed for this synthesis identi- fied the following actions that would improve integration and project outcomes: • Better access to, analysis of, and use of cultural resource data for making sound transportation decisions. • Early and more efficient coordination among all parties involved in all stages and components of transportation programs. 36 • Early and more efficient coordination and integration of overlapping and at times conflicting regulatory and compliance procedures (i.e., Section 106 and NEPA). • Contextual information for evaluating resource signifi- cance, determining what the “context” is in context- sensitive solutions, and defining and meeting local and regional historic preservation goals, plans, purpose, and needs. • Constructive public input in the creation and use of this contextual information (tribal and minority communi- ties in particular need to be partners in this effort). • Direct and tangible public benefit from historic preser- vation actions. This NCHRP synthesis study demonstrates that several state DOTs, state FHWA division offices, SHPOs, and tribes are effectively implementing these and related actions. Although the survey findings suggest that it is somewhat dif- ficult for agencies to quantify the benefits of these activities, the survey responses do highlight several qualitative measures of success. These include reducing or eliminating conflict among agencies, improving relations and trust between agen- cies and tribes, meeting project schedules and objectives, reducing public opposition to transportation projects, and pro- ducing tangible public benefits of transportation-funded archaeological investigations. These and other qualitative ben- efits are all desirable outcomes and justify the continued use and expansion of practices that streamline project delivery and improve stewardship of our nation’s archaeological heritage.