(A) Definitions
(1) "Public land" is land that is
owned, controlled, or administered by the state of Ohio or by any political
subdivision of the state.
(2) "Archaeological preserve" is a
property upon which significant archaeological sites are located and for which
the Ohio historical society has accepted articles of dedication pursuant to
section 149.52 of the Revised Code.
(3) "State registry of archaeological
landmarks" is a registry of Ohio's significant archaeological sites that is
maintained by the Ohio historical society pursuant to section 149.51 of the
Revised Code.
(4) "Historic properties" are sites,
structures, buildings, places, objects, and districts that meet the criteria of
the state registry of archaeological landmarks, the definition of
archaeological sites as written in section 149.52 of the Revised Code, the
state registry of historic landmarks or the national register and which possess
archaeological data.
(5) "State registry of historic
landmarks" is a registry of Ohio's significant historic and/or architectural
buildings, structures, places, and districts that is maintained by the Ohio
historical society pursuant to section 149.55 of the Revised Code.
(6) "National register" means the
national register of historic places, which is a register of districts, sites,
buildings, structures, and objects significant in American history,
architecture, archaeology, engineering and culture maintained by the secretary
of the interior.
(7) "History" comprises the events,
patterns, and processes of the human past, including those that have affected
literate societies and those that have affected preliterate or nonliterate
groups, whose history is sometimes referred to as prehistory.
(8) "Significant data" are data that
can be used to answer research questions, including questions of present
importance to scholars and questions that may be posed in the
future.
(9) "Archaeological data" are
embodied in material remains (artifacts, structures, refuse, etc.) produced
purposely or accidentally by human beings, and in the spatial relationships
among such remains.
(10) "Historical data" are data
useful to the study and understanding of human life during the period since the
advent of written records in the area of concern. The date of inception of the
historic period varies within the United States.
(11) "Prehistoric data" are data
useful to the study and understanding of human life during the prehistoric
period, i.e., all time periods prior to substantial contact between the native
people of the United States and literate societies. The end point of the
prehistoric period varies from area to area within the United
States.
(12) "Scientific data" are data
provided by disciplines other than archaeology, history, and architecture, that
are relevant to an understanding of human life during either historic or
prehistoric periods. Ethnographic, biological, geological, ecological,
geophysical, and paleontological data, among others, are often important to the
understanding of the human past.
(13) "Location and assessment
studies" are studies necessary to locate and to evaluate historic properties.
All require literary research; if existing data do not permit the adequate
location and assessment of historic properties, field inspection will likely be
necessary.
(14) "State historic preservation
officer" means the person authorized by the governor of Ohio at the request of
the secretary of the interior for purposes of implementing the National
Historic Preservation Act of 1966, Public Law 89-655.
(15) "Data recovery" is the
systematic retrieval of the scientific, prehistoric, historic, and/or
archaeological information that provides an historic property with its research
value. Data recovery may include preliminary survey of the affected historic
property or properties for purposes of the development of specific plans for
research activities, excavation, relocation, preparation of notes and records,
and other forms of physical removal of data and the material that contains
data, protection of such data and material, analysis of such data and material,
preparation of reports on such data and material, and dissemination of reports
and other products of the research. Examples of data recovery include
archaeological research producing monographs, descriptive and theoretical
articles, study collections of artifacts and other materials; architectural or
engineering studies resulting in measured drawings, photogrammetry and
photography, historic and anthropological studies of recent or living human
populations relevant to the understanding of historic properties, and
relocation of properties whose data value can best be preserved by so
doing.
(16) "Material" means actual objects
retrieved from an historic property as part of a data recovery program,
including, but not limited to, artifacts, byproducts of human activity such as
flakes of stone, fragments of bone, and organic waste of various kinds,
architectural materials and details, soil samples, pollen samples, skeletal
material, and works of art.
(17) "Principal investigator" means
the contractor or person directly responsible for a location and
identification, assessment, or data recovery project.
(18) "Research design" is a plan
outlining the proposed approach to a location, identification, or data recovery
project. Minimally, the design shall spell out relevant research problems,
research methods, and some predicted results of the study. Research designs may
be modified as the course of research yields new findings.
(19) "Research methods" are
procedures and techniques used to record, recover, and/or analyze a body of
data such that conclusions may be drawn concerning research
problems.
(20) "Research problems" are
important questions relevant to anthropology, sociology, geography, history,
architectural history, art history, and other disciplines of the sciences and
humanities that can potentially be answered by studying historic properties.
