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Section Two This section discusses types of cultural resources that may be encountered in the process of conducting archaeological investigations. This section also presents information and re-commendations for the implementation of sampling strategies, predictive modeling, and new technological methods of archaeological investigation in Iowa.

Section Two - Iowa Archaeology · Section Two This section ... process of conducting archaeological investigations. This section also presents ... The National Register Bulletin #36

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Section Two

This section discusses types of culturalresources that may be encountered in theprocess of conducting archaeologicalinvestigations. This section also presentsinformation and re-commendations for theimplementation of sampling strategies,predictive modeling, and new technologicalmethods of archaeological investigation inIowa.

Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling

December 1999 2-1

Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling

December 1999 2-2

Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling

December 192-3

This chapter defines cultural resources and gives examples of different types of cultural resources in Iowa.

A cultural resource is considered to be a location of human occupation or activity or an item that has some form of importance attached to it. Significant cultural resources, or historic properties, are those that conform to the qualifications described for National Register Criteria. Historic properties include historical and prehistoric sites, districts, buildings, structures or objects that are eligible for inclusion on the National Register of Historic Places (NRHP). In these guidelines, the term "cultural resource" is used interchangeably with the term "historic property." There are various archaeological cultural resources identified in Iowa associated with certain cultural periods or physical environments.

Archaeological resources are often referred to as “sites.” The National Register Bulletin “How to Apply the National Register Criteria for Evaluation (1997:5)” defines a site as “the location of a significant event, a prehistoric or historic occupation or activity, or a building or structure, whether standing or ruined, or vanished, where the location itself possesses historic, cultural, or archaeological value regardless of the value of any existing structure.” Depending on the application, this definition may differ from that of an archaeological site.

The National Register Bulletin #36 (1993:2) further defines an archaeological site describing “an archaeological property as the place or places where the remains of past culture survive in a physical context that allows for the interpretation of these remains.” An archaeological site is more specifically defined as any location where human behavior has resulted in the deposition of artifacts, or other evidence of purposeful behavior with an established or estimated boundary. The established boundary should take into consideration both vertical and horizontal dimensions of the site. However, whether or not a recognized boundary can be established or estimated, an archaeological site may still exist. Archaeological sites take many forms. A single site may contain multiple components from distinct cultures, time periods, and stratigraphic layers. For example, an archaeological site may be considered the area of the recovery of a single artifact, an entire abandoned town, or a living city.

Archaeological resources may also be identified as an “Isolated Find” or a “Findspot.” The term “Isolated Find” is used to indicate the recovery of a single artifact. Because many single artifact finds have been later found to be associated with a larger scatter, a single artifact is considered an archaeological site and requires a state site number. An example of an Isolated Find is a sherd or flake found in a plowed field. The “Findspot” designation is generally reserved for any number of artifacts found clearly out of locational context. An example of a findspot is a sherd or flake found on a sandbar.

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Prehistoric Archaeological Resources are generally categorized as archaeological evidence relating to the aboriginal Native American cultures in Iowa. Prehistoric archaeological sites are sites or components that date to the period before written records are available. It is not unusual to have both prehistoric and historic components represented at the same site. Occasionally, the term “Protohistoric” is used to denote the period of time between the arrival of European trade goods and direct contact with European people. Types of prehistoric archaeological Native American resources include village sites, temporary encampments, resource procurement sites, burial or ceremonial sites, etc. A list of Native American Tribes who may have interests or concerns in Iowa is listed later in this chapter and a list of contacts for these tribes is listed in the Appendix section of these guidelines. These lists are by no means complete or conclusive and other tribes may have interests in Iowa. Historical American Archaeological Resources are generally categorized as archaeological evidence relating to the historical period after the first Euro-American contact with Native Americans or have components dating to the period for which written records are available. National Register Bulletin #36 (1993:3) defines a historical archaeological property as having “evidence that post-dates the arrival of Europeans in the New World.” Generally in Iowa, the year 1700 serves as a rough boundary between the historic and prehistoric periods. Historical American resources include a variety of archaeological sites including those in rural, urban, and industrial locations such as farmstead sites, homestead sites, factory sites, etc. Historic archaeological sites may also occur in conjunction with standing structures. When standing structures are present specialized training in historical archaeology and architectural history is recommended.

At the current time, Historic-era cemeteries should be recorded as

archaeological sites only if the cemeteries do not appear on the most current U.S.G.S. 7.5 quadrangle map or if there are archaeological materials found. Linear features such as roads, trials, and railways should be recorded as archaeological sites if they are represented in an archaeological context or are a ruin. A Ruin—a no longer useable building or structure— should be recorded as an archaeological site. A standing (roofed) structure may be associated with an archaeological site, but the structure is not itself the archaeological site unless the structure is a ruin at the time of the site visit. Other structures, such as intact storm sewers, abandoned but intact bridges, and intact railroads, are not archaeological sites unless they are a ruin at the time of the site visit. Do not record an archaeological site based only on historic records if the site is not present in an archaeological context. For example, do not record an archaeological site based only upon the location of a building on a plat map.

