HomeMy WebLinkAbout; City of Carlsbad Cultural Resources Guidelines; Cultural Resources; 1990-12-01Prepared for:
City of Carlsbad
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CITY OF CARLSBAD
CULTURAL RESOURCE GUIDEUNES
RECON with Modifications by the City Planning Department, Brian F. Smith & Associates and the
Carlsbad Historic Preservation Commission
December 1990
TABLE OF CONTENTS
I. INTRODUCTION . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
II. GENERAL STATEMENT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
III. MINIMUM QUALIFICATIONS FOR CULTURAL RESOURCE PROFESSIONALS . . . . . . 2
IV. REQUIREMENTS FOR ARCHAEOLOGICAL OR HISTORICAL SURVEYS AND
TESTING PROGRAMS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
V. IMPACT ANALYSIS AND MITIGATION ALTERNATIVES . . . . . . . . . . . . . . . . . . . . . 10
VI. CRITERIA AND METHODOLOGY FOR COMPLETING A DATA RECOVERY
PROGRAM, PHASE III ............ , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
VII. REFERENCES CITED . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
ATTACHMENTS
1: Archaeological Resource Management Reports (ARMR): Recommended Contents and Format
2: Summary of Applicable Legislation
3: Research Themes for Cultural Resource Data Recovery Programs in the City of Carlsbad
4: Persons and Agencies Consulted
I. INTRODUCTION
The City of Carlsbad has developed the following guidelines for the treatment of cultural
resources within the city. These guidelines were prepared with the use of federal funds from the
National Park Service, Department of the Interior, which are administered through the State Office
of Historic Preservation, California Department of Parks and Recreation. These guidelines conform
with city, state, and federal laws and with the Secretary of the Interior's Standards for Archaeology
and Historic Preservation for Planning, Identification, and Evaluation.
The guidelines establish a standard of performance for investigations of cultural resources
within the city and present a systematic method of preserving them. Carlsbad is an area which has
proven to be rich and varied in cultural resources. The adverse effects of development on these
resource areas must be considered in all instances of environmental review. These guidelines are
designed to enable City Planning staff to effectively evaluate cultural resource reports and protect
cultural resources, and to inform project applicants and consultants about the City's requirements.
The key elements of archaeological/historical studies needed for CEQA compliance include
field surveys and literature reviews (record searches, historical document research, etc.) to identify
the presence of, or potential for, cultural resources within a project under discretionary review; the
testing of any resources discovered to determine their physical characteristics and significance; the
use of the information derived from the site testing to complete an impact analysis and to determine
whether the proposed action will directly or indirectly impact the resource(s) and if those impacts
are significant; and lastly, the development of appropriate measures to mitigate the potential
adverse impact to the cultural resources. A chart depicting the general process of archaeological
investigation is presented on page 2.
The guidelines are organized to first provide a background for understanding the nature of
cultural resources and the legal requirements involved in their treatment. Subsequent sections
present the required qualifications for professional consultants, the phases of resource identification
and impact mitigation, and specific requirements for individual types of resour-ces. A guide for the
preparation of cultural resource reports is provided in Attachment 1. Attachment 2 provides a
summary of applicable laws, and a list of research themes is presented in Attachment 3. Attachment
4 provides a list of the individuals consulted for information concerning the guidelines.
II. GENERAL SfATEMENT
These guidelines pertain to cultural resources from the prehistoric through historic periods
within the City of Carlsbad. A distinction is made between prehistoric and historic resources.
Prehistoric resources are objects and areas made, modified, or used by humans and the data
associated with--these sites, created during the period before written history. Common prehistoric
sites identified in the Carlsbad area include marine shell scatters, flake scatters, and sites with
midden deposits that reflect short or long term occupation and contain artifacts used for milling
food, hunting and foraging, and personal adornment.
Historic resources are defined as features of the built environment which retain substantial
structural and architectural patterning. Historic resources include such items as bridges and
engineering features, buildings, retaining walls, cisterns, sidewalks, landscapes, gardens, and planted
groves. Historic resources also include trash deposits, privies, structural ruins, foundations, and
1
(icncral l'rnccss of Archacolo,.:ical lnyesligalion
Application lor Development or Improvement Project
I
Discretionary Review Under CEQA Environmental Analysis Initiated
,:j (Initial Study, Constraints Study; Extended Initial Study, EIR)
' I
Determination of Need lor Archaeological Assessment --I Exempt r Nol Exempt-,
The project either previously Project is smaller than 5 acres in size and the projecl sening v Project is larger than 5 acres in size. j
severely impacted, or indicates that the potential lor cultural resources is remote. T previously studied and no ' I Complete survey and record search required l resources identified. .
An intu~ivo field review of tho silo by
~ an archaeologist is required.
Survey is negative. I ~ Survey is positive -historic or
prehistoric sites are previously
I Review is positive ~ A report of findings is submitted. recorded or discovered altho
Review is negative No mitigatton measures are project.
I required. I
A briettenar report is A field study is conducted to assess the
suHicienllo complete sign;ticance of lhe cultural resources.
the initial study.
I Resuhs of field study and any related
research information used to perform
impact analysis tor the project
Negative Declaration IJ No impact Impact I
-Resource is not significant, Resource is significant and
and impacts will not be potential impacts will be
adverse. No mitigation adverse. Mitigation measures
measures are necessary. necessary (either preserva·
Report must include lion or data recovery).
survey and test results, Report must include survey
and impacl analysis. and lesl resulls, impact
analysis, and miHgalion
alternatives.
Protect Approved/Denied Miligalion measures become a condition of approval. T --
earthworks. Common historical sites are structures or ruins that are at least 50 years old. In
Carlsbad, most historical sites are associated with the Mexican ranchos and the early American
homesteads and farms. Training and experience are required to assess and document each type of
resource. For example, archaeological, historical, and architectural expertise may be necessary to
properly assess and document a single historic-era property.
. In compliance with the California Environmental Quality Act (CEQA), enacted in 1970,
activities and development which "disrupt or adversely effect a property of historic or cultural
significance to a community or ethnic or social group" are subject to environmental review.
Further, the Historic Preservation Element of the General Plan of the City of Carlsbad recognizes
"a commitment to the management and preservation of the community's sites, structures, and
resources." To these ends, City Ordinance 9776 was enacted in 1985 establishing a Historic
Preservation Commission (HPC) to advise the City Council, Planning Commission, and Design
Review Board "in all matters relating to the identification, protection, retention, and preservation
of historic areas and sites within the City."
City Ordinance 9776 recognizes the diversity of cultural resources in the region by requiring
that three of the five regular commission members have expertise in "architecture, archaeology,
history, biology, engineering or geology or related field." In addition, the Ordinance requires the
establishment and maintenance of an inventory of significant cultural resources. The Carlsbad
Historic Resources Inventory (CHRI) may include "archaeological, paleontological, botanical,
geological, topographical, ecological, or geographical sites," as well as historic-era properties and
districts. Briefly, the criterion for inclusion to the inventory is that the resource have scientific
research value of historic significance. A discussion of the significance of cultural resources is
presented in Section N(A). Cultural resources found significant by the HPC are recommended to
the City Council for inclusion in the CHRI in one of the following categories: City Landmark,
Historic District, or Point of Interest. The HPC may review evaluations of significance and
mitigation programs for all cultural resources. At the discretion of the HPC, potential impacts to
resources ranked as Landmarks or Districts are subject to special protective measures.
The guidelines presented here are designed to assist City staff and the HPC in meeting the
goals of the General Plan during the planning and implementation stages of development. The
following sections outline the necessary steps for determining the need for a cultural resource
survey and the expected level of performance; instances when a testing program is necessary and
the extent to which testing is to be conducted; evaluation criteria for determining the need for data
recovery and/ or preservation programs. The guidelines also provide information concerning the
curation of recovered artifacts and the format of the professional reports (Attachment 1). A list of
research themes has also been provided (Attachment 3). These themes should be addressed during
data recovery programs and are intended as a means of directing research.
III-MINIMUM OUAIJFICATIONS FOR CULTURAL RESOURCE PROFESSIONALS
The following qualifications are the minimum requirements for Principal Investigator/Project
Archaeologist or Project Historian submitting projects to the City of Carlsbad. It is a requirement
of the City that an individual must, prior to undertaking cultural resource projects within the city
limits, demonstrate qualifications through submission of evidence attesting to experience and
education. Evidence should include a curriculum vitae, proof of academic performance, and a
sample of previously completed professional reports.
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This requirement will be waived for those individuals who have submitted acceptable
cultural resource investigation reports (historic or prehistoric) to the City during the period between
1987 and the adoption of these guidelines. This waiver will not apply to those individuals who
have only been responsible for prehistoric projects and wish to submit reports for historic period
· resources or for individuals who have only been responsible for historic resources and are
submitting prehistoric resource programs to the City. It will be necessary for these individuals to
demonstrate their experience and education before they can be considered qualified. Those
individuals who have not participated in a City project as Principal Investigator or Project
Archaeologist/Project Historian must submit evidence of qualifications to function in the capacity
of Project Principal and to submit reports to the City.
The following standards for education and experience are the minimum requirements for
cultural resource consultants responsible for cultural resource projects in the City of Carlsbad. The
consultant is qualified if he or she has completed a doctorate, advancement to candidacy for a
doctorate, or a masters degree in one of the disciplines discussed below, plus 1200 hours of
documented field and analytical experience at a supervisory level.. At least two-thirds of the
fieldwork experience presented for qualification must have been acquired in southern California .
. One third of an individual's experience should be analytical and two-thirds should be field
· experience. Placement on the City list of qualified consultants will be left to the discretion of the
Planning Director.
Academic degrees must be earned in one or more of the following disciplines:
anthropology, archaeology, historical archaeology, history or public history. Course work should
include archaeological field methods, artifact analysis and interpretation, archival research,
conservation, and preservation. For those individuals who have degrees in a closely related field,
practical experience and previous performance will be considered. Specialized training in
Architectural History, Architecture, Historic Architecture, or Historic Preservation may be required
when alternatives for preservation such as adaptive reuse are being considered. If the need for
architectural historian, architect, or other specialist is demonstrated, it will be necessary to provide
professional qualifications.
