Module 3: Guidelines for Use by Historic Preservation Professionals
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Cultural Resource Management Standards & Operational Manual i Module Three Guidelines for Use by Historic Preservation Professionals MODULE THREE TABLE OF CONTENTS Page 1.0 INTRODUCTION 1 2.0 CULTURAL RESOURCE ASSESSMENT SURVEYS (PHASE I) 3 2.1 INTRODUCTION 3 2.1.1 Other Survey Types 4 2.1.2 Defining the Area of Potential Effect (APE) 5 2.2 BACKGROUND RESEARCH 7 2.2.1 Florida Master Site File (FMSF) 7 2.2.2 Survey and Registration Section 9 2.2.3 Florida Department of Environmental Protection (DEP) 9 2.2.4 Other State, Regional, and Local Sources 9 2.3 RESEARCH DESIGN 10 2.3.1 Predictive Model Formulation for Archaeological Sites 11 2.3.2 Historic Structures Considerations 12 2.3.3 Methodology and Site Evaluation Criteria 13 2.4 ARCHAEOLOGICAL FIELD SURVEY 14 2.4.1 Introduction 14 2.4.2 Survey Methods 15 2.4.3 Unanticipated Discoveries of Human Remains 20 2.5 HISTORIC STRUCTURES SURVEY 21 2.5.1 Introduction 21 2.5.2 Survey Methods 21 2.6 ARTIFACT PROCESSING AND ANALYSIS/CURATION 24 2.6.1 Introduction 24 2.6.2 Processing 24 2.6.3 Artifact Analyses 24 2.6.4 Curation 26 2.7 CRAS REPORTS 26 2.7.1 Introduction 26 2.7.2 Completeness and Sufficiency Criteria 27 2.7.3 Report Contents 30 2.8 ACCOMPANYING DELIVERABLES 37 2.9 TECHNICAL MEMORANDA AND OTHER REPORTING FORMATS 38 2.10 SUBMISSION FOR REVIEW 39 2.11 SPECIAL PROJECT TYPES 39 2.11.1 Reconnaissance Assessments 39 2.11.2 Cellular Tower Projects 40 2.11.3 Submerged Cultural Resources and Remote Sensing Surveys 42 Cultural Resource Management Standards & Operational Manual ii Module Three Guidelines for Use by Historic Preservation Professionals MODULE THREE TABLE OF CONTENTS (cont.) Page 3.0 ARCHAEOLOGICAL TEST EXCAVATION (PHASE II) 46 3.1 INTRODUCTION 46 3.2 BACKGROUND RESEARCH 46 3.3 RESEARCH DESIGN 47 3.4 FIELD METHODS 47 3.5 ARTIFACT PROCESSING AND ANALYSIS/CURATION 48 3.6 DOCUMENTATION 48 4.0 ARCHAEOLOGICAL MITIGATION, INCLUDING MITIGATIVE EXCAVATION (PHASE III) 50 4.1 INTRODUCTION 50 4.2 MITIGATION ALTERNATIVES 50 4.3 TYPES OF ARCHAEOLOGICAL SITES 52 4.3.1 Artifact Scatters 52 4.3.2 Black Earth Middens 53 4.3.3 Shell Middens 54 4.3.4 Sand Mounds and Earthworks 54 4.3.5 Mortuary/Cemetery Sites 55 4.3.6 Historic Archaeological Sites 55 4.3.7 Underwater Sites 56 4.4 MITIGATIVE EXCAVATION 56 4.4.1 Principles 57 4.4.2 Recommended Approach 58 4.5 RESEARCH DESIGN 60 4.5.1 Elements of a Research Design 61 4.5.2 Submittal of a Research Design 66 4.6 EXCAVATION PROCEDURES 66 4.6.1 Topographic Mapping 67 4.6.2 Grid Systems 67 4.6.3 Broad Scale Testing 68 4.6.4 Data Recovery Through Controlled Excavation 69 4.6.5 Recording 72 4.7 ARTIFACT AND DATA ANALYSIS/CURATION 74 4.7.1 Preliminary Processing and Cataloging 74 4.7.2 Artifact and Data Analysis 75 4.7.3 Curation 79 4.8 DOCUMENTATION 80 Cultural Resource Management Standards & Operational Manual iii Module Three Guidelines for Use by Historic Preservation Professionals MODULE THREE TABLE OF CONTENTS (cont.) Page 5.0 THE NRHP AND EVALUATING SITE SIGNIFICANCE 82 5.1 INTRODUCTION 82 5.1.1 NRHP Program Description 82 5.1.2 Nomination Procedures 83 5.2 THE NRHP CRITERIA FOR EVALUATION 84 5.3 STATE SIGNIFICANCE CRITERIA 85 5.4 NRHP CRITERIA CONSIDERATIONS 85 5.5 INTEGRITY 86 5.6 WHAT IS A SIGNIFICANT CULTURAL RESOURCE? 