Prehistoric Native American Archaeological Resources Historic American Archaeological Resources

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Inundated Archaeological Resources are defined by their physical context of currently being submerged underwater or having been submerged at one time. Inundated archaeological resources may date to either the prehistoric or historic eras. In Iowa, examples of inundated resources that date to the prehistoric era would be submerged village sites, submerged encampments, fish weirs, dams, etc. Examples of inundated historical resources are shipwrecks, barges, dams, submerged farmsteads, etc. Inundated historical archaeological resources that are associated with the shipping industry are further delineated and studied as part of maritime archaeology.

Nautical or Maritime archaeological resources are associated with human

activities in or related to a water environment. Nautical archaeology attempts to interpret the relationship between humans and their use of the water environment and watercraft. Nautical archaeological resources may exist submerged underwater or exposed in areas that are now dry. These historic properties may consist of shipwrecks, other watercraft, encampments along waterways, ports, or other coastal habitations and cities. Rock Art cultural resources are characterized as any drawing or engraving on a rock surface typically identified with the aboriginal Native Americans. The most common of these may exist in the form of a pictograph, petroglyph, or petroform. Rock art may exist seemingly by itself or in association with an archaeological site. Some examples of rock art in Iowa are located at the Paint Rock Site in Allamakee County. Most other examples of rock art in Iowa exist on private land and are not accessible to the public.

Traditional Cultural Properties are defined in National Register Bulletin #38 Guidelines for Evaluating and Documenting Traditional Cultural Properties (p.1) as:

“A traditional cultural property, then, can be defined generally as one that is eligible for inclusion in the National Register because of its association with cultural practices or beliefs of a living community that (a) are rooted in that community’s history, and (b) are important in maintaining the continuing cultural identity of the community.”

Traditional cultural properties can include any type of historic properties,

including cultural landscapes, that have significance in a community’s or ethnic group’s historically rooted beliefs, customs, and practices. The identification of traditional cultural properties within an area can in some cases require much study to recognize the significance of the property relating to a specified group. Traditional Cultural Properties may have religious or other cultural properties that make them significant for the NRHP. In most instances, the traditional cultural property may require a more systematic study to determine the significance. A “reasonable effort” to identify traditional cultural properties should be implemented on areas that have the potential to contain such properties. The potential for an area to contain traditional cultural properties can

Inundated Archaeological Resources Nautical Archaeological Resources

Rock Art Cultural Resources Traditional Cultural Properties

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be assessed by conducting background research on the history of the area and by identifying the cultural groups who are either living in an area or who formerly lived in an area. Consultation with the identified groups should be implemented early in the planning process to determine whether the group has any concerns about the proposed project or activity.

As stated in National Register Bulletin #38, special emphasis is focused

on American Indian communities and historic properties. However, other ethnic groups also have Traditional Cultural Properties and these properties should be taken into consideration in planning federal, federally assisted, and federally licensed undertakings in accord with the National Historic Preservation Act as well as in other types of state or local preservation planning activities.

Identification and evaluation of Traditional Cultural Properties should follow the procedures provided in National Register Bulletins #16 and #38. Currently, there is no inventory of identified Traditional Cultural Properties in Iowa. Traditional Cultural Properties issues in Iowa have primarily focused on American Indian communities and historic properties of groups that are currently residing in the state or who have formerly resided within the state. SHPO maintains a list of American Indian tribal contacts that can be consulted about Traditional Cultural Property issues (See Section 5 of these guidelines for a current 1999 list).

For other cultural groups currently residing in the state or who have

formerly resided in the state, SHPO recommends that consultations should occur with local historical societies and museums, local public officials, and other interested, knowledgeable parties to determine whether there are any Traditional Cultural Properties. Some of the ethnic groups that may be of importance in Iowa are discussed in Section 1, Chapter 3. These groups are: African American, Amish, Czech, Church of the Latter Day Saints, Danish, Mennonites, Mormons, Norwegian, French, German, and Slovak.

Native American Indians have various concerns with regard to archaeological cultural resources, Traditional Cultural Properties, and the disposition of human remains. To date, at least 21 tribes have been identified as having ties to land in Iowa. These tribes are: Iowa, Oto, and Missouri: [including Oneota] Iowa Tribe of Kansas and Nebraska Iowa Tribe of Oklahoma Otoe-Missouria Tribal Council Mandan, Hidatsa, and Arikara [Mandan-Mill Creek material; Arikara-Nebraska Phase (Glenwood) material] Three Affiliated tribes

Native American Interests and Concerns Native American Tribes Historically in Iowa