N. REQUIREMENTS FOR ARCHAEOLOGICAL OR HISfORICAI. SURVEYS AND TESTING
PROGRAMS
The City of Carlsbad requires that a cultural resource survey will be conducted for all
projects which have been submitted for environmental review. The exceptions to this requirement ·
are:
1. The Planning Department has on file the report of a valid previous survey performed
·by a ·qualified archaeologist and! or historian which proves that the project area has
no further research value.
2. The project area has no previously identified archaeological resources or historic
resources and has undergone natural or human impacts to the extent that cultural
resource potential has been lost. Impacts defined at this level of destruction would
not include off-road-vehicle activity, trash dumping, foot paths or dirt roads, disking,
brushing, landscaping, agricultural uses, or proximity to developed areas.
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3. If the property is less than five acres in size and no known resources are present in
the vicinity, a brief field visit of the property may be conducted by a qualified
consultant in lieu of a full survey. If the results of this intuitive review are negative,
a letter report to this effect may be submitted to the City. Conversely, if any
indications of cultural resources are detected, then a standard survey would be
required.
The City strongly recommends that cultural resource surveys be conducted for the purpose
of providing input during the planning stage of a development rather than as a reaction to an
existing, project plan. The result of the cultural resource survey can be used as constraint
information which can aid in designing a project, thereby providing protection for, rather than the
destruction of, the cultural resource. In this way, preservation of the resource becomes a more
economically feasible alternative, as the project has not been engineered such that the resource is
an impediment to development.
In certain instances, it is recommended that appropriate Native American groups and other
interested parties be consulted for input regarding possible sensitivities as part of the survey, testing
or data recovery program. Ethnohistoric and genealogical studies may be useful in providing
additional informatio~ concerning sites which have ethnic or community importance.
4.1 Survey Methodology
The purpose of Phase I surveys is to determine whether potentially significant cultural
resources are present within the project parcel, or within an area of secondary impact. Secondary
impacts include disruption of adjacent resources of recognized or potential significance as a result
of project development. Surveys will be conducted in a manner which insures that the entire Area
of Potential Effect (APE) as determined by the City, is covered as completely as possible. A standard
survey for cultural resources will include a literature search (record search) and an intensive field
reconnaissance of the ,entire project site.
Cultural resource surveys must be conducted by qualified professionals who have expertise
evaluating the types of resources found within the project APE. For example, historic resource
identification must be, completed under the supervision of an individual qualified as a historian,
architectural historian or historical archaeologist as appropriate, while prehistoric resource
evaluation must be completed under the supervision of an individual with demonstrated prehistoric
archaeological qualifications.
The literature search must be conducted at the survey level to identify, 1) the locations of
previously completed cultural resource investigations, 2) previously recorded archaeological and
historic resources sites, and 3) areas where historic activities have occurred. Research must
minimally include literature reviews and site record infonrtation from the Carlsbad Cultural
Resource Inventory, the South Coastal Information Center at San Diego State University, and the
San Diego Museum of Man. Record searches must be no older than six months. Historical
literature review will include a review of early U.S. Geological Survey maps. Additional research
may be necessary to include the 1928 San Diego County Aerial Survey, the National Register of
Historic Places, and local and regional histories. ,
4
Archival research is to be used to guide the on-foot field survey. Previously recorded sites
should be relocated and appraised to determine if a supplemental or updated site record form is
needed. When historic maps, aerial photographs, or other historic data indicate structures or areas
of activity, these locations must be evaluated in the field. In all cases, a summary of the archival
research and related field investigation must be included in the report.
The survey must conform to professional standards, be organized, and accomplish thorough
coverage of the property. If the survey cannot achieve the threshold for 100 percent coverage of
the property, the survey report must state this fact and offer acceptable explanations or describe
mitigating circumstances. All surveys must be conducted using linear transect methodology, with
transects oriented to recorded directional bearings and spaced at intervals no larger than 15 meters.
All newly located sites, features, or isolates must be recorded on California Archaeological
Site Record forms (DPR 422 Rev 4/86) following the procedures presented in the draft Handbook
for Completing an Archaeological Site Record. These site record forms must be submitted to the
South Coastal Information Center at San Diego State University in order to assign an Official State
Trinomial and to the San Diego Museum of Man for assignment of the SDM-W designation. All
sites within final reports must be referred to by State Trinomial. Historic resources should be
recorded on Historic Resource Inventory forms (DPR 523) and copies of these forms must be
submitted to the Office of Historic Preservation (OHP) and the South Coastal Information Center.
Isolates must be recorded on Isolate Record forms (DPR 422H) and submitted to the South Coastal
Information Center. The definitions for archaeological sites, historic sites, and isolates are presented
below. ·
The criteria for defining archaeological sites isolates follow state guidelines. Resources
identified as isolates must be collected, recorded, and mapped as part of the survey. Collected
artifacts should be analyzed and appropriate information concerning these items should be included
in the survey report. Information concerning the curation of collected artifacts is presented in
Section V(C). No further work will be required for cultural resource isolates.
Historic resources include objects, structures, landscapes, and places that are important for
their association with significant people or events, or valuable for their architectural, engineering,
or aesthetic attributes.
Site location figures and site record forms are not for public review and this information
should be filed separately from the report and made available only to qualified researchers or
reviewers.
When the s:in::vey report documents that no important resources are present within a
proposed project or in areas of secondary impact, then no further studies are necessary. When
important resources are identified, the survey report must include recommendations for additional
research to determine site importance under CEQA.
5
4.2 Archaeological Survey Reports
The archaeological survey report must document the presence or absence of any historic or
prehistoric resource within the subject property. If a cultural resource is identified, then that
resource must be tested and the testing data incorporated into the survey report with appropriate
impact analysis. The testing requirements and necessary report elements are discussed in Section
V. The survey report should follow the guidelines of the California Office of Historic Preservation
entitled, "Archaeological Resource Management Reports (ARMR): Recommended Contents and
Format'' (Appendix 2). The contents of the survey report must include the following:
(1) An abstract of no more than 250 words.
(2) A short description of the location and nature of the project and of the
environmental setting.
(3) A map identifying the survey area, plotted on the appropriate U.S.G.S. 7.5'
quadrangle, must be included.
( 4) A discussion of record search results conducted at appropriate institutions, including
information about the intensity of previous archaeological work in the project area
and pertinent information regarding the pattern of previously recorded sites.
(5) A discussion of the survey methodology and rationale, a description of the survey
conditions, the dates of the survey, and the names of survey personnel.
(6) An impact analysis, including potential indirect impacts to off-site resources and any
off-site improvement areas. If the result of the survey is negative and the project
will not affect off-site resources, then mitigation measures will not be required.
(7) A list of persons and organizations consulted, references cited, and an appendix with
the results of the record searches provided.
(8) Sketches, measured drawings, and photographs are needed to clearly present any
located archaeological or historical features.
(9) Sensitive site location information must be restricted and not circulated within
public documents.
(1 0) Recommendations identified for additional research to determine the importance of
a resource.
4.3 Evaluation (Testing) of Cultural Resources
Surveys that have been completed as patt of an environmental impact report (EIR) need to
include a determination of importance (significance). This can be accomplished in a number of
ways. If the research potential of the site is exhausted at any level of the testing process (see
Section V) or if the site is determined not to be important, no further studies are required. The
result of this wgrk r.teeds to be included in the EIR.
Cultural resources identified during on-foot survey and archival research must be evaluated
for their potential importance. When potentially important cultural resources are located, the
nature of the resources must be documented. At a minimum, the study must establish: the type
of resource (i.e., historic structure, prehistoric, historic or multi-component archaeological site,
archaeological isolate, or historic landscape); the precise location of the resource; the estimated
boundary or dimension of each site and/ or feature, and boundary justification; and the basic
attributes of the site including estimated age, condition, physical characteristics (structural types
and quantities of artifacts, etc.), and other values that may contribute to the importance of the
6
resource. The result of site testing and analysis must be incorporated into the sUIVey report to
provide a complete initial submittal that will permit an accurate review of the impact analysis.
Cultural resource testing is intended to gather the data necessary to determine the
importance of cultural resources identified through sUIVey and to evaluate the potential effects of
a proposed project on the resource. The importance, or non-importance, of a resource must be ·
determined in order to establish the steps necessary in the environmental process for the
appropriate treatment of the resource. If a resource is found to be important, the report should
justify such a finding and/ or suggest measures for the mitigation of potential adverse impacts. For
archeological resources that cannot be avoided, recovery of important data is required. The data
recovery program must be guided by a research design/work plan that clearly identifies the goals
of the data collection and articulates the proposed methods and analyses (see Section VI, Phase III).
Data collection methods for archaeological resources should be determined on a site-specific
basis and may include a number of different subsurface exploration techniques. These approaches
may include but are not limited to excavation of post-holes or auger holes, shovel test pits, hand-
excavated test units, and hand-or machine-excavated trenches. Hand excavation is preferred;
however, the use of machinery is acceptable when it is demonstrated that it is necessary. The
choice of particular procedures must be justified in relation to the specific requirements of the work
plan, project and site characteristics.
The sample size should be sufficient to make a reliable assessment of significance. The
chosen sampling strategy should be discussed and defended as part of the work plan. It is
recommended that a minimum of one to two 1 by 1 meter unit should be hand excavated at small
sites in order to collect the necessary information. For medium to large sites, two to 15 units may
be necessary.
Evaluation of importance for historic archaeological resources must include sufficient
archival research to determine the occupants' role in local and regional history, and to evaluate the
resource within a historic context. Sampling of a site's deposit should follow the methods presented
and justified in a research design and may include collection and analysis of surface artifacts; test
excavations, by hand and/ or by machine, as necessary to identify and evaluate subsurface deposits
and features, analysis of recovered artifacts; and architectural analyses of any structural features
present.
