Managing Archaeological Investigations (2005)

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TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2005 www.TRB.org NAT IONAL COOPERAT IVE H IGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 347 Research Sponsored by the American Association of State Highway and Transportation Officials in Cooperation with the Federal Highway Administration SUBJECT AREAS Planning and Administration and Energy and Environment Managing Archaeological Investigations A Synthesis of Highway Practice CONSULTANTS TERRY H. KLEIN LYNNE SEBASTIAN SAMANTHA M. RUSCAVAGE-BARZ STEPHANIE FORD and JOE E. WATKINS SRI Foundation Rio Rancho, New Mexico TOPIC PANEL IRA BECKERMAN, Pennsylvania Department of Transportation ALLYSON BROOKS, Washington State Office of Archeology and Historic Preservation KIMBERLY FISHER, Transportation Research Board JULIE FRANCIS, Wyoming Department of Transportation CATHERINE GLIDDEN, Surface Transportation Board GLENN GMOSER, California Department of Transportation PAUL GRAHAM, Ohio Department of Transportation NANCY KENMOTSU, Texas Department of Transportation TOM McCULLOCH, Advisory Council on Historic Preservation DARIA MERWIN, Stony Brook University J. RICHARD YOUNG, JR., PBS&J JEFFREY BERNA, Federal Highway Administration (Liaison)

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state, and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP SYNTHESIS 347 Project 20-5 FY 2003 (Topic 35-09) ISSN 0547-5570 ISBN 0-309-09750-9 Library of Congress Control No. 2005926685 © Transportation Research Board Price $17.00 NOTICE The project that is the subject of this report was a part of the National Cooperative Highway Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. Such approval reflects the Governing Board’s judgment that the program concerned is of national importance and appropriate with respect to both the purposes and resources of the National Research Council. The members of the technical committee selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project. The opinions and conclusions expressed or implied are those of the research agency that performed the research, and, while they have been accepted as appropriate by the technical committee, they are not necessarily those of the Transportation Research Board, the National Research Council, the American Association of State Highway and Transportation Officials, or the Federal Highway Administration, U.S. Department of Transportation. Each report is reviewed and accepted for publication by the technical committee according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. NOTE: The Transportation Research Board of the National Acade- mies, the National Research Council, the Federal Highway Adminis- tration, the American Association of State Highway and Transporta- tion Officials, and the individual states participating in the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of this report.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol- ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni- cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Acad- emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achieve- ments of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Acad- emy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. William A. Wulf are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 5,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

NCHRP COMMITTEE FOR PROJECT 20-5 CHAIR GARY D. TAYLOR, CTE Engineers MEMBERS THOMAS R. BOHUSLAV, Texas DOT DONN E. HANCHER, University of Kentucky DWIGHT HORNE, Federal Highway Administration YSELA LLORT, Florida DOT WESLEY S.C. LUM, California DOT JAMES W. MARCH, Federal Highway Administration JOHN M. MASON, JR., Pennsylvania State University CATHERINE NELSON, Oregon DOT LARRY VELASQUEZ, New Mexico DOT PAUL T. WELLS, New York State DOT FHWA LIAISON WILLIAM ZACCAGNINO TRB LIAISON MARK R. NORMAN COOPERATIVE RESEARCH PROGRAM STAFF ROBERT J. REILLY, Director, Cooperative Research Programs CRAWFORD F. JENCKS, Manager, NCHRP EILEEN P. DELANEY, Director of Publications NCHRP SYNTHESIS STAFF STEPHEN R. GODWIN, Director for Studies and Information Services JON WILLIAMS, Manager, Synthesis Studies DONNA L. VLASAK, Senior Program Officer DON TIPPMAN, Editor CHERYL KEITH, Senior Secretary ACKNOWLEDGMENTS The authors would like to thank Lisa Meyer and David Cushman, also of the SRI Foundation, for assistance in the synthesis research.

