Standards for Cultural Resource Investigations and the Curation of Archaeological Collections in New York State by The New York Archaeological Council Adopted by the New York State Office of Parks, Recreation and Historic Preservation © 1994 The New York Archaeological Council All rights reserved. New York Archaeological Council Table of Contents Page Page 1.0 Introduction ..................................................................1 5.0 Discovery of Human Remains ...................................... 9 2.0 Phase I Cultural Resource Investigation: Preliminary Reconnaissance........................................1 6.0 Standards for the Production of CRM Reports.......... 9 2.1 Goals of Phase I Investigation........................................1 6.1 Title Page......................................................................... 9 2.2 Phase IA Literature Search and 6.2 Table of Contents ............................................................ 9 Sensitivity Assessment..................................................1 6.3 Management Summary.................................................... 9 2.2.1 Environment/Physical Setting ........................................1 6.4 Introduction ..................................................................... 9 2.2.2 Background Research.....................................................1 6.5 Environmental /Physical Setting ................................... 10 2.2.3 Sensitivity Assessment...................................................2 6.6 Background Research and Sensitivity Assessment ....... 10 2.3 Phase IB: Filed Investigation Guidelines .......................2 6.6.1 Background Research.................................................... 10 2.3.1 Systematic Surface Survey.............................................3 6.6.2 Sensitivity Assessment .................................................. 10 2.3.2 Subsurface Shovel Testing .............................................3 6.7 Research Design............................................................ 10 2.4 Phase IB Report..............................................................3 6.8 Field Methods and Procedures ...................................... 10 2.5 Disposition of Collections ..............................................3 6.9 Results ........................................................................... 11 6.9.1 Components of a Phase I Report ................................... 11 3.0 Phase II Cultural Resource Investigations: 6.9.2 Components of a Phase II Report.................................. 11 Site Evaluation..............................................................4 6.9.3 Components of a Phase III Report................................. 11 3.1 Goals of Phase II Investigations.....................................4 6.9.4 Project Map Specifications............................................ 11 3.1.1 Site Boundaries/Site Size ...............................................4 6.10 Summary, Conclusion and Recommendations .............. 12 3.1.2 Temporal and/or Cultural Affiliation .............................4 6.10.1 Components of a Phase I Report ................................... 12 3.1.3 Intra-Site Artifact/Feature Patterning .............................4 6.10.2 Components of a Phase II Report.................................. 12 3.1.4 Site Function and Context ..............................................4 6.10.3 Components of a Phase III Report................................. 12 3.1.5 Data Potential and Site Integrity.....................................4 6.11 References Cited............................................................ 12 3.2 Phase II Documentary Research.....................................4 3.3 Phase II Field Work/Excavation Guidelines...................5 7.0 Standards for the Curation of 3.3.1 Surface Investigations Guidelines ..................................5 Archaeological Collections.......................................... 12 3.3.2 Subsurface Testing/Excavation Guidelines ....................5 7.1 Definitions..................................................................... 12 3.4 Phase II Analyses and Report.........................................6 7.1.1 Collections..................................................................... 12 3.5 Urban Contexts...............................................................7 7.1.2 Material Remains .......................................................... 12 3.6 Underwater Sites............................................................7 7.1.3 Associated Records ....................................................... 12 3.7 Supplemental Phase II Investigations.............................7 7.1.4 Curatorial Services ........................................................ 13 3.8 Disposition of Collections ..............................................7 7.1.5 Qualified Museum Professional ................................... 13 7.2 Responsibilities of the Archaeologist ............................ 14 4.0 Phase III Cultural Resource Investigations: 7.3 Guidelines for Selecting a Repository........................... 14 Data Recovery...............................................................7 7.4 Criteria for Institutions Serving as a 4.1 Goals of Phase III Data Recovery/ Repositories for Archaeological Collections................. 14 Impact Mitigation...........................................................7 4.2 Phase III Research Design/Data Recovery Plan.............7 Appendix A Laws, Regulations and 4.3 Phase III Field Work/Excavation Guidelines .................7 Guidance Documents...................................... 16 4.4 Phase III Analyses and Report .......................................8 Appendix B NYAC Burial Resolution (1972) ................... 17 4.5 Supplemental Phase III Investigations ...........................8 Appendix C NYAC Code of Ethics and Practice.............. 17 4.6 Disposition of Collections ..............................................8 Appendix D Glossary .......................................................... 18 INDEX..................................................................................... 20 New York Archaeological Council 1.0 INTRODUCTION Due to the complexities often characterizing projects and sites Standards for Phase IA, IB II and III Cultural Resource located in urban settings, these guidelines apply primarily to Investigations; the Production of Cultural Resource Management projects situated in non-urban environments. At some point in the Reports; and the Curation of Archaeological Collections, have near future, guidelines will be established for Phase I work in been developed in order to ensure a degree of uniformity in the urban environments (cf. Pennsylvania guidelines) as well as approach taken by archaeologists in New York State. It is hoped underwater contexts. that all archaeologists, private developers, local, state and federal agencies will make use of these standards toward the fulfillment of 2.2 Phase IA Literature Search and Sensitivity Assessment their preservation obligations under a variety of federal, state and Phase IA investigations are intended to gather information local laws and preservation ordinances. concerning the environmental/physical setting of a specific project area as well as its cultural setting. It is the interrelationship of the The purpose of these guidelines is to ensure that archaeological physical environment and the cultural, historical setting that work of the highest caliber is carried out in New York. These provide the basis for the sensitivity assessment. This research guidelines will help to clarify expectations for the often diverse should include a consideration of relevant geomorphology and approaches to cultural resource investigations utilized by the soils information, culture history, and previous archaeological increasing number of individuals and corporate groups that are research to provide for the development of explicit expectations or becoming involved in cultural resource compliance reviews. All predictions regarding the nature and locations of sites. Regardless professional/Supervisory level personnel must meet the of the project size, archaeologists should consider all relevant data qualifications set forth in 36 CFR 61. Their aim is to promote in developing these expectations. The specific source from which consistent, high quality performance, and documentation. background information should be drawn will vary according to Although detailed in some cases, these guidelines are not intended project size and the availability of comparative data. The to be all-encompassing nor to address all possible situations. information presented and analyses performed should assist reviewers in understanding and evaluating the importance of It is likewise expected that published guidelines will result in more environmental and cultural /historical resources within and acceptable, efficient, and cost-effective research on New York surrounding the project area. Finally, it should also provide the archaeological sites. Innovation beyond the scope of these rationale for developing the research design, the sensitivity recommended procedures is expected and encouraged. assessment, and for selecting appropriate Phase IB field methodology as well as for evaluating project impacts. Good judgement and common sense must prevail. These guidelines will be subject to periodic revision and refinement. 2.2.1 Environmental/Physical Setting A summary of relevant information, with accompanying maps