It is recommended that the appropriate Native American representative(s) be consulted prior
to testing. The Native American Heritage Commission can provide information concerning local
Tribal Council contacts. Employment of Native American monitors may be necessary during testing
and/ or data recovery projects.
The discovery or recognition of human skeletal remains in any location other than a
dedicated cemetery will result in the cessation of work until the coroner has been informed and it
is determined that no investigation as to the cause of death is required. If the skeletal remains are
determined to represent a Native American individual, the Native American Heritage Commission
will be contacted for information regarding the appropriate Tribal Council from whom to solicit
input. Recommendations regarding the treatment or disposition (with appropriate dignity) of the
human remains and any associated grave goods (Public Resources Code Section 5097.98) should
be sought from the appropriate Tribal Council. Under circumstances where Native American·
skeletal remains are anticipated, it is recommended that a formal agreement between the involved ·
7
parties be drafted and signed prior to the commencement of subsurface testing. Under usual
circumstances, reburial of Native American skeletal remains occurs after scientific study.
The minimum requirements for field testing of sites shall include the following:
(1) A detailed map of surface features and artifacts.
(2) The controlled surface collection of artifacts as necessary.
(3) Description of all features and surface characteristics.
( 4) The excavation of an adequate number of postholes, auger holes, or shovel test pits
(STP's) at 10 meter intervals to accurately define the boundary of any subsurface
deposit. The particular data collection methods to be used for an archaeological
resource should be determined on a site-specific basis and may include a number of
different subsurface exploration techniques. Hand excavation is preferred; however,
the use of machinery is acceptable when it is demonstrated that it is necessary. .The
choice of particular procedures must be justified in relation to the specific
requirements of the work plan, project, and site characteristics. All excavated soils
shall be passed through one-eighth-inch mesh screen.
(5) A minimum of one to two test units measuring one meter square, excavated in ten-
centimeter levels.
(6) All recovered materials shall be analyzed, catalogued, and curated at a repository
acceptable to the City of Carlsbad.
Historic resources, such as standing structures and historic objects or places, may require
evaluation measures other than excavation at the survey level (e.g., interviews or archival research).
Evaluation of importance for historic archaeological resources must include sufficient archival
research to determine the occupants' roles in local and regional history, and to evaluate the resource
within a historic context.
The test report shall follow ARMR format (Appendix 1) and include the same information
required for the survey report, along with the following:
1. An abstract which can be removed from the document and included in a City file of
project summary and status information.
2. Incorporation of the survey portion of the investigation effort, including information
derived from testing.
3. A discussion of the work plan and field techniques employed. The field technique
discussion should include the number and type of sampling units (i.e. shovel test
pits, ··1x1-meter units, etc.,), collection techniques, length of time required to
complete the fieldwork (person days), and personnel involved.
4. A delineation of the horizontal and vertical extent of the resource and at least
tentative descriptions and discussion concerning the nature of the resource (site
type, feature type, chronological placement, etc.,).
5. Maps which show the point locations or concentration of surface artifacts; location
of sampling units, site datum, surface features or other appropriate landmarks.
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6. Photographs, architectural elevations, and floor plans as necessazy to clearly
illustrate historic resources.
7. Discussion of archival studies and results.
8. Full description, distributional analysis, and interpretation of the recovered artifacts
and features including frequency and definitions of the type presented.
9. Summazy of analyses and special studies undertaken.
10. Synthesis of data and a general descriptive overview of the site in relation to similar
resources in the Carlsbad region.
11. Appraisal of the importance of the resource with respect to criteria set forth above
and justified through the recovered data.
12. List of project personnel and their level of participation and qualifications,
consultants, and references.
4.4 Criteria of Significance
Cultural resources may have importance for a variety of reasons. The importance of cultural
resources for non-federally funded projects must be evaluated with respect to the criteria established
in CEQA, Appendix K and the General Plan and Historic Preservation Ordinance of the City of
Carlsbad which establishes local goals, criteria; and requirements for evaluating cultural resources
within the City. Criteria of significance presented in Section 21083.2, Appendix K of CEQA and in
Section 22.06.020, City Ordinance 9776 are presented below.
As defined in CEQA, a cultural resource is important when the resource:
1. Is associated with an event or person of:
a. Recognized significance in California or American history; or
b. Recognized scientific importance in prehistory; or
2. Can provide information which is of both demonstrable public interest and useful
in addressing scientifically consequential and reasonable or archaeological research
9-ues~ons; or
3. Has a special or particular quality such as oldest, best example, largest, or last
surviving example of its kind; or
4. Is at least 100 years old and possesses substantial stratigraphic integrity; or
5. Involves important research questions that historical research has shown can be
. answered only with archaeological methods.
9
In the City of Carlsbad, a cultural resource is also considered important when:
1. It exemplifies or reflects special elements of the city's cultural, social, economic,
political, aesthetic, engineering, or architectural history; or
2. It is identified with persons or events significant in local, state, or national history;
or
3. It embodies distinctive characteristics of a style, type, period, or method of
construction, is a valuable example of the use of indigenous materials or
craftsmanship, or is representative' of a notable work of an acclaimed builder,
designer, or architect; or
4. It is an archaeological, paleontological, botanical, geological, topographical,
ecological, or geographical site which has the potential of yielding information of
scientific value; or
5. It is a geographically definable area possessing concentration of site, buildings,
structures, improvements, or objects linked historically through location, design,
setting, materials, workmanship, feeling, and/or association, in which the collective
value of the improvements may be greater than the value of each individual
improvement.
V. IMPACT ANALYSIS AND MmGATION ALTERNATIVES
For sites identified as important cultural resources according to CEQA criteria, potential
adverse impacts must be addressed. Adverse impacts would be significant if the site which will be
impacted is important, whether the impacts are direct or indirect. The consulting archaeologist
must ensure that the impact assessment is based on actual grading plans or development plans
submitted to the City of Carlsbad, or stipulate which plans were used for the assessment of potential
impacts.
Should impacts to a resource be found to be significant, then mitigation measures must be
recommended, including the redesign of the project to avoid important cultural resources. If the
project cannot be redesigned, then a data recovery program to mitigate frnpacts shall be required.
Avoidance of impacts through design or redesign is the preferred mitigation alternative.
A cultural resource found not to be important based on the results of testing will require
no further work beyond the completion of the test report and the acceptance of the report by the
City and discretiomiry review by members of the HPC.
When resources are found to be important, the report is subject to review by City staff and
the HPC. For resources which are found to be important, the preferred alternative is protection
through preservation, avoidance or capping. Preservation may be accomplished in a number of
ways, including but not limited to:
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1. Planning construction to avoid significant cultural resources.
2. Planning construction so that demolition or alteration of historical structures is not
necessary.
3. Incorporating significant structures into planned development through restoration,
rehabilitation, or adaptive reuse in conformance with the Standards of the Secretary
of the Interior, when avoidance is not possible.
4. Deeding significant sites into permanent conservation easements.
5. Planning parks, green space, or other open space areas to preserve cultural
resources.
6. Capping or covering archaeological sites with a layer of soil before building tennis
courts, parking lots, or similar facilities. Capping is an acceptable alternative when
the following conditions are met: the covered deposit will not be exposed to
extreme compaction; the cover materials are not chemically active; and the site has
been recorded and an index of the contents (sample excavation) of the site has been
made.
Resources that are determined to be important will require the inclusion in the test report
of the following information:
1. Proposed methods of avoiding anticipated impacts must be presented as well as
explanations as to why the various proposals are not acceptable, in the event that
avoidance or protection are not pursued alternatives. Rejection of preservation or
protection alternatives will require the presentation of a mitigation plan for
mitigating the anticipated effect of the project on the resource. If avoidance is
chosen as the means of protecting a significant resource, a separate agreement is to
be established for the purpose of deeding the resource area into a permanent
conservation easement. If protection is the chosen option, the protection plan must
be presented in detail as part of the testing report.
2. Detailed presentation of an excavation or data recovery program must be presented
for mitigating the effect of the project on an important resource. The research
design will identify important research questions, link research topics to the data
known to be present in the site, and identify procedures that will be used to collect
relevant information. The description should provide information concerning the
sampling method, proposed sample size as well as the number of person-days
required for the completion of the field effort and for the completion of the report,
including consulting specialists and special services. The mitigation plan must be
reviewed and approved by City staff and the HPC prior to the commencement of the
proposed plan.
5.1 Timing
The survey and any testing must be completed and an evaluation as to importance must be
made, prior to finai review and approval of the EIR by the Planning Commission.
11
5.2 Curation
Original maps, field notes, artifacts, catalog information, and reports will be curated in
appropriate and approved repositories or if agreed to by the City and the HPC, curated by the
cultural resource consultant. This information will be available for review by the Planning Director
and members of the HPC in case of any questions. The disposition of this material should be
identified in the report. At present, the approved repositories for cultural resource collections are
the.San Diego Museum of Man and the Department of Anthropology at San Diego State University.
Arrangements for curation of collections are the obligation of the consultant. All collections are
the property of the City of Carlsbad and final determination of artifact disposition will be made by
the City and the HPC.
VI. CRITERIA AND METIIODOLOGY FOR COMPLETING A DATA RECOVERY PROGRAM.
PHASE III
The data recovery program is intended as a means of mitigating the adverse effects of
development on important archaeological resources for their information value. Mitigation is
accomplished through the recovery of data from the resource with the expectation that the analysis
and synthesis of recovered data will provide important scientific information, prior to the damage
or destruction of the resource. The Advisory Council on Historic Preservation has produced "a guide
to principles, procedures, and methods for the treatment of archaeological properties in accordance
with 36 CFR part 800." Treatment of Archaeological Properties; A Handbook 1980). Reference to
this handbook is recommended for the purposes of guiding preparation of a data recovery program.