Scientific, prehistoric, historic and archaeological data are valuable insofar
as they apply to the investigation of research problems. Research problems are
typically posed as questions about human behavior, thought, or history.
Potential answers to such questions, and the ways in which such answers may be
contained in the data from specific historic properties are often spelled out
in research designs as hypotheses.
(21) "Ohio Archaeological Council" is
a private, non-profit organization of professionally competent archaeologists
which provides archaeological consultation, aid, and service to citizens and
state and federal agencies.
(B) Guidelines for the investigation
of archaeological properties (modified after 36 Code of Federal Regulations,
Part 66).
(1) General conduct of location and
assessment studies
The requirements of section 149.54 of the Revised Code and of
this rule shall not apply to any department, agency, unit, instrumentality, or
political subdivision of the state. Although the specific activities necessary
for the identification of historic properties may vary, the following steps
will generally be included.
(a) Background research and
evaluation of existing data
(i) Since few areas of the state have
yet been adequately surveyed for historic properties, current lists of such
properties seldom provide information sufficient for location and assessment
studies. Documentary research is the starting place for any location study.
Systematic study and evaluation of data may permit predictions about the kinds
of historic properties that may be encountered in the area and about their
possible distributions. Such study may also make it possible to develop a broad
evaluatory framework within which the significance of particular properties can
be judged. Finally, background research may pinpoint some properties that are
already adequately documented, or properties that are known but need further
study to obtain full documentation. In undertaking background research, answers
to the following questions should be sought:
(a) Are there known historic
properties in the area?
(b) Is knowledge about the presence
or absence of historic properties based on a survey or surveys carried out
according to the standards set forth herein?
(c) To what extent are survey data
lacking?
(d) If the area has not been
systematically surveyed, what predictions can be made about the location or
kinds of historic properties expected, based on data from already surveyed
areas, from the known history of the area, from the constraints imposed by the
natural environment, etc.?
(e) Given the known history and
prehistory of the region, the social and cultural concerns of its people, and
pertinent state, local, and regional plans, what preservation and/or research
priorities appear to be appropriate, and what kinds of historic properties
might be important to the satisfaction of these priorities?
(ii) The person
undertaking a location and assessment study should be vigorous in searching out
useful sources of data, and should encourage innovative approaches in their use
to predict the locations of properties and to develop evaluatory frameworks. It
must be recognized, however, that some institutions and organizations that
maintain lists, files, or other bodies of unpublished data are legitimately
concerned about the integrity of these documents and/or about the cost involved
in permitting their use; these concerns should be ascertained and, if
legitimate, honored. At least the following sources of background data should
be consulted:
(a) The state historic preservation
plan maintained by the state historic preservation officer, to obtain such data
as:
(i) Information on properties listed
in, nominated to, or determined eligible for listing in the national register,
properties on the state registry of archaeological landmarks and state registry
of historic landmarks, properties in the Ohio historic and archaeological
inventories, and properties on which the state has evaluated and unevaluated
survey data;
(ii) Information on predictive data
regarding potential properties in the area;
(iii) Recommendations as to the need
for surveys in the area;
(iv) Recommendations concerning
methods that should be used in conducting such surveys and possible sources of
professional expertise;
(v) Results of any previous surveys
in the area and the state historic preservation officer's comments thereon;
and
(vi) Recommendations concerning
pertinent state or local laws and policies concerning historic
properties.
(b) Basic published and unpublished
sources on local history, prehistory, anthropology, ethnohistory, and ecology
should be studied to obtain an overview of the region's potential historic
property distributions and research or preservation values.
(c) The national register and other
lists or files of data on historic properties should be consulted. A list of
properties added to the national register each year is published annually in
the "Federal Register."
National register listings are also accompanied by a list
of properties of federal and nonfederal ownership which have been determined to
be eligible for inclusion in the national register as well as a list of pending
nominations. The catalogs of the historic American buildings survey and the
historic American engineering record maintained by the national park service,
and any similar surveys and published reports should be utilized. State,
university, or professional society historians, architects, architectural
historians, archaeologists, and local organizations may also have registers,
inventories, catalogs, or other lists of sites or areas with known or presumed
historic values.
(d) Persons with first-hand knowledge
of historic properties and/or their historic values should be interviewed where
feasible and appropriate. Such interviews, and a proper respect for the
opinions expressed by those interviewed, are of particular importance where
properties of cultural importance to local communities or social groups may be
involved.