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Mesquakie and Sauk Sac and Fox Nation of the Mississippi in Iowa (the Meskwaki) Sac and Fox Nation of Oklahoma (Saukie) Sac and Fox Nation of the Missouri in Kansas and Nebraska (the Nemahas) Omaha [Blood Run National Historic Landmark Site, Lyon County, Northwest Iowa] Omaha Tribal Council, NE Ponca [possibly Blood Run National Historic Landmark Site, Lyon County, Northwest Iowa] Ponca Tribe of Nebraska, Niobrara, NE Pawnee [Nebraska Phase (Glenwood) material] Pawnee Tribe of Oklahoma Potawatomi [relatively short-term presence in Western Iowa] Forest County Potawatomi, Crandon WI Prairie Band Potawatomi, Mayetta, KS Citizen Band Potawatomi, Shawnee, OK Sioux [primarily Northern Iowa-upper reaches of the Des Moines River, Iowa Cedar, and Turkey Rivers] Flandreau Santee Sioux Executive Committee Lower Sioux Indian Community Council, Morton, MN Minnesota Mdewakanton Sioux Santee Sioux Tribal Counc9l, Niobara, NE Sisseton-Wahpeton Sioux Yankton Sioux Tribal Business and Claims Committee [contact: Maria

Pearson] Winnebago [primarily the Neutral Ground, 1830-1846-includes Allamakee. Chickasaw, Floyd, Franklin, Winneshiek, Wright, and parts of Bremer, Butler, Cerro Gordo, Fayette, Hamilton, Hancock, Hardin, Howard, Humboldt, Mitchell, and Webster Counties] Ho-Chunk Nation (Wisconsin Winnebago) Winnebago Tribe of Nebraska

At the regent institutions in Iowa the First Nations Program describes the following tribes as American Indians who meet the residency requirements of Iowa: Iowa, Kickapoo, Menominee, Miami, Missouri, Ojibwa (Chippewa), Omaha, Otoe, Ottawa (Odawa), Potawatomi, Sac and Fox (Sauk, Meskwaki), Sioux, and Winnebago (Ho Chunk). (IC 262.9[3]; IAC 681-1.4[2]i.) These tribes are American Indians who have origins in any of the original people of North America and who maintain a cultural identification through tribal affiliation or community recognition with one or more tribes or nations connected historically with the present state of Iowa.

Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling

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Perhaps the most important factor in the implementation of a project is creating a sense of awareness and exercising sensitivity to Native American concerns. During project implementation, often there is a misperception of Native American concerns and needs and their ability to stall a project. Early planning and consultation is advised whenever Native American concerns are encountered. Sometimes Native American concerns may simply involve a matter of access to a scared site. In such instances an alternative, such as providing an easement or greenbelt adjacent to or within a project area, may be appropriate.

There are various resources that should be reviewed for information

pertinent to Native American interests or concerns. In Iowa, some of these sources are archival records such as the Royce maps, treaty records and maps, Government Land Office records and maps, treaty line of 1825, Indian claims commission dockets, and land session maps. Archival documents should not be referenced as the sole source of Native American interests in Iowa. Oral histories of various tribal members should be consulted whenever possible. A list of some additional sources is listed in Section 5. When Native American concerns are identified, an attempt should be made to contact the appropriate tribal representative for comments involving the project area. A list of Native American contacts for Iowa is included in Section 5 of this document. It is generally recommended to send a letter of intent for the project to the Native American Indian representative. In some instances this may involve multiple letters being sent to several different tribal representatives. An example letter of intent has also been included in Section 5. The individual, organization or agency responsible for the project should allow at least 30 days for the Native American tribal representative to respond.

Other ethnic groups may have various concerns with regard to archaeological cultural resources, Traditional Cultural Properties, and the disposition of human remains. Some other ethnic groups and potential ethnic resources identified in Iowa are: African American (Buxton), Church of the Latter Day Saints, Czech (Cedar Rapids), French (Icarian Colonies), German (Amana Colonies), Norwegian (Decorah)

Landscapes are important to consider when undertaking archaeological investigations because archaeological sites may act as an indicator of a larger cultural or historical landscape that has the potential to yield important information in understanding prehistoric or historic activities. In some instances, an archaeological site may provide valuable information about the ways that a landscape had been used, patterns of social history, of the methods and extent of activities within a landscape. Careful planning prior to an undertaking can help prevent irrevocable damage to a cultural landscape. Landscapes and their significance are discussed in greater detail in The Secretary of the Interior’s “Guidelines for the Treatment of Cultural landscapes” and National Register Bulletin #30, “Guidelines for Evaluating and Documenting Rural Historic Landscapes,” and National Park Service Preservation Brief #36. Some examples

Other Ethnic Group Interests and Concerns Cultural and Historic Landscapes

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December 1999 2-9

of cultural or historical landscapes are traditional cultural properties, trails and roads, battlefields and encampments, scenic and recreational parks, mining properties, and lumbering communities.

A cultural landscape is “a geographic area, including both cultural and natural resources and the wildlife or domestic animals therein, associated with a historic event, activity, or person exhibiting other cultural or aesthetic values (National Park Service Preservation Brief #36, 1994).” There are four general types of cultural landscapes including historic sites; historic designed landscapes, historic vernacular landscapes, and ethnographic landscapes.