As presented above, the data recovery program must be established on a project-specific
basis and must be guided by a research design/work plan that clearly presents the scope of the
recovery effort with defined research goals and proposed methods of data collection and analysis.
This program should follow closely the recommendations developed during the testing program.
The data recovery program/research design will be subject to review and approval by the
Planning Director and the City of Carlsbad's HPC prior to the implementation of the program. The
program must be approved prior to the commencement of mitigation studies.
Timing and deadline issues on data recovery are presented in Appendix K of CEQA.
Constraints include completion of the field excavation portion of an approved data recovery
program within 90 days after final approval necessary to begin physical development of the project
unless special or unusual circumstances warrant an exception. In the case of a phased project, the
fieldwork should be completed within 90 days of approval of the phased portion to which the
mitigation measures apply. A project applicant may elect to extend time limits for completing
fieldwork. The'City requires a written confirmation of the completion of the fieldwork portion of
the data recovery program prior to permitting the commencement of activities which could disturb
or destroy important cultural resources. Completion of all work and submittal and approval of the
final report by the HPC is necessary before an occupancy permit will be granted.
Section 21083.2 and Appendix K of CEQA designate applicant's limits to fund mitigation
programs. The limits as stated by CEQA apply to commerciaVindustrial and housing projects.
12
The cultural resource consultant is to provide the City with an estimate of the costs and
timing including fieldwork, laboratory analysis and submittal date of final report.
The format of a completed data recovery technical report is to follow the state of California's
ARMR guidelines (Attachment 1); however, the information requested below must be present and
it is recommended that the report present this information in an accessible manner. A detachable
executive summary of the project must be provided with copies of the final report. This summary
will be filed separately as part of the cultural resource tracking information maintained by the City.
The report must be typed and graphics must meet the standards established by American Antiquitv.
Information presented in the final report must include:
1. Summary of the completed program with the number and size of excavated units
and/ or trenches, number of person days to complete fieldwork, analyses, and the
report of finding. Brief presentation of the genesis of the project shall be provided
to the HPC.
2. Presentation of the background for the project including previous work conducted
at the site and the results, related projects in the area or region, presentation of the
research design, and discussion of the project serting.
3. Results of the data recovery program will be presented in sufficient detail so as to
be useful to other researchers. Data summaries will be presented by unit and level
and if the attribute input is coded, the coding dictionaries will be provided.
Typological information will be provided if the definitions are original or referenced
if they are not. Provide detailed information on site composition and other
attributes of the deposit including limitations which may have contributed to the
nature of the results. Maps and other graphics will be of the same quality and
standards as previously discussed.
A. DATA RECOVERY PROGRAMS FOR HISTORIC RESOURCES
Data recovery programs for historic structures may, at the discretion of the HPC, be required
to meet the standards of the Historic American Buildings Survey (HABS) or the Historic American
Engineering Record (HAER). Normally, whenever data recovery is proposed for a significant
historic structure, the HABS/HAER coordinator is requested by the City to review the existing
documentation and recommend a level of documentation sufficient to mitigate the impacts to the
resource. When required by the City, HABS/HAER-level documentation must be completed to the
satisfaction of the. HABS/HAER coordinator prior to the project development. Guidelines for
HABS/HAER documentation are available from the National Park Service in San Francisco.
B. CULTIJRAL RESOURCES DISCOVERED DURING CONSTRUCTION
In the event of the discovery of a previously unknown cultural resource during construction,
construction shall cease in the area of the find, but may continue on other portions of the project.
Evaluation of the resource must take place before work can resume and, if necessary, a mitigation
program will be implemented and completed prior to resuming construction. The applicant will be
responsible for funding an immediate evaluation of importance (Phase II Test) for the resource.
13
If the resource is important under CEQA, contingency funding and a time allotment sufficient to
allow the implementation of a data recovery program or to implement a preservation/protection
plan must be accomplished prior to the recommencement of construction.
These procedures are required as project conditions when there is a likelihood that a buried
deposit will be encountered. For example, on projects which are adjacent to known archaeological
resources, or within a site area which has been tested and mitigated through a data recovery
program.
VII. REFERENCES CITED
WESTEC Services, Inc.
1980 Regional Historic Preservation Study. Volume I. San Diego.
14
ATTACHMENT 1
Archaeological Resource Management Reports (ARMR):
Recommended Contents and Format
PI:~~~~ation Planning }lulletin
A &.t.idi:; cJ1.·the cautomia Ofllce· ot Htstorlc Preservation
P:O;.. Box 942896 S&cramento, .. CA 94296 0001
Number4(a}•· o-rtber1989
Archaeological Resource Management Reports (ARMR):
GEORGE DEUKMEJIAN
Governor
GORDON VAN VLECK
Secrerary for Resources
Recommended Contents and Format
0 5
Clll
lru:ised. sro~~e recovered. from e:teavariottS at
prelri.sroric arcluJeological site CA..SHA-1169, Shasta
Cowuy, Caiifornill
State of California-The Resources Agency
DEPARTMENT OF PARKS AND RECREATION
OFFICE OF HISTORIC PRESERVATION
P.O. BOX 942896
Sacramento, California 94296-0001
HENRY R. AGONIA
Director
KATHRYN GUAL TlERI
State Historic Preservation Officer
Archaeological Resource Management Reports (ARMR):
Recommended Contents and Format
Table or Contents
Preface .................................................................
Acknowledgements ....................................................... . ii
Table of Contents ....................................................... . iii
I. Cover Letters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
II. Title Page ....................................................... .
III. Table of Contents ................................................. . 3
J.
IV. Management Summary/Abstract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
v. Undenaking Information/Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
VI. Setting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
VII. Research Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
f.,. VIII. Methods 6
'-· IX. Report of Findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
X. Discussion/Interpretation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
XI. Management Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
XII. References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ,. . . . . . . . . . . . . . 16
XIII. Appendices ................................ ~ . . . . . . . . . . . . . . . . . . . . . . 16
XIV. Confidential Appendices 16
XV. Furthet"Reading and Guidance -Selected References 17
Checklist for Preparing and Reviewing
Archaeological Resource Management Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . attached
iii
t
Archaeological Resource Management Reports (ARMR):
Recommended Contents and Format
December 1989
Preface
The State Historic Preservation Office (SHPO), under its state and federal mandates, has developed
Archaeological Resource Managemou Reporrs (ARMR): Recommended Contents and Format (AR..\1R
Guidelines) for the preparation and review of archaeological reports. The purpose of this guidance is to
improve the quality of public archaeology in California. The ARMR Guidelines were developed to aid
archaeological report preparation and review by ensuring that all needed data would be included and
organized to optimize efficiency and utility. 'Needed data' refers to information usually required by
regulatory or review agencies and by the infonnation Centers of the California Archaeological Inventory.
The checklist included with this guidance was developed as an additional means of rapidly assessing
archaeological report quality.
It may be unnecessary to include all classes of infonnation presented in this guidance in all reports. The
content appropriate for any report should be detertnined by the type and scale of a project, by the nature
and scheduling of cultural resources studies, and by the complexity of the resources and the information
under consideration. Applicable federal or state laws and regulations, local ordinances and procedures
may also detertnine appropriate report contenL
Certain federal and state agencies routinely produce abbreviated reports adequate for management
decisions. Some of the infortnation disalssed in this guidance (e.g., setting, research design, methods
description) is presented in agency handbooks manuals guidelines or overviews. Reference to thiese
sources may be substituted in reports for an extended discussion of this information when routine or
repetitive undertakings are involved.
Although these guidelines do not represent a state-mandated program, the SHPO strongly urges anyone
involved with public archaeology to read and use them. This guidance can be understood and effectively
used by the professional archaeologist as well as by a broad spectrum of other professionals and decision-
makers interested in ensuring that an investment in archaeology serves the public interest. Local
goverttments in particular should adopt the guidelines as the standard according to which archaeological
studies will be carried out, reported, and judged.
This guidance, and funher guidance to follow, are major elements of the preservation planning process
carried out be the SHPO in accordance with state and federal mandates. A central goal of this process
is to ensure t~f la!ld use planning at all levels of government routinely and affirmatively takes into
account the n~ and the value of historic properties. We hope this guidance will be an effective
contribution toward attainment of that goaL
For copies of the ARMR guidelines, or further information on SHPO programs and guidelines contact:
California Offiu of Historic Preservation
P.O. Box 942896, 1416 Ninth Street
Sacrarnento, California 94296-()()()1
(916) 445-8(}()6.
Acknowledgements
The ARMR Guidelines is the product of many minds. Authored by Mr. Robert Jackson, the guidelines
evolved from interim guidance developed by the author at the SHPO. The guidelines also borrow from
the Guitklina For Cubural Rtsourcl! Managmrmr (CRM) Reporu developed by Mr. Lester Ross and
issued through the San Bernardino Archaeological Information Center.
Dr. Hans Kreutzberg devoted substantial editorial and organizational attention to the ARMR Guidelines,
rendering the document intelligible to a broad spectrum of potential users. Mr. Thad Van Bueren
provided valuable and substantial input on the document. Thanks also go to Ms. Dorene Qement and
Mr. Nicholas Del Cioppo. for their review and editorial comments.
As a review agency, the SHPO frequently offers critical comments that focus on problems of quality and
consistency encountered in archaeological reportS. While the ARMR Guidelines have been prepared to
address such problems, it is important to acknowledge the many excellent archaeological reportS that we
have reviewed over the last several years. While too numerous for individual acknowledgement, the
authors of these reportS have provided models for specific topics presented in the ARMR Guidelines.
To these authors we offer thanks and appreciation.
The cover illustration was drafted by Thad Van Bueren for the 1984 report Areluuologial Invesrigarions
in tM Sacrarmnto Rivu Canyon, Volunu I: Report of Testing at Sevm Aboriginal Sius, by Infotcc
Development, Incorporated. The California Department of Transportation, for whom the report was
prepared, graciously consented to our use of the illustration.