(iii) Background research should be
undertaken by or under the supervision of professional historians,
architectural historians, historical architects, and/or archaeologists. It will
often be necessary to draw upon the services of specialists such as
ethnohistorians, anthropologists, sociologists, and cultural geographers to
make adequate use of available documentary data.
(b) Field inspection. If review and
evaluation of existing information yields incomplete data based upon prior
professional examination of the area, then the background research should be
supplemented by direct examination of the area subjected to environmental
impact.
Field inspection must be performed by qualified, competent
historians, archaeologists, architectural historians and/or historical
architects and such other specialists as local circumstances dictate.
The nature of the area will also affect the kinds of methods
that must be employed to identify and record historic properties. Terrain,
vegetation, land ownership and other factors will also affect the time required
to conduct an inspection and the kinds of techniques that will be required to
complete it.
Adequate records must be kept of all inspections to indicate
clearly what lands were inspected, the degree of intensity with which they were
inspected, the kinds of historic properties sought, all historic properties
recorded, and any factors that may have affected the quality of the
observations.
(2) Special considerations with
respect to submerged lands
For submerged lands documentary research by qualified researchers
may serve to indicate the need for, and recommended location of, physical
and/or electronic surveys for submerged archaeological sites and sunken
vessels.
(3) Documenting location and
assessment studies
The nature and level of specificity required in documenting a
location and assessment study may vary with the scope and kind of project for
which the study is conducted, the kinds of information available about the area
studied, and other factors. In general, it is necessary to document the methods
used in conducting the study, the assumptions that guided the application of
the methods, the results of applying the methods, and any deficiencies in these
results that may have arisen from the application or misapplication of the
methods. The report of a location and assessment study should contain the types
of information detailed in paragraph (C) of this rule.
(4) Data recovery
operations
Data recovery program operations carried out under the provisions
of section 149.54 of the Revised Code should meet at least the minimum
standards detailed in paragraph (C) of this rule. All operations are to be
conducted under the supervision of appropriately qualified professionals.
Qualifications required for professionals are set forth in paragraph (D) of
this rule.
(5) Protection of data and
materials
Data recovery programs result in notes, photographs, drawings,
plans, computer output, and other forms of information. They also may result in
the acquisition of architectural elements, artifacts, soil, bone, modified
stones, pollen, charcoal, and other physical materials subject to analysis,
interpretation, and/or display.
Data and material resulting from a data recovery program should
be in the custody of a qualified institution. A "qualified institution" is one
equipped with space, facilities, and personnel adequate to curate, store, and
maintain the recovered data and material. The exact nature of the requisite
space, facilities, and personnel will depend on the kinds of data and material
recovered.
(6) Provision of reports
Pursuant to section 149.54 of the Revised Code, any person
performing a location survey, assessment survey, or excavation under the
provisions of this rule shall provide the director of the Ohio historical
society with two quality copies of reports conforming to the specifications
listed in paragraph (C) of this rule.
(C) Specifications for reports of
archaeological services
These specifications for reports of archaeological services were
established by the "Ohio Archaeological Council" and adopted for use as review
criteria by the Ohio historical society.
Archaeological services report. The report shall, in form and
substance, conform to recognized professional standards applicable to
archaeological reports. The report is designed to provide the director of the
Ohio historical society with the inventory, statements of archaeological
significance, and a means for the management of archaeological resources. The
report is also designed to provide a systematic body of data for future
evaluation and research. The specifications are not designed to exclude
categories of information not listed nor to offer a rigid format for the final
report. The reports should consist of the appropriate sections for the type of
archaeological services being conducted. Sections applicable to specific types
of research are outlined in paragraph (C)(2) of this rule.
(1) Report categories
(a) Introductory
statements
(i) Title page.
(a) Title, author, principal
investigator, date of submission.
(b) Consulting firm/archaeologist,
address.
(c) Client for whom report is
prepared, address.
(d) Lead federal agency or state
agency, if applicable.
(ii) Table of
contents arranged in accordance with the sequence of topical headings with
corresponding page numbers.
(iii) Abstract (suitable for
publication) to include a resource management summary which summarizes the
research strategy, results, suggestions, and recommendations.
(iv) Introductory
statements
(a) A statement as to the purpose and
circumstances of the contracted archaeological services.
(b) General description of the
project and project area with appropriate mapping.
(b) The setting/environmental
background. This shall be a detailed description not only of the physiographic
province, but also of the project area with attention given to flora, fauna,
geology, soils and climatic history, and historic patterns of land use. Site
potential shall be discussed, e.g., chance of deeply buried sites on a flood
plain. The environmental background shall be described in a way to provide
information on resource utilization potential, e.g., soils favorable for
cultivation, availability of raw lithic resources.