The Secretary of the Interior’s Standards for the Treatment of Historic Properties with Guidelines for the Treatment of Cultural Landscapes (1996) defines the different landscapes more specifically. Historic sites are centralized areas with historic significance for their

association with a historic event, activity, or person, such as historical battlefields that still have integrity or presidential homes such as the Herbert Hoover Historic Site (1996:5).

Historic designed landscapes were consciously designed or laid out by a landscape engineer, master gardner, architect, engineer, or horticulturist according to design principals, or an amateur gardner working in a recognized style or tradition (1996:5). Examples of a historic designed landscape would be the mall and Capitol grounds in Washington D.C. or capitol grounds surrounding county courthouses.

Historic vernacular landscapes have evolved through use by the people whose activities or occupancy shaped it (1996:5), such as Fort Scott in Kansas, the mining town of Calumet in Michigan, or the Amana Colonies in Iowa.

Ethnographic landscapes are landscapes that contain a variety of natural and cultural resources that associated people define as heritage resources (1996:4), such as the Amana Colonies, if there continues to be an ethnic group strongly associated.

Historic landscapes “are composed of a number of character defining

features which individually or collectively contribute to the landscape’s physical appearance as they have evolved over time (Preservation Brief #36 1994:1).” Historic landscapes encompass residential gardens, community parks, scenic highways, rural communities, institutional grounds, cemeteries, battlefields, and zoological gardens. Historic landscapes have been subdivided to include Historic Designed landscapes and Vernacular landscapes. Historic Designed landscapes include parks, campuses, and estates. Vernacular landscapes include rural villages, battlefields, industrial complexes, and agricultural landscapes.

A rural historic landscape is a “geographical area that historically has

been used by people, or shaped or modified by human activity, occupancy, or intervention, and that posses a significant concentration, linkage, or continuity of

Cultural Landscapes Historic Landscapes

Rural Historic Landscapes

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areas of land use, vegetation, buildings, and structures, roads, and waterways, and natural features (National Register Bulletin #30).” Examples of rural historic landscapes are orchards, mines, lumber activity areas, milling, fish culturing areas, fishing or shellfishing areas, shipbuilding areas, hunting or fishing camps, transportation systems, migration trails, conservation areas, sites adapted for ceremonial, religious, or other cultural activities such as a camp meeting ground. Human use in a historic landscape can be examined by a series of landscape characteristics that involve understanding the processes that have been instrumental in shaping the land and physical components that are evident on the land. Processes that have shaped the land are land use and activities, patterns of spatial organization, response to the natural environment, and cultural traditions. Physical components evident on the land are circulation networks, boundary demarcations, vegetation related to land use, buildings, structures, and objects, clusters, archaeological sites, and other small-scale elements such as a foot bridge or road sign.

Surface or subsurface remains at an archaeology site may yield or have the potential to yield valuable information about agricultural or industrial land uses, settlement patterns, or ceremonial traditions. Landscape archaeology attempts to determine when to treat a landscape as an archaeological site. Landscape archaeology may involve the examination of characteristics such irrigation canals, walls, road remnants, trail ruts, foundations, and refuse sites in an effort to uncover significant information about prehistoric or historic activities or occupation of an area. Identifying a cultural landscape may occur during the development of the research design for a project or later during field investigations. On occasion, farmsteads, homesteads, and standing structures are elements present within an area receiving archaeological investigations. A farmstead is a limited area within the farm that is or was occupied by buildings, corrals, and fences, and was generally used as a center of operations for the farm. A homestead is generally a limited area that is or was occupied by a house and associated buildings that were used for family unit activities. Standing structures generally refer to other extant structures located within a project area.

Farmsteads and homesteads with standing structures may contain archaeological deposits. Even though a farmstead or homestead may have extant standing buildings, if intact archaeological features or deposits are present, than technically, the farmstead could be considered an archaeological site as well as a standing structure site. Some examples of archaeological features at a farmstead or homestead would be ruins, foundations, wells, cisterns, etc. Archaeological surveys should assess farmsteads and homesteads for significant intact archaeological deposits regardless if standing structures are present. Appropriate archaeological methods for determining if archaeological deposits are present may include soil probe or shovel test investigations.

Farmsteads, Homesteads, and Standing Structures (Buildings and Bridges) Other Standing Structures

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Other standing structures may include outbuildings, bridges, windmills, etc. that are located within a project area but not necessarily associated with a farmstead, homestead, or landscape. These structures should be documented with a detailed description of the structure, legal location, a U.S.G.S. quad map, sketch map, and photographs. For further guidance on documenting standing structures, consult the following: The Secretary of the Interior’s Standards for the Treatment of Historic

Properties with Guidelines for Preserving, Rehabilitating, Restoring, and Reconstructing Buildings (Weeks and Grimmer 1995)

The Iowa Site Inventory Form Instructions (Iowa SHPO Office) The National Park Service Preservation Brief #35 entitled Understanding Old

Buildings: The Process of Architectural Investigation In Iowa, certain archaeological projects will involve structures such as a bridge replacement or renovation. For bridge surveys in Iowa, the following information should be documented: A determination of eligibility for the National Register based on the

statewide survey by FRASERdesign Descriptive information about the bridge size, style, materials, etc. Locational information including legal location Location of the bridge demarcated on a U.S.G.S. quadrangle map Location of the bridge in relation to the project area on a sketch map Photographs of the bridge from a frontal view and a side view.