This publication was partially financed with federal funds from the National Park Service, Department
of the Interior, under the NIJlioMJ Historic Presuvation Act of 1966. The contents do not necessarily
reflect the views or policies of the Department of the Interior, nor does the mention of trade names or
commercial products constitute endorsement or recommendation by the Department of the Interior.
Regulations of the U.S. Department of the Interior strictly prohibit unlawful discrimination in
departmental Federally Assisted Programs on the. basis of race, color, national origin, age or handicap.
Any person who believes he or she has been discriminated against in any program, activity, or facility
.operated by a recipient of Federal assistance should write to: Director, Equal Opportunity Program, U.S.
Department of the Interior, National Park Service, P.O. 37127, Washington, D.C. 20013· 7127.
ii
-.
c-
L Cover Letters
Adequate cover /etten grearly facilitate r~iew of ARM reports because they succinctly summarize the purpose
and inrent of the srudy, and pr~enr an agency's officil:zl position on such issu~ as archaeological resource
significance and management. Cover lerrers are critical to federal agency submissions to the Stare Hisroric
Preservation Office or the Advisory Council on Historic Preservation. Regardl~s of origin, they should at a
minimum:
A. Provide the undertaking's name, location, and any identifying number.
B. State agency name and where applicable, district, region, or branch.
C. Briefly describe the undertaking, including:
D.
1. the type of undertaking (e.g., hydroelectric generating facility, highway widening,
land exchange);
2. the acreage of the area encompassed by the undertaking, or its length and "'idth
in the case of linear projects;
3. the component pans of an undertaking and their land-and resource-disturbing
potential; and
4. schedules or other factors that may affect the conduct of archaeological resource
studies.
Identify the law, regulation or agreement under which the document was prepared.
These could include the National Historic Pr~ervation Act (NHPA), the National
Environmental Policy Act (NEPA), the Ca/ifornil:z Environmental Quality Act (CEQAJ, or
local laws and regulations. The letter should also identify the point that compliance
with applicable laws and regulations has reached.
E. Describe the phase of investigation addressed by the document or the type of documents
submitted (e.g., inventory/identification report, research design or report on evaluation.
treatment or management plan), and:
1. reference the specific type of investigation represented by the report. For
instance, if the investigation is a survey, state also whether the survey was
intensive, general, intuitive, etc.
F. ~Oescribe the results of the investigation. If the document repons the results of
·survey/identification, include the number and types of properties identified (e.g., historic
archaeological, prehistoric archaeological). In addition, the letter should:
1. identify properties within and outside an Area of Potential Effects (APE) (if
survey exceeds APE boundaries);
2. identify properties that may or may not be affected by the undertaking;
3. note special circumstances (e.g .. Native American or other public concerns.
controversies. undertaking time constraints. political sensitivity).
G. Indicate what action is being requested under the terms of applicable laws or regulations,
and cite the specific section(s) of regulations to which the repon is peninent. Examples
include requests for SHPO consultation and concurrence in the adequacy of identification
effon (36 CFR 800.4 [bj); requests for concurrence in National Register of Historic Places
eligibility (36 CFR 800.4[c}); and requests for concurrence in determinations of effect
(36 CFR 800.5). Include a description of funher actions the agency anticipates taking
to comply with peninent laws such as CEQA or the NHPA.
H. Name the agency contact person most familiar with the undenaking and with
archaeological resources studies who has authority to deal with issues raised during the
course of review (e.g., agency cultural resource specialists who prepare the letters and
repons). Include phone number.
II. Title Page
The National Park Serviu has created, and is encouraging the use of a National Archaeological
Data Base (NADB) to serve as an annotated bibliography of ARM reportS. If used atensively and
consistently, the NADB can be a valuable and efficient tool for managing ARM information.
Consistent information and format in title pages will greatly facilirate computer entry of NADB data.
A title page consistent with NADB standards is appropriate for all reportS.
A List the authors. Include name, address, and phone number of any consulting firm.
B. Date the repon by month and year.
C. Present the repon title. Indicate the type of investigation conducted, undertaking name,
location including county and city or equivalent designation.
D. Identify the entity submitting the report, such as the consulting firm, agency, or group
that prepared and submitted the document. The submitter and the author may be
identical.
E. Identify the party to whom the document was submitted (e.g., contracting or responsible
party such as an agency, developer, or a lead agency under CEQA).
F. Reference the contract number/federal agency permit number.
G. Cite the U.S.G.S. topographic quadrangles depicting study area.
H. List the acreage included in the study.
I. List keywords. NADB accommodates a large number of key words. Appropriate content
the title page depends on the type and complexity of the report. Key words can include
site numbers, county, type of undertaking, type of archaeological study, place names.
important diagnostic artifact type, presence of human burials, evaluation, no resources
found (if appropriate), Information Center file number (Information Centers should
supply number), number of acres surveyed, quads, etc.). Archaeological site trinomials.
township. and range but not section) are required in the key words section. lf there are
a large number of sites reported. cite the report page(s) that list the site trinomials.
,
m. Table oC Contents (appropriJJt~ if~ of report exceeds 10 pa~)
A. List major report sections, subheadings, and appendices, with page numbers
B. Provide a list of maps with page numbers.
C. List figures with page numbers.
D. List tables with page numbers.
IV. Management Summary/Abstract
This section is appropriJJte in any type of ARM report. The Management Summary/Absrract should
be a succinct (one to five pages) absrract of the scope and findings of the report. While much of the
information described in this section is duplicated in a cover letter, cover letters are often discarded
after agency review. The Management Summary should be written so that non-archaeological
professionals and the public, as well as professional archaeologists, can understand iL
A. Describe the purpose and scope of the archaeological investigation. Specify the type
of study that was conducted (e.g., literature search, inventory, evaluation, data recovery).
B. List the date(s) of the investigation.
C. Summarize the major findings of the investigation. For example, if the document reports
an archaeological survey, list the number and typeS of resources identified during the
survey.
D. U resources have been evaluated, summarize their significance as determined pursuant
to Appendix K of the CEQA Guidelines, the National Register of Historic Places criteria.
or other standards as appropriate.
E.
F.
G.
H. • -:! k
Discuss how the undertaking affects significant resources.
Describe constraints on the investigation (e.g., time, finances, logistics, vegetation.
weather, landowner pennission).
Offer a summary of recommendations (e.g., evaluative test excavation, National Register
eligibiliry recommendations, treatment recommendations) .
Describe the disposition of field notes, collections, and reportS.
V. U ndertaldng Inrormation/lntroduction
Undertaking means the land-or resource-disturbing actlV!fY for which and ARM study is
prepared. The nature of an undertaking can determine the nature of the ARM study.
Information about the undertaking is needed to determine how important archaeological
resources may be affected. How much information is appropriate for a given report may depend
on what was included in previous reportS for the undertaking, and on the scope and size of the
undertaking. Some of the following topics may not be relevant to a given undertaking.
3
I l I,
A. Identify the contracting institution, contract number, pennit number and expiration date.
B. Explain why the study was undertaken, citing relevant Federal, State, and local laws.
Mention any studies that preceded and recommended the present effort.
C. Descn'be the undertaking, including the nature and extent of disturbance anticipated.
If the undertaking consists of many features or facilities, identify and describe the nature
and extent of its land-and resource-disturbing potential. Include:
1. an undertaking location map consisting of photocopies of relevant portions of
appropriate USGS quadrangles clearly delineating the undertaking boundaries.
Indicate the undertaking name, quad name, quad scale, township/range. and
sections on each copy.
2. specific characteristics of the undertaking that influenced the nature of the ARM
study. Include impact map(s) consisting of a photocopy of the undertaking
location map (see above) that delineate areas of potential effects (APE), both
direct and indirect. If appropriate, duplicate this map in Section XI, and include
copies of planning maps, engineering drawings, architectural drawings, or artist's
renderings that assist in defining the nature and extent of the undertaking.
D. Include a schedule for the undertaking. Describe phases of planning and construction.
E. Identify the geographical limits of the ARM study area in acres (e.g. the length and
width of the survey area for linear undertakings). This area may or may not cqincide
with the undertaking area.
F.
VI. Setting
Describe how personnel conducting the work were organized and list the active
participants and their duties. Statements of qualifications are to be provided in an
appendix. If portions of the study were reviewed, list the reviewers. Review letters are
to be provided in an appendix. Identify the persons participating in the study such as
Native American observers, monitors, and consultants, interested parties with special
knowledge or expertise, and technical specialists.
A descriprion of the undmaking's setting includes a discussion of boch che natural and cultural
environmenrs in which archaeological resources were creaced and used. The discussion of semng,
whecher physical or cultural, involves a review of eriscing daca and licerature.
A. ·'Natural Setting
While appropriace for all archaeological invescigacions, descriptions of che area 's physical
environmenrs should be scaled co che size (area) of che undertaking and the potenn·al role
of the environmenr in understanding archaeological resources char might be present.
Archaeological resources can be imponanc for reasons other chan their research value and
an analysis of the natural setting may provide such reasons.
l. Identify the natural physiographic region and biotic communities found therein.
.•·
2. Describe the local environment of the general area including landforms,
hydrology, geology, soils, and climate, as well as vegetation and animal life. The
location of culturally important resources such as cryptocrystalline outcroppings,
reservoirs, townsites, etc., should also be discussed, as appropriate.
3. Describe current land use (e.g., agriculture, mining, recreation, residential).
4. Assess the current condition of the land within the area of the undertaking (e.g.,
relatively unmodified, partially disturbed by construction or improvements).
B. Cultural Setting
1. Provide an overview of the archaeology of the study area, with the level of detail
scaled to the undertaking size and type. Existing overviews should be cited.