(c) Previous research and literature
search. This shall be a comprehensive and detailed review of past and current
archaeological and historic investigations of the project area and surrounding
region, including but not limited to, the following:
(i) Names of investigators or
institutions.
(ii) Dates, extent,
results, and adequacy of previous research as it reflects on the interpretation
of what might be found in the project area.
(iii) Location and nature of field
notes, unpublished manuscripts, and collected materials.
(iv) Statement that
a check has been made of the national register, the state registry, the Ohio
archaeological inventory, regional archaeological files (universities, museums,
regional preservation offices, societies), and appropriate state, county, and
local histories.
(d) Cultural
development/archaeological background. The project area shall be placed in its
regional setting with respect to the known cultural history. This shall include
a description of the major outlines of prehistoric and historic cultures of the
project area, including chronology, settlement and subsistence patterns, and
any other significant data available.
(e) Field methods and
techniques
(i) Sampling strategy. Description
and justification;
(ii) Field
techniques:
(a) A description and justification
of the field techniques employed.
(b) Environmental conditions during
the survey and their effects upon the survey results.
(c) A description of data collecting
techniques, and types of data collected (e.g., artifacts and cultural debris as
well as spatial relationships between them), sampling techniques (complete,
systematic, or specific form of random sampling), and artifact-retrieval
procedures.
(d) Procedures used to locate
landowners, collectors, and others knowledgeable in the archaeological
resources.
(e) Controls, if utilized, for
personal bias.
(iii) Data recording
requirements:
(a) Dates of fieldwork.
(b) Measuring devices and
circumstances when used and not used.
(c) Graphic as well as written
summary descriptions of all surface and subsurface collection units, including
any limitations of access. The description of the survey route should include
spacing and number of traverses. Descriptions of test units employed, including
graphic locations at appropriate scale, should be included.
(d) When cultural materials are
encountered, the following information is required:
(i) Surface survey. Indicate methods
utilized to determine density and extent of recovered materials.
(ii) Subsurface survey. Information
on each of the test units should minimally include:
(A) The location and size of each unit
within the site.
(B) The types of levels excavated (natural,
cultural or arbitrary) and the justification for such techniques.
(C) A description of all natural and/or
cultural material observed and/or collected within the test units including
soil descriptions and the description, dimensions and interpretation of any
features encountered. Graphic representations of all test pit locations,
profiles and features should be included.
(f) Description of analytical
techniques. Laboratory and analytic methods should be summarized so that they
are clear to other researchers, minimally including:
(i) Classificatory scheme (typology)
or schemes used in artifact description and analysis. If using a scheme
developed by another archaeologist, give full reference.
(ii) Method of
chronological determination (typological, radiometric, etc.).
(iii) Other special analytical
methods and techniques (e.g., predictive models).
(iv) The curation
location of all artifacts and research data (including field notes) must be
specified. This curation must be open to inspection by the director of the Ohio
historical society or the director's duly authorized representatives. The final
disposition of all data must be acceptable to the director of the Ohio
historical society.
(g) Site descriptions. This section
shall include the following information:
(i) A completed Ohio archaeological
inventory form which must be referenced here but may be appended.
(ii) A general
description of the site location.
(iii) The environmental setting
including topography, proximity to water, soils, and elevation.
(iv) Dimensions and
boundaries of the site.
(v) The nature and amount of previous
disturbance.
(vi) The materials
recovered, including a description of the assemblage or assemblages with
illustrations and distribution tables. Illustrations of the materials collected
should include photographs and/or line drawings of all diagnostic artifacts
when reasonable or should, in case of a large quantity of recovered material,
include representative examples of those materials.
(vii) The cultural/temporal
affiliation(s), if known.
(viii) A discussion of the potential
impact of the project on the site, if applicable.
(ix) A statement of
significance and recommendations for further work. Statements of significance
for each site located are determined by historic, scientific, and social
values. Such statements will consider, but not be limited to, the following
definitions:
(a) Historical value of cultural
resources depends on the potential for identification and reconstruction of
specific cultures, periods, lifeways, processes, and events. Cultural resources
are historically significant if they provide a typical or well-preserved
example of a prehistoric or historic tribe or society, period of time, or
category of human activity. Archaeological remains are also historically
significant if they can be associated with an identifiable individual, event,
or aspect of history.