87 5.6.1 Archaeological Sites 87 5.6.2 Historic Resources 90 5.7 NOMINATING SITES TO THE NRHP 92 5.7.1 Preliminary Steps 92 5.7.2 Suggestions for Background Research 93 5.7.3 Instructions for Completing the NRHP Registration Form 94 5.7.4 Additional Documentation 97 5.8 PREPARING MULTIPLE PROPERTY SUBMISSIONS 98 5.8.1 Introduction 98 5.8.2 Completing the Multiple Property Documentation Form 99 5.9 REQUESTS FOR DETERMINATION OF ELIGIBILITY 101 6.0 EFFECTS DETERMINATIONS AND CASE REPORTS 102 6.1 OVERVIEW 102 6.2 SECTION 106 CONSULTATION CASE REPORT 102 6.2.1 Introduction 102 6.2.2 Components of the Case Report 103 6.3 DETERMINING EFFECTS 104 6.3.1 Applying the Criteria of Adverse Effect 104 6.3.2 No Historic Properties Affected 105 6.3.3 Historic Properties Affected 106 6.3.4 No Historic Properties Adversely Affected 106 6.3.5 Historic Properties are Adversely Affected 107 6.4 RESOLVING ADVERSE EFFECTS 108 7.0 PREPARING AGREEMENT DOCUMENTS 111 7.1 INTRODUCTION 111 7.2 AGREEMENT-BASED DETERMINATIONS OF NO ADVERSE EFFECT 111 Cultural Resource Management Standards & Operational Manual iv Module Three Guidelines for Use by Historic Preservation Professionals MODULE THREE TABLE OF CONTENTS (cont.) Page 7.3 MEMORANDA OF AGREEMENT 112 7.4 PROGRAMMATIC AGREEMENTS 115 Exhibit 1: Check List for a Good Agreement Document Under 36 CFR Part 800 116 Exhibit 2: Example No Adverse Effect Determination 122 Exhibit 3: Example Three-Party MOA 124 Exhibit 4: Example Two-Party MOA 128 Exhibit 5: Example Programmatic Agreement 132 8.0 MITIGATION MEASURES FOR HISTORIC RESOURCES 135 8.1 INTRODUCTION 135 8.2 DOCUMENTATION 136 8.3 REHABILITATION AND RESTORATION 140 8.4 PRESERVATION AND MAINTENANCE 142 8.5 SALVAGE 144 8.6 OFF-SITE MITIGATION 144 Exhibit 6: Architectural History and Historical Narrative Form 146 Cultural Resource Management Standards & Operational Manual 1 Module Three Guidelines for Use by Historic Preservation Professionals 1.0 INTRODUCTION Module Three of the Manual contains guidelines for the identification, evaluation, recordation, and treatment of cultural resources for use by historic preservation professionals conducting work in compliance with federal, state, and local laws, rules, and regulations. The primary legal authorities on the federal and state levels are Section 106 of the National Historic Preservation Act, as implemented by 36 CFR Part 800, Chapter 267, Florida Statutes (F.S.), and Rule 1A-46, F.A.C. The intent is to foster quality assurance through the standardization of work and reporting requirements. Exclusive of the Introduction (Section 1), Module Three is divided into seven major sections, which address the following: • Section 2 provides a detailed look at the site assessment survey (Phase I) process for both archaeological and historic resources. • Section 3 focuses on archaeological test excavation (Phase II). • Section 4 describes the mitigation alternatives for archaeological sites, including excavation and data recovery (Phase III). • Section 5 explains how identified cultural resources are evaluated as per their eligibility for inclusion in the National Register of Historic Places (NRHP). It includes a “how to” for nominating individual properties, districts and multiple properties to the NRHP. • Section 6 explains the effects determination process, and