Regardless of whether overviews exist, survey reports should include at least a
brief summary of the prehistory of the study area, citing relevant information
sources. As appropriate, include:
a. a review of the ethnographic information relevant to the study area.
scaled to undertaking size and type. Consultation with the Native
American Heritage Commission as well as interviews with knowledgeable
consultants may be necessary.
b. a review of the history (which may or may not include ethnographic
period information) of the study area, particularly when historic
archaeological resources are or could be present. Again, the depth and
extent of this review should be scaled to the size and type of undertaking
as well as the recognized. patterns of historic land use.
2. For resource identification reports, evidence of a record search for known
archaeological resources and previous ARM reports conducted at an Information
Center of the California Archaeological Inventory should be included. Either a
copy of the record search report performed by Information Center staff or the
results of a records search performed by a professional consultant should be
provided in an appendix.
3. If other documentary research is conduct~ provide the names and addresses
of institutions and other sources consulted and inclue copies of correspondence.
Refer to the types of documents examined and briefly outline of the results .
..
VII. Research Design
Research daigns are explicil statemenrs of the theoretical and methodological approaches to be
followed in an archaeological study. Research designs should be included in almost every rype of
archaeological rq10rr, and should varv in nature and level of detail with the undertaking and
investigation we. In some cases, research designs have been developed for specific geographic
regions, rypes of investigations, or types of resources. At a minimum, such research designs should
be included into ARM repons by reference. In other repons, project-specific research design sections
are necessary (e.g., evaluative and data recovery excavations).
5
Research designs link theory, known informatioll, research goal.s, and methods. The use of previously
formulated research designs is acceptable if these designs are current and relate directly to the area
and type of stUdy under co11Siderario11. Predictive models are elemmrs of a research design applicable
to archaeological surveys. Predictive models are sauctured predictions concerning the types and
locations of archaeological phenomena anticipated in an area.-
A. Discuss the theoretical basis of the proposed research. Cite or discuss the research
paradigm under which the investigators are operating.
B. Summarize previous research. A summary of imponant research questions pertinent to
the study area or to identified resources should be presented, with particular emphasis
on the identification of relevant data gaps. Statements appealing to generally recognized
goals of archaeology or anthropology by themselves usually lack the detail necessary
for an actequate research design.
C. Present testable hypotheses, or state the goals of the research. Any useful theoretical
approach should be capable of generating testable hypotheses. A research design should
present imponant research questions recognized for the region and relevant to the studv,
based on previous research.
D. Identify the test implications of the hypotheses.
VIII. Methods
1. Describe expected archaeological resource types, archaeologiCal patterns, and
data categories anticipated, as they relate to test implications. Discuss
operational definitions for archaeological resource types (and rationales for their
use), if different from SHPO definitions of archaeological sites, historic
resources, and isolated artifacts or resources.
Methods of investigation must always be included in an ARM report. The length and detail of chis
presentation should be scaled co the type al:ld scope of che investigatio11. Discuss-methodological
problems and approaches (as distinguished from methods) relevant to the resource types present or
anticipated in the study area. Discuss the kinds of problems and general approaches appropriate to
achieving the objectives of the study. Conversely, identify consrrainrs and difficulties that hinderled)
realization of these goals.
A. If not offered previously, pre5ent definitions (and rationales for their use) of
archaeological resource types. This is necessary when the definitions used for
,archaeological sites, historic resources, and isolated artifacts differ from those contained
in the-California Archaeological Inventory Handbook for Completing An Archaeological
Sile Record, distributed by the_ California SHPO.
B. Describe the data gathering methods employed (e.g., remote sensing data; surface survey:
surface chemical analysis; subsurface methods such as probing road and stream cuts or
analyzing core probes). The methods description should provide details such as maps
of survey transects. deployment of survey personnel, site recordation techniques. chemical
analyses. subsurface test locations and methods. and remote sensing techniques.
Specifically:
1. describe specific research and sampling strategies employed, the rationale for
their use, a description of how they were implemented, and how many
person-hours/days were expended;
2. using U.S.G.S quadrangles, show area(s) examined relative to APE and project
boundaries. Note areas not surveyed or surveyed using various strategies.
Larger scale maps may also be approp_riate;
3. provide a descriptive summary of the areas examined, noting undertaking areas
that were not inspected in relationship to the sampling strategies employed. and
why. Note the percentage of ground visibility for the areas inspected;
4. describe site recording procedures as appropriate;
5. describe the types and methods of excavation. Number each excavation location
on a map of the site sufficiently detailed to depict the relationship between
natural and archaeological features within the site;
6. describe cultural materials collected (if any), including methods of documentation
and removal;
a. describe measures to restore archaeologically disturbed site areas when
archaeological field studies are completed.
C. Indicate where collected materials, photographs, and other documents are curated.
Curatorial agreements and reburial agreements are to be provided in an appendix.
1. When photos or other documentation (e.g., remote sensing data) are not
included in the report, name the repository where these data are stored. Provide
appropriate reference numbers used to file and retrieve this data at the
repository.
2. Discuss problems or constraints in conducting the research.
IX. Report of Findings
This section presents the information collected during the srudy. Thorough description of collected
data is essDJ!ial for the coi'IStTUction of meaningful and well -supporred interpretations. When
interprwuiorr.s are mized with or subsriluted for basic data presentations, the reader is left with no
basis for intUpenthntly assessing conclusions and inferences. It is therefore critical to explicicly
separate data presentation from interpretation. Specific descriptive requirements for particular types
of ARM srudiD are outlined below.
A Archaeological Resource Inventory ReportS
1. If no archaeological resources were located, their absence should be explicitly
noted.
7
a. If resources were previously reported or anticipated but were not located,
discuss the possible environmental and cultural factors that mav have
hidden or destroyed the resources. · ·
2. Archaeological resources identified.
a. Provide a list of • Archaeological Resources Observed,' classified
according to the following categories and keyed to maps provided in
confidential appendices:
i. prehistoric archaeological sites (i.e., primarily surface and
subsurface properties).
ii. historic archaeological sites.
iii. isolated artifactS
iv. recent or contemporary resources (e.g., modem roads, power
lines, structures) noted but not formally recorded.
b. The following maps should generally be included in a report on the
results of inventory. Maps depicting archaeological site locations should
not be included in repons that will be publicly circulated. The following
types of maps should t;>e placed in a separate appendix:
i. U.S.G.S quadrangle maps of archaeological resource locations
recorded during survey.
ii. archaeological resource sketch maps (if the report involves
survey) consistent in content and quality with the standards
established in the California Archaeological Inventory Handbook
for Completing an Archaeological Siie Record distributed by the
California SHPO.
iii. archaeological site contour maps depicting topographic and
archaeological details, and surface and subsurface study locations.
c. Describe archaeological resources. Provide a description of each
resource listed under "Archaeological Resources Observed.·
i. For each archaeological resource, complete a California
Archaeological Inventory form (DPR 422A), using the California
Archeological Inventory, Handbook For Complermg An
Archeological Siie Record available from the SHPO. Insert
forms in a confidential Archaeological Resources appendix.
Prior to completing the report, submit two copies of each form
to the appropriate Information Center of the California
Archeological Inventory, requesting state trinomial numbers for
each recorded site.
ii. For each isolated prehistoric resource. complete one oooy or'
the Cal(fomw Archaeolo<jlcal !solaced Amfact r'orm 1 DPR .lZ:H·t
(
'
and insert in a confidential Isolated Resources appendix.
iii. For each confidential resources appendix. provide a master map
(photocopy of appropriate USGS quadrangle) depicting the
locations of all resources included in the appendix. Maps of
resource locations should appear only in confidential appendices,
not in the main body of the report (see Section IX.A2.c.).
B. Archaeological Excavation Reports
Excavation can occur· during any phase of archaeological investigation, including inventory.
The description of ercavation during these various phases should be scaled to the size of the
ercavation, the importance of the information to the objectives of the study, and the
abundance and quality of information resulting from the ercavation. No distinction is made
here between ercavation conducted for evaluative purposes and ercavation performed as a
data recovery or mitigation phas~ Data and interpretation should be presented seperately
when possibl~ Summarize the results of lengthy, appended special studies.
1. Describe the pb.ysical context of the archaeological deposit, including:
a. site topography and geomorphology (if not addressed in Setting)
b. soil type, structure, chemistry, stratigraphy and their relationship to
surrounding soils. Summarize results of special studies such as particle
size analysis and soil chemistry, and include a copy of special studies
reports in an appendix.
i. non-<:ultural soil constituents (floral, faunal). Include a summary
of special studies and insert reports in an appendix;
ii. anthropic soils and stratigraphic relationships.
c. profiles of excavation units, trenches, or auger sidewalls, as appropriate,
2. Describe archaeological features. Functional ascriptions/interpretations, sucb.
as hearth, oven, housepit, may be unavoidable at this level of data presentation.
It may be appropriate to discuss the relationship between feature and non-
feature archaeological material distributions (e.g., the relationship between
midden deposits and ovens or housepits).
3.
a. Describe physical evidence including location, dimensions, attributes,
and associations.
b. Provide or reference illustrations and photographs of features.
c. Either present in full or summarize the results of special studies related
to features (e.g., radiocarbon, flotation, microconstituent analysis,
chemical analysis).
Enumerate and describe artifacts by material type and artifact class (e.g .. naked-
stone). Avoid typological ascriptions that impose or imply function or
chronological associauon 1n the initial Jescripuon. For example. biface. uniface.
9
or modified flake is preferable to knife, scraper, or used flake. Such
interpretations can follow in a separate subsection, as described below.
a. Disctiss typological consideration of artifacts such as stone tools, beads,
bone and groundstone tools, and historic materials.
b. Include illustrations/photographs of formal anifacts. These can be
included in an appendix.
c. Present the results of analyses of anifact manufacture and use (e.g.,
flaked-stone manufacturing technology, use-wear studies, pottery analysis,
basketry identification). Extensive and detailed analyses may be included
in appendices. A summary of the results of these studies should be
presented in the body of the report. Such studies should define analytic
methods and distinguishing traits of analytic categories. For example, if
a flaked-stone analysis involved the identification of different types of
flakes, then the attributes that define such flake types should be
reponed. References to previous analyses should not supplant basic
desriptions of methods and analytic categories.
d. Present the results of analyses such as radiocarbon dating, obsidian
source and hydration studies, thermoluminescence, geomagnetism, pollen,
blood protein analysis, and others.