(b) "Scientific value" is the
potential for using cultural resources to establish reliable generalizations
concerning past societies and cultures and deriving explanations for the
differences and similarities between them and for their development through
time. Much of the same data is used for both scientific purposes and historic
studies, but the treatment and scope of the information differ. Generalizations
and explanations require controlled comparison of statistically representative
samples of all types of data relevant to past human life. Samples include
artifacts, settlements, dietary remains and evidence of past environments.
Scientific significance depends on the degree to which archaeological resources
in the project or program area constitute a representative sample of data which
can be used in comparative studies. The value of these data is determined in
the regional context of the project or program area and in relation to general
anthropological or historical problems.
The scientific significance of cultural remains is assessed
by consideration of a variety of factors, including:
(i) The relative abundance of the
resources.
(ii) The degree to which specific
resources and situations are confined to a given area.
(iii) The quality of preservation
conditions as it relates to the potential for future research.
(iv) The cultural and environmental
relationships of the archaeology of a given area to the surrounding province or
provinces.
(v) The variety of evidence for human
activities and their environmental surroundings that is contained within a
given area.
(vi) The range of research topics to
which the resources may contribute.
(vii) Special deficiencies in current
knowledge that the study of these resources may elucidate.
(c) Social value consists of direct
and indirect ways by which society at large benefits from study and
preservation of cultural resources, including:
(i) The acquisition of knowledge
concerning man's past.
(ii) Indirect benefits received by
educational and research institutions and their communities, including
opportunities for professional training.
(iii) The acquisition and
preservation of objects and structures for public exhibit and
enjoyment.
(iv) Educational and economic
benefits from tourism attracted by archaeological and historical
exhibits.
(v) The practical application of
scientific findings acquired in archaeological and historical
research.
(vi) The preservation of areas
significant for ethnic groups.
(h) Eligibility assessment. When
sufficient information is available, each site shall be evaluated in terms of
its eligibility for listing on the national register of historic places and the
state registry of archaeological landmarks. The investigator must state the
justification for considering any resource eligible for these
registries.
(i) In such a consideration, the following
national register criteria will apply to all cultural properties possessing
historical, architectural, archaeological, or cultural value located within the
area of the actual or proposed project's potential environmental impact.
"National register criteria" means the following criteria established by the
secretary of the interior for use in evaluating and determining the eligibility
of properties for the national register. The quality of significance in
American history, architecture, archaeology, engineering, and culture is
present in districts, sites, buildings, structures, and objects of national,
state and local importance that possess integrity of location, design, setting,
materials, workmanship, feeling and association, and:
(a) That are associated with events that
have made a significant contribution to the broad patterns of our history;
or
(b) That are associated with the lives of
persons significant in our past; or
(c) That embody the distinctive
characteristics of a type, period, or method of construction, or that represent
the work of a master, or that possess high artistic values, or that represent a
significant and distinguishable entity whose components may lack individual
distinction; or
(d) That have yielded, or may be likely to
yield, information important in prehistory or history.
Ordinarily historic cemeteries, birthplaces, or graves of
historical figures, properties owned by religious institutions or used for
religious purposes, structures that have been moved from their original
locations, reconstructed historic buildings, properties primarily commemorative
in nature, and properties that have achieved significance within the past fifty
years shall not be considered eligible for the national register.
(ii) An archaeological property,
prehistoric or historic, is eligible for listing in the state registry of
archaeological landmarks if it:
(a) Possesses integrity of location,
context, or materials; and
(b) Has yielded, or may be likely to yield,
information important in furthering the understanding of prehistory or
history.
An archaeological property can include, but is not limited
to, any village, earthwork, mound, burial, campsite, quarry, prehistoric or
historic ruin, or other location which is or may be the source of important
archaeological data.
(iii) In addition
to these basic statements of national register and state registry criteria, the
following twenty categories of archaeological information taken singly or in
any combination, are regarded as elements of significance:
(a) Chronology;
(b) Stratigraphic
sequence;
(c) Short time period (single
component site);
(d) Long time period (multiple
component site);
(e) Extreme antiquity;
(f) Historic contact;
(g) Ethnic identity;
(h) Geographic
distribution;
(i) Culture contact;
(j) Culture history;
(k) Socio-cultural
processes;
(l) Uniqueness of cultural
expression;
(m) Rich assemblage;
(n) Replication of pattern
evidence;
(o) Potential for testing
techniques;
(p) Degree of
disturbance;
(q) Place in history of
archaeology;
(r) Potential for public
interpretation;
(s) Potential for training
professional archaeologists;
(t) Potential for interpreting a
particular prehistoric culture.