Bridge Renovation or Replacement Projects

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Research Designs and Historical Contexts

Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling

December 1999 2-13

This chapter briefly describes research design that should be employed for archaeological projects in Iowa. It also discusses the importance of historic contexts and how they should be applied to the research design.

The historic context of the project area should be taken into account when formulating a research design to ensure reliable decisions regarding the objectives and expected results. Historic contexts are the foundation for factors inherent in research designs. The historic context is linked to the historic property being investigated usually by similarities in property type. This association permits the formulation of plans for research design objectives of identification, evaluation, or treatment of historic properties. A research design is a deliberate, concise, and explicit plan or outline for conducting archaeological investigations. The Secretary of the Interior’s Standards call for research designs to include an explanation of the problem(s), objectives to be addressed by the study, discussions that justify the chosen methods and techniques, and expected results. In some cases the research design may be constructed as a proposal written in response to a request for bids. In other instances, research designs may be included in scopes of work, data recovery plans, or in simple justifications of field methodologies.

Cultural resource studies should be designed so that they locate

prehistoric and historic-era sites when they are present. The identification and evaluation of historic sites, especially if standing structures are present, requires specialized training in historical archaeology and architectural history. In certain circumstances a historian may also need to be involved with the project. The research design should address any other fields of expertise that would be necessary to make informed decisions and ensure effective results regarding the project.

In many cases, the archaeological research design should address

geomorphological considerations as well. It is recommended that the research design for an archaeological project include some geomorphological investigation to precede and/or occur concurrently with the archaeological field studies. This type of concurrent investigation will allow for efficient modifications to the research design necessitated by information resulting from geomorphological research.

The purpose of a research design is to identify the goals of the archaeological investigations and create a framework that describes the proposed methods and activities that will be undertaken to accomplish the goals of the study. The research design should also establish the relationship of a particular historic property in relation to a historic context and other similar historic properties. The research design and its objectives should be explicitly formulated before any fieldwork is conducted. Specific objectives of a research design will vary depending on the type of project.

Research Designs

Purpose and Objective of Research Designs Research Designs for Phase IA or Phase I Surveys

Chapter 2 Chapter 2

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For a Phase IA or Phase I archaeological survey, the objectives may follow some or all of the examples below: to identify and delineate all cultural resources that may be eligible for listing

on the National Register of Historic Places within the area(s) of potential effect

to describe or interpret identifying characteristics of all cultural resources within the area of potential effect, such as age, style, cultural association, etc.

to attempt to compare the results of the investigations with other investigations, theories, or existing models

to attempt to evaluate all cultural resources with regard to National Register eligibility

to assess the impact of the proposed undertaking on all cultural resources to make a final recommendation of the necessity for further investigation or

evaluation of all cultural resources For a Phase II archaeological evaluation, the objectives may follow some or all of the examples below: to describe the cultural resource under investigation to define the horizontal and vertical limits and integrity of all cultural

resources being investigated to describe or interpret identifying characteristics of all cultural resources,

such as age, style, cultural association, etc. if not accomplished at an earlier phase of study

to interpret all cultural resources in terms of the activities, functions, time span, and historic context(s) they represent

to investigate research questions that can provide information on the cultural resource’s local or regional significance

to compare the results of the investigations with other investigations, theories, or existing models

to decisively evaluate the eligibility of the cultural resource for the National Register, as appropriate, according to the Secretary of the Interior’s standards

to determine the impact of the proposed undertaking on all cultural resources to make a final recommendation of the necessity for further treatment of all

cultural resources and the type of treatment recommended For a Phase III archaeological data recovery, the objectives may follow some or all of the examples below: to describe of the cultural resource under investigation and the characteristics

that make it eligible for the National Register to address and explicitly state pertinent hypothesis and research questions

that provide valuable information on the local or regional significance of the cultural resource with accompanying valid justifications of the hypothesis’ and questions’ importance and relevance

Research Designs for Phase II Evaluations

Research Designs for Phase III Data Recovery

Steps to Write a Research Design Objectives of Study

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to maximize the efficient and successful retrieval of important data relevant to the defined research questions from the cultural resource

to determine characteristics, variability, inter-site patterning, and intra-site patterning pertinent to the cultural resource

to advocate public education/interpretation of the data recovery results

Consultation with SHPO on research designs for more intensive surveys is recommended. Consultation is especially important for research designs developed for data recovery projects. Additional sources of technical information for writing a research design may be found in Section 5. There are five basic components of a research design that should be included in a written narrative: the objectives, the area of study, the methods and techniques, the expected results, and supporting documentation. First, information supporting the objectives, examples of which are listed above, of the proposed research should be explained. These include: the purpose of the proposed investigation the practical and theoretical goals of the research the questions that the investigations will attempt to answer or that will be

addressed for whom the investigations are being performed, a specific agency or

individual a description of the undertaking and its potential direct and indirect effects

and consequences reference to applicable laws or regulations that necessitate the archaeological

investigations a description of the work schedule Second, the location of the project area should be sufficiently described and defined. This information should include: delineation of the area(s) to be investigated and the area of potential effect legal location of the project area information about any previous surveys or recorded historic properties within

or adjacent to the project area environmental information about the project area historical background about the project area Third, the anticipated methods and techniques to achieve the goals of the investigations should be discussed. These include: description of the research strategy to sample or retrieve the maximum

amount of data necessary to meet the study objectives and justification for the strategy

description of the type of background or archival research to be conducted and the sources to be consulted