includes information on the preparation of Section 106 Consultation Case Study Reports. • Section 7 provides guidance on the preparation of agreement documents, including agreement-based determinations of no adverse effect, memoranda of agreement, and programmatic agreements. • Section 8 examines the ways in which adverse effects to significant historic resources may be avoided, minimized, or mitigated. Module Three incorporates the guidance contained in a number of existing documents. Hyperlinks are provided for easy navigation to the primary source documents, which include some of the following: • The Historic Preservation Compliance Review Program of the Florida Department of State, Division of Historical Resources (November 1990, final draft) • Florida Rule Chapter 1A-46 (2002) (Archaeological and Historical Report Standards and Guidelines) • The Florida Department of Transportation’s Cultural Resource Management Handbook (1995, revised 2001) • 36 CFR Part 800 (Protection of Historic Properties) • 36 CFR Part 60 (National Register of Historic Places) • 36 CFR Part 63 (Determinations of eligibility for inclusion in the National Register of Historic Places) Cultural Resource Management Standards & Operational Manual 2 Module Three Guidelines for Use by Historic Preservation Professionals • 36 CFR Part 68 (Secretary of the Interior’s Standards for the Treatment of Historic Properties) • 36 CFR Part 79 (Curation of Federally-Owned and Administered Archaeological Collections) • 43 CFR Part 10 (NAGPRA Regulations) • Secretary of the Interior’s Standards and Guidelines for Archaeology and Historic Preservation (48 FR 44716) • Secretary of the Interior’s Standards and Guidelines for Archaeological Documentation • Secretary of the Interior’s Standards for Architectural and Engineering Documentation • Secretary of the Interior’s Standards and Guidelines for Preservation Planning • Secretary of the Interior’s Standards for Rehabilitation • Various “How To” Bulletins published by the U.S. Department of the Interior, National Park Service (NPS) • Preparing Agreement Documents (Advisory Council on Historic Preservation [ACHP], 1988) • Recommended Approach for Consultation on Recovery of Significant Information from Archaeological Sites (64 FR 27085-87, ACHP 1999) • National Register Handbook (1996) prepared by the staff of the Survey and Registration Section of the DHR • Guidelines for Section 106 Review of Proposed Cellular Tower Locations (DHR) • Florida’s Cultural Heritage: A View of the Past (DHR) • More Than Orange Marmalade: A Statewide Comprehensive Historic Preservation Plan (DHR) • Documentation Requirements for Buildings Proposed for Demolition and Standards for Architectural Documentation (DHR) • Performance Standards for Submerged Remote Sensing Surveys • Minimum Documentation for State and Local Reviews Cultural Resource Management Standards & Operational Manual 3 Module Three Guidelines for Use by Historic Preservation Professionals 2.0 CULTURAL RESOURCE ASSESSMENT SURVEYS (PHASE I) 2.1 INTRODUCTION The Cultural Resource Assessment Survey (CRAS), also known as a Phase I survey, is the only type of survey which satisfies the historic preservation requirements of federal and state laws and regulations (e.g., Section 106 of the National Historic Preservation Act and 36 CFR Part 800; Chapter 267, F.S.