(i) Summary and recommendations. The
summary section should discuss the following items:
(i) Methodology.
(ii) Findings.
(iii) Evaluation of
findings including:
(a) The theoretical orientation of
the principal investigator and/or author's bias and assumptions shall be
explicitly stated as they pertain to this cultural resource.
(b) The significance of each site in
terms of its scientific, archaeological, historical or cultural value. If the
examination did not offer an opportunity to gain data sufficient to arrive at a
satisfactory conclusion, offer recommendations for further
research.
(c) Primary impact.
(d) Secondary impact.
(iv) When
applicable, the principal investigator shall consider mitigation possibilities
and evaluate the most appropriate and feasible alternative for sites within the
project area. This section of the report should offer suggestions
for:
(a) Protecting any portion(s) of the
site, or sites, that will remain after examination from damage or
destruction.
(b) Protecting any site, sites, or
portions of a site that are proven or suspected to be either directly or
indirectly affiliated (e.g., culturally, spatially, etc.) with the site or
sites under investigation.
(c) Interpreting the site or sites
for public information and educational programs.
(j) Required appendices:
(i) Bibliography and field contacts
(names and addresses).
(ii) United States
geological survey seven-and one-half-inch quadrangle map showing project and
site locations to scale.
(iii) Ohio archaeological inventory
forms.
(iv) Survey
permits, if applicable.
(v) Archaeological services proposal
(budget and curriculum vitae of principal investigator may be
omitted).
(2) Final report. The following is a
list of the report categories in paragraph (C)(1) of this rule, required for
the type of research being conducted. Since literary research, location,
eligibility assessment and excavation are frequently sequential activities for
the same project, report categories previously published may be
referenced.
(a) Literature research:
(i) No sites. Paragraphs (C)(1)(a),
(C)(1)(b), (C)(1)(c), (C)(1)(d), and (C)(1)(j) of this rule.
(ii) Known or
suspected sites within project area. Paragraphs (C)(1)(a), (C)(1)(b),
(C)(1)(c), (C)(1)(d), (C)(1)(f), (C)(1)(g), and (C)(1)(h) of this rule if
applicable.
(b) Location:
(i) No sites. Paragraphs (C)(1)(a),
(C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(e), and (C)(1)(f) of this rule if
applicable; and paragraphs (C)(1)(i) and (C)(1)(j) of this rule.
(ii) Known sites.
Paragraphs (C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(e), (C)(1)(f),
(C)(1)(g), and (C)(1)(h) of this rule if applicable; and paragraphs (C)(1)(i)
and (C)(1)(j) of this rule.
(c) Eligibility assessment. All
report categories are applicable.
(d) Excavation. All report categories
are applicable.
(D) Personnel
qualifications
(1) Paragraph (D)(3) of this rule
describes the evaluation criteria prescribing minimum education, training and
experience requirements for persons in charge of or otherwise engaging in
public archaeology in Ohio. These criteria, developed by the "Ohio
Archaeological Council," will be used by the director of the Ohio historical
society and his staff archaeologists to evaluate the competence of applicants
that apply for permission to conduct archaeological investigations on public
land, archaeological preserves, and sites listed on the state registry of
archaeological landmarks.
(2) Four phases of archaeological
investigation with corresponding personnel qualifications have been identified
for the purposes of this rule. They are:
(a) Phase one: literature research.
The purposes are to locate existing information from published literature and
unpublished documents or other sources regarding known or suspected
archaeological resources (including sites and site collections) in an area, and
to summarize these data for effective use in managing those resources. Phase
one is a preliminary step in cultural resource management which will not
usually satisfy the data requirements of environmental impact statements or
other evaluations of a project's impact on archaeological
resources.
(b) Phase two: location. The location
phase accommodates a broad spectrum of archaeological survey with the common
objective of locating archaeological resources in an area of proposed impact as
an in-the-field activity. Location studies may be conducted on several levels
consistent both with federal regulations (36 Code of Federal Regulations, Part
66) and with the nature and objectives of specific projects.
At one end of this spectrum is low-intensity reconnaissance of
an area's archaeological resources and potential data yield. In addition to
identifying obvious or well-known sites, the existence of sites in suspected
locations represented in the literature or by informant interview may be
determined and an impression gained of the topographic settings in which sites
are likely to occur. Such a survey may provide planning guidance during the
early stages of a project to aid in selecting the specific area(s) to be
directly impacted. Predictive data on the nature and distribution of
archaeological sites and archaeologically sensitive areas may also be derived
before developing more detailed survey strategies.