4. Describe non-artifactual archaeological material that reflects ]last human
activities (e.g., burned seeds, charred animal bone), and materials that provide
information on past environments or exploited resources (e.g., pollen).
5.
a. Include identification studies for floral and faunal remains, with
interpretations regarding the kinds and amounts of resources used,
consumed, etc.
b. Present the results of physical analyses such as pollen, microconstituent
anal}'sis (flotation, coprolite studies).
Describe the context of discovery, examination, and disposition of human
remains, if any. Given the often sensitive nature of human remains, examination
and treatment of such remains will depend Qn the outcome of consultation with
appropriate Native American represematives and the decisions of land owners
regarding the disposition of human remains. Therefore, whether and how human
remains and associated grave goods are examined may vary greatly. Similarly,
the nature and extent of reponing on the treatment of human remains may vary
with the nature of Native American concerns. It may not be possible or
appropriate to maintain rigid reponing standards. In general however, the
following information is desirable from an archaeological and management
standpoint.
a. Describe the context of the discovery of human remains. For example.
describe if the unanticipated discovery was located during excavation
or anticipated discovery based on consultant information or
archaeological indicators.
lU
b. Describe measures taken pursuant to state law, local ordinance,
agreement, and/or agency policy regarding human remains.
c. Describe efforts to consult with the Native American Heritage
Commission, appropriate Native American representatives or living
descendants. county coroner, landowners, etc.
d. Describe outcome of discussions regarding disposition of human remains.
e. Describe actions taken with regard to study of human remains, i.e ..
exposure, exhumation, analysis, reburial in-situ, reburial after
exhumation.
i. Describe the location, (physical position), and nature of the
remains (e.g., primary inhumation, cremation). Include a
description of grave associations and the physicaUcontextual
relationships berween the human remains and the artifacts. For
example, describe if artifacts were overlying or underlying the
human remains in a patterned arrangement, or were found
within burial pit fill.
ii. Report the results of analyses, including specialists' reports in
an appendix. Description of the remains and reporting the
results of any analyses may occur under the reporting of
archaeological features (Section IX.B.l.g.)
iii Include photographs and illustrations
6. Describe the spatial distribution and patterning of cultural material by class (e.g.,
flaked-stone, bone).
a Present data on the intrasite distribution of cultural materials. i.e ..
vertical and horizontal stratigraphy, assisted by data tables.
X. Discussion/Interpretation
Descriptive data presented above should be discussed and interpreted with e;rplicu reference to the research
design or study objectives defined earlier in the report. In addition, unanticipated data recovered during the
study may warrant discussion of additional research topics not included in the research design.
A-DisCUsS results of the investigation as they relate to specific topics and questions
presented in research design. Preferably, organize the discussion according to the
structUre of the research questions, hypotheses, and test implications presented in the
research design.
B. Discuss the results of the study in terms of the general research objectives of the study
(e.g., settlement patterns, subsistence, change through time). This discussion should
place the investigation in a regional context, noting its role or contribution to an
understanding of local. regional, state, or national history or prehistory.
II
XI. Management Considerations
The discussion of management topics should address the management goals of the study in a manner that
is consistent with tlu ~cific regulator; process relevant to the ARM study. For ermnplt, _an inventory repon
should discuss haw complete the study was, the likelihood that addirional resources are present in an
undenaking APE, and measures that would be necessary to i.tUnrify such resources. Unfonunatefy, tenninology
for similar procedures varies among toea~ state and federal gui.tUlines or regulations. For e:t:ample, an
archaeologt:cal me mt.'ght cpnsi.tUred National Register dizj]z!f. under the Sterian 1 06 process and significant
under the Appendix K Guidelines for CEQA. The tenns used in an ARM repon should be consistent with
the tenns defined in the relevant guidelines or regulations ..
A. Inventory Reports
1. Identify the management' status of resources identified during the study. For
example, list archaeological properties that have been determined National
Register eligible, imponant; unimponant, and those that have not been evaluated.
If previously recorded and/or evaluated archaeological resources were identified,
provide a list of these resources.
2. Describe the completeness of the study and the likelihood that additional.
unidentified resources may be present.
3. Outline needs for funher management action, such as additional field survey,
evaluation of resources, or no funher study.
B. Evaluation Reports
Resource evaluation is the comersrone of the current ARM environment The outcome of
evaluation detennines which resources wi/1 and will not be protected or considered funher.
Thoughtful evaluation also establishes the imponance of archaeological resources and
influences the cype of consi.tUrarion they are afforded.
1. Provide a detailed discussion addressing the significance or uniqueness of each
archaeological resource using the criteria for evaluation employed in CEQA
Appendix K or 36 CFR 60.4, as appropriate. Critically consider the full
complement of potential reasons (criteria) why a propeny might be considered
imponant, not simply the most obvious or prominent.
a. Consider the role of setting as a contributor to the imponance of the
resource. Archaeological resources can be eligible for the.NRHP under.
36 CFR 60.4(a) for their association with events that have contributed
to the broad patterns of history or prehistory, under 36 CFR 60.41c)
because they embody the distinctive characteristics of a type. period.
or method of construction, or represent the work of a master, or possess
high anistic value. Under these criteria, setting may contribute
substantially to the imponance of the resource.
b. Describe the integriry of each archaeological resource including an
estimate of the percentage of the resource that is disturbed or remains.
A consideration of integriry should relate to the reasons a resource is
determined important. Thus. the environmental setting or surrace u! ~n
archaeologt~l site can be completely destroyed or disturbed yet the sne
t::
may retain integriry if it is important only for the information its
subsurface component contains.
c. Identify the characteristics and areas of a resource that do and do not
contribute to its importance. U the resource is a National Register
district, identify the contributing and non-contributing properties within
the district and describe the nature of their contribution, to the extent
known.
i. Present clear evidence that information from the resources can
address or contribute to the resolution of important, specific
research questions outlined in the research design.
ii. Summarize or reference, as appropriate. the evidence that
indicates the resource contains in appropriate contextS and in
sufficient quantiry and qualiry, the material needed to meet the
data requirements of the stated hypotheses or research questions
documented in Sections IX and X above.
iii. Evaluate each resource in terms of its overall potential to
address important questions or fill data gaps. Compare the
resource to others in its local or regional context to determine
how much it can help to achieve stated research goals.
C. Assessing Effects.
Knowing e:ract/y what makes an archaeological resource imporrant and lo!owing what a
panicular undertaking realty involves in the way of ground disturbance or other physical
changes are indispensable in deciding how and how much chat resource may be affected by
the undertaking. For e:rample, two projects may both involve grading. In one case, grading
will disturb an archaeological resource imporrant because of the information that it contains.
In the other case, grading will disturb an archaeological resource imporrant because i1 visibly
represents a parricular human adaptation to specific environmental challenges. In the first
case,. the assessment of effects might conclude that the information can be acceptably
recovered through arrhluological acavarion. In the second case, there is no way to preserve
the association between the site and ils surroundings if grading occurs, and the effect of the
grading might be considered adverse. The difference in the effect determination is due to che
different reasons the arrhluological siles were determined imporrant
The focus of an ARM repot:t (inventory, evaluation, etc.) and what phase of the underraking
_,-is b!volved will largely derermin wherher or not an assessment of effects can be included in
· the report. Lack of projecr destgn informan·on or unevaluared resources are jusr two of many
facrors thar could preclude an assessmenr of effects.
LJ
l. Discuss or reference a previous discUSSion of the general undertaking (see
· Section V-D). Discuss the likely effects the undertaking may have on each
important archaeological resource. Use appropriate regulatorv language and
reference the local. state. or federal regulations or guideljnes under which the
effects of the undertaking are determined. Explain each determination.
a. Discuss anticipated direct and indirect impacts to archaeological
resources. Direct impacts include destruction, alteration, and isolation
of the property of its setting, when setting is a characteristic contributing
to the importance of the resource. While 36 CFR Parr 800 does not
distinguish between direct and indirect effects, anticipated indirect
impacts of an undertaking should be presented. Indirect impacts could
include growth inducement, increased public use, erosion of resources
outside the undertaking area. It is also appropriate to discuss beneficial
effects in addition to adverse effects.
2. For reports involving multiple resources, include a table listing all resources.
Provide your opinion on the importance of each resource and identify the effect
of the undertaking on each (e.g., no effect, effect, no adverse effect, adverse
effect).
D. Consider Alternatives/Proposed Management Actions
l. For each significant or unique resource that may be affected, discuss a range
of possible measures to avoid or minimize an adverse effect. Examples include:
a. relocation or redesign of the undertaking;
b. preservation measures;
c. data recovery for portions of selected resources; and
d. no undertaking.
2. Discuss the preferred alternative offering a rationale for this preference. This
discussion may address the merits of the undertaking, the mission and needs
of the agency, etc.
E. Recommendations/Proposals
Recommendations and proposals for [unher action can take a wide variety of forms
depending on the nature of the ARM study and the undmaking.
1. Inventory Reports
a. Inventory complete. Inventory reports may conclude that efforts to locate
archaeological resources have been sufficient. The inventory may lead
to one of the following conclusions and recommendations:
i. No resources were identified. The proposed undertaking does
not involve or affect archaeological resources.
ii Resources are presenL Depending on the type of resources
involved and the type of undertaking proposed, one of the
following recommendations may be appropriate:
Only unimportant resources are present. No further
consideration is necessary.
Archaeological resources are present but because of
preventive measures, will not be affected by the
undertaking.
Archaeological resources are present. EvalUation of
these resources is necessary.