Project Location Description Methods and Techniques Description Expected Results from Study

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description of the types of proposed field methodology (i.e. pedestrian survey, shovel testing, etc.)

justification for the specific field methodology to ensure that appropriate strategies are planned for a particular project area that will be effective, successful, will permit scientific replication of analysis, and are relevant to the objectives or research questions.

description of the proposed laboratory methods and justification for such. analysis or analytical studies that will be implemented to answer the research

objectives and will permit scientific replication of analysis. Identification of proposed treatment or conservation of any recovered

materials and proposed disposition or curation facilities Fourth, information regarding the expected results should be discussed. This information should include: the number, size, location, age, condition, and other general characteristics of

any anticipated or known archaeological materials, features, or other cultural resources

the expected effect of the undertaking on any archaeological resources the effectiveness and quality of the research design for investigation of the

purposes of the particular project or cultural resource an assessment of site significance Last, supporting documentation that will supplement or explain aspects of the research design should be included. Such as: information that will be included in the final report maps, figures, tables, or other supporting documents what measures will be taken for unanticipated discoveries what measures will be taken for any changes or modifications to the research

design A historic context is an organized and descriptive guide that creates a frame reference for a historic property. At the current time the State of Iowa does not have one comprehensive source for historic contexts in Iowa. Various historic contexts may be located in some of the sources listed in Section 5 under “Sources of Additional Information” or in unpublished sources. Historic contexts should be included in research designs, data recovery plans, final reports. Historic contexts may also be mentioned in scopes of work.

The Secretary of the Interior’s Standards and Guidelines for Archaeology and Historic Preservation state that historic contexts should not be constructed so broadly as to include all property types under a single historic context or so narrowly as to contain only one property type per historic context. The standards also define historic contexts as, “an organizational format that groups information about related historic properties based on a theme,

Supporting Documentation Historic Contexts Purpose of a Historic Contexts

Steps to Write a

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December 1999 2-17

geographic limits and chronological period.” A project may necessitate a single historic context or a set of historic contexts. “A single historic context describes one or more aspects of the historic development of an area, and identifies the significant patterns that individual historic properties represent (Secretary of Interior’s Standards, 1983),” while “a set of historic contexts is a comprehensive summary of all aspects of the history of the area (Secretary of Interior’s Standards, 1983).” The purpose of the historic context is to provide a connection between the significance of a historic property under investigation in relation to other similar resources. The historic context may be developed at a local, state or regional level depending on the significance associated with the resource. Another purpose of a historic context is to develop preservation goals that are orientated toward the greatest possible protection of properties in the historic context. These preservation goals should be based on the principal that properties should be preserved in place if possible, through affirmative treatments like rehabilitation, stabilization, or restoration. Any existing contexts, information, theories, or models should be reviewed when writing a historic context. There is a listing of some of the historic contexts created for Iowa in the Sources of Additional Information in Section 5 of these Guidelines. All previous information should be assessed for biases in both primary and secondary sources. The Secretary of the Interior’s Guidelines and National Register Bulletin (#16B) How to Complete the National Register Multiple Property Documentation Form (National Park Service1991:12-13) should be consulted prior to writing a historic context. These documents establish the steps involved in the process of developing a historic context. Generally, these steps involve the following: identifying the concept, time period, and geographical limits for the historic context, assembling the existing information about the historic context, synthesizing the assembled information, and identifying information needs. First, Identification of Specific Criteria should be established to define the historic context. These criteria include: establishment of preservation goals set forth in a “best case” version of how

properties in the historic context should be identified, evaluated, registered and treated

identification of the concept of importance or goal for the historic context identification of the time period(s) under consideration identification of the geographical limits of the study which have applicable

pertinence to the time period under consideration. For example, modern geographic boundaries may not be applicable to prehistoric or historical boundaries.

Historic Context

Specific Criteria to Define a Historic Context Background Research for a Historic Context

Interpretation of

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Second, Background Research should be conducted to assemble existing information regarding the area of study. This research should include: collection of information about the prehistory or history of the geographical

area under investigation with relative importance to the goals of the historic context.

examination of existing inventories of historic properties such as the National Register or state historic inventories

identification of groups of properties that may have important roles in defining historic contexts and values

assessment of information to identify bias in historic perspective, methodological approach, or area of coverage

examination of sources pertaining to the area of study. Some examples sources to consult are: historic overviews, environmental impact assessments, land use plans, cultural resource management reports, other technical reports, architectural studies, ethnographic studies, folklore studies, oral histories.

consultation with individuals and organized groups such as preservation and planning groups, academic institutions, and historical societies.