More comprehensive approaches to archaeological survey commonly
include sampling designs and subsurface testing which may not result in the
identification of all existing archaeological resources in the area to be
affected. Sampling may involve varying degrees of random or selected
procedures, including systematic designs representing statistically valid
samples providing detailed and meaningful predictive models for the entire
area. Testing is commonly coordinated with or incorporated into a sampling
strategy and is undertaken in an effort to identify sites whose superficial
indications are obscured and/or to clarify or amplify relevant data. Deriving
from these activities should be at least limited justification for protective
stipulations for certain sites identified. Information gained is therefore
evaluated, but not necessarily to determine the eligibility of specific sites
for inclusion in the national register of historic places or the Ohio state
registry of archaeological landmarks.
(c) Phase three: eligibility
assessment. The purpose of this activity is to collect and evaluate adequate
data from a known site or sites and/or from one or more areas known or
suspected to be archaeologically sensitive specifically to serve as the basis
for determining eligibility for inclusion in the national register of historic
places or the Ohio state registry of archaeological landmarks. The eligibility
assessment is usually conducted in the specific area that will be impacted and
is commonly preceded by a systematic effort to identify all existing sites in
that area. Research designs consistent with the objective of this phase should
include the preconceived development of explicit, systematic sampling and
subsurface testing strategies, the classification and analysis of resulting
data and materials appropriate to a responsible evaluation of the local, state
or national significance of the site(s)/area(s), and detailed justifications
for protective stipulations. Specific recommendations for the future
disposition of all identified sites/areas should be offered, particularly those
believed to be eligible for registry inclusion and/or those which it is
believed should be excavated if their avoidance is not a feasible alternative,
along with sufficient information about them upon which to base such
decisions.
(d) Phase four: excavation. The
purpose of this activity is to mitigate the adverse effects of proposed
projects on the archaeological resources of an area by recovery and analysis of
data and material remains through excavation that is either total or at least
more intensive in scope than the sub-surface investigation that was
accomplished in phase three. Phase four is applicable in those cases where it
is agreed that avoidance is not feasible.
(3) Personnel qualifications. Four
levels of evaluation criteria are hereby created which correspond with each of
the four phases of archaeological work described in paragraph (D)(2) of this
rule. The evaluation criteria for each of these levels are as
follows:
(a) Level one. Literature
research:
(i) Education. Successful completion
of a baccalaureate degree with specific course work in archaeology and/or local
prehistory; and/or
(ii) Experience. A
demonstrated capacity to conduct quality library/archival research as evidenced
by archaeological reports, papers, publications or bibliographies.
Archaeological field experience is highly desirable but is not
requisite.
(b) Level two. Location:
(i) Education. Successful completion
of a baccalaureate degree in anthropology, archaeology, or related discipline
with specific course work in archaeology, or, its equivalent as evidenced by
significant letters of recommendation/reference, published reports, or other
documentary evidence. In addition, postgraduate work in archaeology and
specific familiarity with Ohio's archaeological resources are highly
recommended; and
(ii) Experience.
Satisfactory completion of at least sixteen weeks of field experience including
survey work, at least eight weeks of which must have been in some field
assistant or other supervisory capacity. This field experience must have
included at least one continuous experience of no less than four weeks'
duration. In addition, the archaeologist must possess the skills and competence
necessary to plan and execute archaeological survey work, perform relevant
laboratory research and analysis of recovered materials, and possess the
ability and discipline to complete an appropriate report of all field and
laboratory findings.
(c) Level three. Eligibility
assessment:
(i) Education. Successful completion
of at least one academic year of graduate studies in anthropology, archaeology,
or a related discipline with specific graduate course work in archaeology, or,
its equivalent as evidenced by significant letters of recommendation/reference,
published reports, or other documentary evidence. Specific familiarity with
Ohio's archaeological resources is requisite; and
(ii) Experience.
Satisfactory completion of at least eighteen weeks of field experience
including both survey and excavation, at least twelve weeks of which must have
been in some field assistant or other supervisory capacity. In addition, the
ability to plan and administer archaeological research projects, including the
conception and execution of appropriate sampling designs, laboratory analysis,
and final report preparation must be demonstrated.
(d) Level four.
Excavation:
(i) Education. Successful completion
of a postgraduate degree in anthropology, archaeology, or related discipline
with a specialization in archaeology, or, a demonstrated equivalency, such as
admission to Ph.D. candidacy; and
(ii) Experience.