Highway administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviat- ing the problem. There is information on nearly every subject of concern to highway administrators and engineers. Much of it derives from research or from the work of practitioners faced with problems in their day-to-day work. To provide a systematic means for assembling and eval- uating such useful information and to make it available to the entire highway community, the American Association of State Highway and Transportation Officials—through the mechanism of the National Cooperative Highway Research Program—authorized the Transportation Research Board to undertake a continuing study. This study, NCHRP Proj- ect 20-5, “Synthesis of Information Related to Highway Problems,” searches out and syn- thesizes useful knowledge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute an NCHRP report series, Synthesis of Highway Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. FOREWORD By Staff Transportation Research Board This synthesis report focuses on practices that improve archaeological investigations by both streamlining the overall transportation project delivery process and enhancing the stewardship of archaeological resources. The report examines practices that improve and maintain good communication and coordination at all stages of transportation programs, including that between agencies and Native Americans and efforts at public outreach. It also reviews internal state department of transportation (DOT) business practices, and examines effective and innovative practices for complying with Section 106 of the National Historic Preservation Act, the National Environmental Policy Act, and project design. The synthe- sis also examines pre-project planning efforts, including programmatic agreements, treat- ment guidance and specifications on specific archaeological resources, creative mitigation, and effective collection methods. In addition, problems and successes encountered when attempting to apply innovative approaches are discussed. Information on effective practices was obtained through a literature search, including his- toric preservation, environmental streamlining, and state historic preservation office (SHPO) websites and surveys of state DOT archaeologists, FHWA state division offices, SHPOs, Native American tribes, and private-sector cultural resource management consul- tants working for DOTs. A panel of experts in the subject area guided the work of organizing and evaluating the col- lected data and reviewed the final synthesis report. A consultant was engaged to collect and synthesize the information and to write the report. Both the consultant and the members of the oversight panel are acknowledged on the title page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowl- edge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. PREFACE

CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Background, 5 Synthesis Research Methods, 9 Organization of Report, 10 11 CHAPTER TWO COMMUNICATION Relationships Among Agencies, 11 Tribal Consultation and Archaeological Investigations, 12 Engaging the Public, 15 Summary, 16 17 CHAPTER THREE INTERNAL BUSINESS PRACTICES AND PROJECT DELIVERY Internal Business Practices, 17 Project Delivery—Integration of Section 106, National Environmental Policy Act, and Project Design, 19 Summary, 20 22 CHAPTER FOUR PRE-PROJECT PLANNING Programmatic Agreements, 22 Collection and Curation Standards and Guidelines, 23 Innovative State Historic Preservation Office Guidelines, 24 Information Technology and Information Management Systems, 24 Predictive Modeling (Noncomputerized), 26 Geoarchaeological Investigations as Planning Tool, 26 Archaeological Resource Syntheses, 27 Summary, 27 29 CHAPTER FIVE INNOVATIVE APPROACHES TO STEPS IN SECTION 106 PROCESS Identification, 29 National Register Evaluations, 29 Resolution of Adverse Effects, 30 Summary, 31 33 CHAPTER SIX OBSTACLES TO IMPLEMENTING INNOVATIVE AND EFFECTIVE APPROACHES TO ARCHAEOLOGICAL INVESTIGATIONS 34 CHAPTER SEVEN CONCLUSIONS 37 REFERENCES

39 ACRONYMS 40 APPENDIX A SURVEY QUESTIONNAIRES 46 APPENDIX B AGENCIES, TRIBES, AND CONSULTANTS RESPONDING TO SURVEY QUESTIONNAIRE 48 APPENDIX C PRELIMINARY RESULTS FROM A WORKING CONFERENCE ON ENHANCING AND STREAMLINING SECTION 106 COMPLIANCE AND TRANSPORTATION PROJECT DELIVERY, SANTA FE, NEW MEXICO, FEBRUARY 2004 54 APPENDIX D SUMMARY OF EFFECTIVE PRACTICES IN ARCHAEOLOGICAL INVESTIGATIONS OF STATE DEPARTMENTS OF TRANSPORTATION