Third, an Interpretation and Analysis should be conducted to Synthesize the Assembled Information. This step involves the creation of a written narrative with information from the background research in relation to the identifying criteria and goal for the historic context. The narrative should include some or all of the following: identification of important patterns, events, persons, or cultural values identification of noticeable trends or patterns in area settlement or

development identification of any aesthetic and artistic values that are embodied in

architecture, construction technology, or craftsmanship the relevant research value or problem(s) pertaining to the historic context,

social and physical sciences, humanities, or cultural interests of local communities

how the historic context may relate to intangible cultural values or beliefs of Native Americans or other ethnic groups

Fourth, a Definition of Property Types resulting from the research should be included in the written narrative. Property types are groups of individual properties that share physical or relating characteristics and connect or illustrate those ideas introduced in the historic context with actual historic properties. These definitions should: identify the kinds of property types expected within the geographical limits

of the historic context and; determine how the property types may be organized to be most useful in

representing important historic trends

Research for a Historic Context Definition of Property Types Application of a Historic Context

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characterize the current condition of known properties relating to the property types

determine how the condition of property types can support standards to define physical integrity for the various property types

outline and justify the specific physical and associative characteristics and quality of historic integrity that an individual property must posses to be eligible for listing as a member of that property type

identify the characteristics of a property type, from the natural or social environment, that either contribute to, detract from, or affect its physical preservation

identify property types that have relevance and importance in illustrating the historic context

determine how the property types for each historic context directly relate to the concepts discussed in the historic context

determine how the property types demonstrate locational patterns and how they may be used to predict where similar types of properties may be located

determine how the National Register criteria would apply to examples of each property on the basis of the important patterns, events, persons, and cultural values discussed in the written narrative of the historic context.

Fifth, identify information needs for Application or use of the Historic Context how the historic context can fill voids in current information or knowledge specific statements regarding the application of the historic context to

specific property types how the historic context will be of use in preservation planning Last, Goals specific to the historic context should be defined and ranked in order of importance. These goals are often phrased in terms of property types. One goal of the historic context will ultimately be related to information needs previously identified for the historic context. Each goal should have a statement identifying: the goal, including the context and property types to which the goal applies

and the geographical area in which the property types are located the activities required to achieve the goal the most appropriate methods or strategies for carrying out the activities a schedule within which the activities should be completed, and; the amount of effort required to accomplish the goals, as well as a way to

evaluate progress towards its accomplishment

Goals Specific to a Historic Context

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This chapter describes the appropriateness and applicability of predictive models and sampling strategies with regard to regulatory and non-regulatory archaeology. A predictive model is a set of cumulative data that has been obtained from a thorough overview of background information and previous research pertinent to a specific area, landform, watershed, etc. The end product of a predictive model is a series of explicit and testable statements concerning the location and general characteristics (size, depth, age, cultural affiliation, integrity, etc.) of specific historic properties. Predictive modeling is defined by the Advisory Council on Historic Preservation as, “the generation of models of the likely nature and distribution of historic properties in an area that has not been subjected to intensive, complete survey.” The Advisory Council recommends several important overview data components to predictive models: Propositions derived from history, ethnography, ethnohistory,

anthropological, sociological, and geographical theory, and other disciplines about the kinds of settlement patterns, subsistence practices, and social organizations that might have characterized the area under investigation, or the kinds of social groups that occupied it in prehistoric or more recent times.

Background historical and ethnographic data on the actual locations of places, structures, and areas for different purposes (e.g. residence, industry, religion, and transportation) in the past.

The known or postulated distribution of historic properties of different kinds in the region within which the study area lies, or within similar areas.

Data on changes in landform, vegetation, and other environmental characteristics that may serve to obscure or reveal historic properties.

Research questions of concern in the area, and/or in the general disciplines involved, which may serve as bases for evaluating archaeological significance.

The cultural concerns and practices of local communities, American Indian groups, and others who may ascribe significance to historic properties, as a basis for evaluating associative significance.

The architectural or artistic traditions of the region, as a basis for evaluating architectural and art-historical significance.

Historical events and people of the region, as a basis for evaluating historical significance.

The physical characteristics of different kinds of historic properties in the area, to serve as a basis for generating expectations about what to look for in the field.

Where available, data on historic property types and distribution in the area based on sample survey

Predictive Models and Sampling Strategies Definitions & Types of Predictive Models and Sampling Strategies

Chapter 3

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Resulting predictive models should be capable of projecting the distribution of different types of historic properties. The predictive model should contain a high level of resolution that infers that substantial data contributed to the formation and applicability of the model. The more information incorporated into a predictive model, the higher the predictive model resolution will be and the more useful the model may be. If very little data is available or incorporated into the predictive model, the resolution or reliability of the model will be low. If the model resolution is low, a few areas of historic properties may still be identified, but most areas will be identified as having unknown potential and the use of the model may be very restricted.