Satisfactory completion of at least thirty-six weeks of field and laboratory
experience including significant proportions of survey, excavation, and
laboratory analysis. At least half of this experience must have been in a
directly supervisory capacity, or twenty-four weeks of such field and
laboratory analysis, at least sixteen weeks of which must have been in a
directly supervisory capacity. In direct compliance with 36 Code of Federal
Regulations, Part 66, the archaeologist must have completed at least sixteen
months of professional experience and/or specialized training in archaeological
field, laboratory or library research, administration, or management, including
at least four months experience and/or specialized training in the kind of
activity (North American archaeology) the individual proposes to practice;
and
(iii) Scholarship. The archaeologist
must demonstrate competence in archaeological scholarship by having published
an academically acceptable article, report, or monograph, or have authored such
a report; and
(iv) Administration
and planning. The archaeologist must demonstrate the ability to successfully
plan and administer an archaeological excavation project, including research
design, sampling design, budgetary responsibility, logistics, and personnel
deployment.
(E) Permit to conduct archaeological
investigations
(1) A permit to conduct
archaeological investigations on public land, archaeological preserves and
registered archaeological landmarks must be obtained from the director of the
Ohio historical society. Permit application forms are available upon request
from the "Ohio Historical Society, Historic Preservation Division, I-71 and
17th Avenue, Columbus, Ohio 43211."
(2) The director of the Ohio
historical society may grant a permit to applicants who:
(a) Have the qualifications
appropriate for the phase of archaeological investigation proposed;
and
(b) Agree to conduct such activities
in accordance with the provisions of this rule.
Under ordinary circumstances a permit shall be granted to the
applicant within thirty days of the submission of a complete permit application
form. A permit constitutes authorization by the director to the applicant to
engage in archaeological survey or salvage work on the location(s) described in
the application in accordance with the representations made in the application
and the provisions of this rule.
The permit is contingent upon the applicant's procurement of
permission to conduct the proposed archaeological investigation from the
property owner(s) of the location(s) described in the application. A permit may
be extended or amended upon written approval from the director. The applicant
must submit a written request to the director to extend or amend the provisions
of a permit. If archaeological survey or salvage work is conducted by applicant
which is contrary to the representations made in the application or the
provisions of this rule, the permit may be revoked by the director upon written
notice to the applicant and such activity shall be considered unauthorized and
the applicant will be subject to prosecution under section 149.54 of the
Revised Code, for engaging in archaeological survey or salvage work without a
written permit.
(3) The director of the Ohio
historical society may deny the applicant permission to engage in
archaeological investigations at the proposed locations if the applicant's
proposed undertaking will not comply with the provisions of this rule. However,
the director of the Ohio historical society shall first notify the applicant in
writing of what is necessary to effect compliance with this rule. If such
notice proves unavailing in bringing the applicant's proposed undertaking into
compliance with this rule and at least thirty days have elapsed since it was
sent, the director of the Ohio historical society shall comply with the
provisions of Chapter 119. of the Revised Code prior to the issuance of an
order denying the applicant permission to proceed with the proposed
undertaking, including the following:
(a) Notice shall be given to the
applicant by registered mail, of his right to a hearing on the question of
whether or not a permit is granted.
(b) The notice shall include the
reason(s) for such proposed action, the law or rule directly involved, and a
statement informing the applicant he is entitled to the hearing, if he requests
it, within thirty days of the time of mailing the notice.
(c) The notice shall also inform the
applicant that he may appear in person or by his attorney, or may present his
position, arguments, or contentions in writing, and that at the hearing he may
present evidence and examine witnesses.
(d) If the applicant requests a
hearing, the director of the Ohio historical society shall set the time, date
and place for such hearing and notify the applicant thereof. The date of the
hearing shall be within fifteen days, but not earlier than seven days, after
the applicant has requested the hearing, unless otherwise agreed to by the
parties.
(e) Any party adversely affected by
any order of the director of the Ohio historical society issued pursuant to an
adjudication denying an applicant permission to engage in archaeological
activities on public land, archaeological preserves or on registered
archaeological landmarks, may appeal to the court of common pleas of the county
in which the place of business of the applicant is located or the county in
which the applicant is a resident. If any such party is not a resident of and
has no place of business in Ohio, he may appeal to the court of common pleas of
Franklin county.
(4) Whoever violates section 149.54
of the Revised Code is guilty of a misdemeanor of the second degree. Whoever
violates or threatens to violate section 149.54 of the Revised Code may be
enjoined from violation.