It is important that testing substantiate predictive models. Predictive

models should be tested in the real world by techniques and methods that can be duplicated by others. Testing creates confidence in the applicability and accuracy of the predictive model. A testing program should be designed that obtains a representative sample of the predictive model area and involves on-site inspection. Appropriate statistical techniques should be applied to the predictive model and authenticated in a manner that does not bias the model. It is recommended those predictive models with a faulty information base or sample biases should not be used for projects. The resulting predictive model should be accompanied with detailed text explaining why predicted areas contain or do not contain historic properties of a certain type.

Sampling strategies can be defined as different methodologies employed to obtain a representation of historic properties. Sampling strategies typically investigate a portion of the area that is the subject of investigation. Sampling strategies may constitute a separate investigation or may be supportive of a predictive model.

Generating a predictive model is an attempt to predict what kinds of historic properties will be found in a previously unsurveyed area. The resulting model may predict the likely locations where historic properties may be found and may permit an attempt to predict what kinds of significance such properties may have. A predictive model that conforms to one part of the state for certain resources may not be applicable to other dissimilar areas or cultural resources. It is important to make sure that the predictive model has been tested in real world to ensure that it accurately predicts the locations and general characteristics of the cultural resources being modeled. This testing should encompass a process of continual adjustment to verify the continued validity of the predictive model. Sampling strategies attempt to extrapolate about the distribution and nature of historic properties in an area. These strategies are often employed to acquire information about cultural resources within a broad area with minimal effort.

Purpose of Predictive Models & Sampling Strategies Applications of

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Predictive models and sampling strategies should be developed and employed after consultation with the SHPO for their appropriateness and applicability for a particular project. Predictive models are most applicable to surveys for planning purposes or general land management considerations. Sampling strategies are helpful when investigating extremely large areas of land. Sampling strategies are also very useful for testing predictive models.

The Advisory Council’s position with regard to predictive modeling states that, “The use of predictive modeling in projects carried out pursuant to Section 106 of the National Historic Preservation Act was addressed by the Council in 1983.” This position is detailed as follows: “The usefulness of a model in Section 106 review is directly linked to its quality, its comprehensiveness, and its reliability.” The Advisory Council cautions the use of coarse-grained models, models that have not been tested, or models that fail to take into account certain classes of historic properties. The Advisory Council has stated in recent seminars that a predictive model should not be used by an agency to make a determination of “No Historic Properties Affected” (ACHP 1999). It is strongly recommended to consult with the SHPO and receive written SHPO concurrence about predictive modeling strategies prior to the implementation of any predictive modeling strategy for any regulatory project.

Predictive Models & Sampling Strategies Applications of Predictive Models Pertaining to Regulatory Archaeology

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This chapter describes the appropriateness and applicability of new

New or Advanced Technology

Chapter 4

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or advanced technology with regard to conducting archaeological investigations in Iowa.

When conducting archival or field research, it is recommended to access all available sources via any new technology or methodology that may be appropriate. New technology sources such as e-mail, GIS, or the internet should be credited and cited accordingly. When conducting field research or analysis, the use of new technology or methodology should be verified as consistent, reliable, and accurate. Some examples of new technology that may be applicable to field research are GPS units, remote sensing equipment, or new survey technology. When conducting analysis, an attempt should be made to create data sets that are compatible between the sponsor of the project and the consultant. It may be necessary to use compatible computer programs to accomplish this. New technology or methodology should also be consistent and accurate when applied to analysis and curation.

Some considerations regarding Global Positioning System (GPS)

technology concern the accuracy of the GPS receiving unit that may be employed. GPS data can result in discrepancies if different models or different methods of interpreting the received data are used for the same project. The timing devices on certain GPS receiving units may not be as accurate as the satellites sending the signal. On occasion, GPS units may be unable to receive signals in very congested areas or will only be able to receive signals from one or two satellites. To maintain reliable data from GPS units, readings should be taken using at least 3 to 4 satellite signals. Further training in GPS technology is recommended prior to using GPS or similar technology.

Some considerations regarding Geographic Information System (GIS)

again concern the accuracy of the results produced. Individuals submitting maps or other data produced by using GIS should be aware that the information produced is only as accurate as the information that had been entered into the program. This is particularly important for maps that have been digitized or electronically scanned in. When digitizing data, control points should be carefully recorded and monitored. When submitting hand drawn maps that will be digitized, rulers and thin lines should be used. It is difficult to digitize thick and crooked lines.

Care should also be taken when choosing a GIS program. There are

specific differences between such programs as ARCINFO and ARCVIEW. There can be incompatibility problems between results from the two programs if data is entered differently. For example, if certain data is entered as line segments in one program and a polygon in the other program, there may be discrepancies in the results. Further training in GIS technology is recommended prior to using GIS technology

Global Positioning System (GPS) Geographic Information System (GIS)