Sufficient information exists to evaluate resources. Offer
recommendations regarding the importance of the
resources. This is usually not possible for archaeological
resources on the basis on surface inventory alone.
b. inventory incomplete. An initial effort to locate archaeological resources
may reveal that a different level of effort or additional inventory work
is necessary. This section should identify the constraints, limitations, or
rationale behind the recommendation for additional work and offer
specific recommendations for additional inventory.
2. Evaluation Reports
a. Evaluation results are summarized and conclusions or recommendations
regarding the importance of archaeological resources are presented.
When necessary, insert the following sons of items in a confidential
appendix:
b.
i. State Historical Landmarks nominations.
ii. National Register of Historic Places nominations.
iii. National Register eligibility opinions.
iv. Opinions on the importance of the resources under CEQA.
Provide conclusions regarding the effect of the undertaking on important
archaeological resources (e.g., no effect, no adverse effect, adverse effect).
Recommend further studies or actions such as mitigation or other
treatment for identified effects.
3. Treatment Reports
a. After mitigation, such as data recovery, has been completed. state
whether the resource retains significance and propose additional
measures needed to protect the resource or to recover additional
significant, information.
15
b. Discuss how effectively the treatment program met expectations. ·
XII. References (use of American Antiquity format is encouraged).
XITI. Appendices (Include, as appropriate, sections listed below).
A. Personnel qualifications (provide resumes).
B. Record search results.
1. Provide a copy of the Information Center record search, if conducted by
Information Center staff.
2. If a records search is conducted at an Information Center by a qualified
consultant, provide a copy of a receipt or evidence of such a search as well as
a report of the results of that search, if not already included in the report.
Archaeological site locations must not be disclosed in documents accessible to
the general public. Confidential appendices that· report site locations should
contain statements requesting that their distribution be carefully controlled
(see Section XIV).
C. Repository agreements.
D. Reviewer comments/agency correspondence.
E. Artifact/Collection catalog.
F. Artifact illustrations (if not in body of text).
G. Photographs and photo records.
H. Native American observer or monitor agreements.
I. Maps (non-confidential) and undertaking plans, drawings, etc.
J. Special studies/technical reports.
XIV. Confidential Appendices
Archaeological and sensitive Native Amen·can sire locations and maps should nor be included in
copies of reporrs for general distribution. Archaeological sire locations are exempred from rhe
California Freedom of Information Ac~ as specified in Govemmenr Code 6254.10. However. review
and regularory agencies often need such information for managemenr purposes. The placemenr of
such information in a Confidential Appendix fulfills rhar need.
A General Historical and Archaeological Resource Location 'Map (depicting locations ot.
all properties within a study area).
16
B. Native American sacred site location maps or descriptions, if regarded as sensitive. If
not obtained from the Native American Heritage Commission (NAHC), disclosure of
such information should occur only after coordinating with the NAHC and with
appropriate groups and individuals recommended by the NAHC.
C. Resource Inventory Records.
1. California Historical Resources Inventory Forms and Maps.
2. California Archaeological Site Inventory Forms and Maps.
3. California Isolated Artifact Forms and Maps.
D. Heritage :-<omination Forms.
1. California Historical Landmark Forms.
2. California Points of Historical Interest Forms.
3. National Register of Historic Places Forms.
4. National Register of Historic Places District/National Historic Landmark Forms.
XV. Further Reading and Guidance • Selected Rererences
The following references are recommended for [unher information and guidance. Copies of many of chese
references, or informanon on their availability, can be obtained from rhe State Historic Preservation Office,
P.O. Box 942896, 1416 Ninth Stree~ Sacramento, California 94296-0001, (916) 445-8006.
Laws and Regulations
National Historic Preservation Act of 1966. Public Law 89-665; STAT. 915; U.S.C. 470, as amended by
Public Law 91-243, Public Law 94-458, Public Law 96-199, Public Law 96-244, and Public Law 96-515.
Protection of Historic ProperriQ (36 CFR Pan 800). Federal Register, Vol. 51, No. 169. September 1986.
National Register of Historic Places (36 CFR Pan 60).
Nan·onal Regisrd'ofHistoric Places (36 CFR Parts 60 and 63). Proposed Rule. Federal Register, Vol. 51.
:-<c. 150. August S, 1986.
Curation of Federally-Owned and Administered Archeological Collections (36 CFR 79). Proposed Rule.
Federal Register, Vol. 52, No. 167. August 28, 1987.
Uniform Rules and Regulations: Archeological Resources Protection Act of 1979 ( 43 CFR Pan 7). Federal
Register, Vol. 43, No. 4. January 6, 1984.
CEQA: California Environmental Quality Act Scarutes and Guidelines. Office of Planning and Researctt.
Office of Permit Assistance. Sacramento, California. t9R6.
California Health and Safety Code, Section 7050.5.
California Public Resources Code, Secrion 5097.
Department or the Interior Guidance
Secretary of Interior's Standards and Guidelines for Archeology and Historic Preservation. Federal Register.
Vol. 48, No. 190, September 29, 1983.
Guidelines for Federal Agency Responsibilities under Section 110 of the National HisToric Preservation Act.
Federal Register, Vol. 53, No. 31. February 17, 1988.
The Section 110 Guidelines: Annotated Guidelines for Federal Agency Responsibilities under Section 110 of
the National Historic Preservation Act. Jointly issued by the Advisory Council on Historic Preservation
and the National Park Service, U.S. Department of the Interior, Washington, D.C. 1989.
The Curation and Management of Archeological Collections: A Pilot Study. Alexander J. Lindsay, et al.
Cultural Resources Management Series. U.S. Department of the Interior, Washington, D.C. September
1980.
Archeological Survey: Methods and Uses. Thomas F. King. National Park Service, U.S. Department of the
Interior, Washington, D.C. 1978.
Using UTM Grid System to Record Historic Sites. Heritage Conservation and Recreation Service, U.S.
Department of the Interior, Washington, D.C. 1980.
How to Apply the National Register Criteria for Evaluation. (Bulletin 15). National Park Service, U.S.
Department of the Interior, Washington, D.C. 1982 .
. Vational Register Bulletin Series. National Park Service, Department of the Interior, Washington, D.C.
Quantifying the Present and Predicting the Past: Theory, Method, and Application of Archaeological Predictive
J1odeling; Bureau of Land Management, U.S. Department of the Interior, Washington, D.C. 1987.
Advisory Council on Historic Preservation Guidance
Section 106, Srep-/Jy-Srep. Advisory Council on Historic Preservation, Washington, D.C. 1986.
Treatment of Archeological Properties: A Handbook. Advisory Council on Historic Preservation.
Washington, D.C. 1981.
Fact Sheer: A Five-Minute Look at Section 106 Review. Advisory Council on Historic Preservation.
Washington, D.C. 1988.
Fact Sheer: Programmatic Agreements under Secnon 106. Advisory Council on Historic Preservation.
Washington, D.C. 1988.
Fact Sheet: Secn·on 106 Partic(vanon bv Applicants for and Reczpienrs of Federal Assistance. Pemws. and
Licenses. A<hisory Council on Histone Preservation. Washington. D.C. 1988.
Fact Sheet: Section 106 Parricipation by Indian Tribes and Othu Native Americans. Advisorv Council on
Historic Preservation, Washington, D.C. 1988. ·
Fact Sheet: Section 106 Participarion by Local Govemments. Advisory Council on Historic Preservation.
Washington, D.C. 1988.
Identification of Historic Properties: A Decisionmaking Guide for Managers. Advisory Council on Historic
Preservation, Washington, D.C. 1988.
Public Participation in Section 106 Review: A Guide for Agency Officials. Advisory Council on Historic
Preservation, Washington, D.C. 1989 ..
Preparing Agreement Documents. Advisory Council on Historic Preservation, Washington. D.C. 1989.
Federal Historic Preservation Case Law •• A Special Report. Advisory Council on Historic Preservation.
Washington, D.C.
Recommended Outline: Ideal Data Recovery Plan. Advisory Council on Historic Preservation, Washington.
D.C.
Where to Look: A Guide to Preservation Information. Advisory Council on Historic Preservation.
Washington, D.C. 1983.
Miscellaneous Guidance and Readings
Appendix K, Archaeological Impacts. In CEQA: California Environmental Quality Act Statutes and
Guidelines. Office of Planning and Research, Office of Permit Assistance, Sacramento, California. 1986.
Scholars as Contractors. William J. Mayer-Oakes and Alice W. Portnoy, editors. Cultural Resource
Management Studies. National Park Service, U.S. Department of the Interior, Washington, D.C. 1979.
Scholars as Managers, or How the Managers Can Do It Bettu. Alice W. Portnoy, editor. National Park
Service, U.S. Department of the Interior, Washington, D.C. 1979.
Guidelines for Cultural Resource Management (CRM) Reports. San Bernardino County Arcllaeological
Information Center, San Bernardino, California.
California Archaeological Invmrory Handbook for Completing An Archaeological Site Record. California
State Historic Preservation Office, Sacramento, California. 1989.
California ArchaeolOgical Site Inventory lnforman·on Center Procedural Manual. California State Historic
Preservation Office, Sacramento, California.
California Archaeological Resource Identification and Data Acquisition Program: Sparse Lichic Scatters.
California State Historic Preservation Office, Sacramento, California, 1988.
19
ATTACHMENT 2
SUMMARY OF APPLICABLE LEGISLATION
SUMMARY OF APPLICABLE LEGISLATION
1. federal Law
The Antiquity Act of 1906 (Public Law 59-209, 34 STAT. 225~ 16 U.S.C. 421-
433): This act sets fonh the principal that the federal government, acting
for all the people, should work toward the protection, preservation, and
public availability of the nation's historic and prehistoric archaeological
resources. With accompanying guidelines, the act provides for federal con-
trol of all federally owned or controlled land and establishes a permit
system for the investigation of resources on federal lands.
Historic Sites Act of 1935 (Public Law 74-292, 49 STAT.666; U.S.C. 461-467):
This law declares that it is national policy to preserve historic (including
prehistoric) sites, buildings, and objects of national significance, for the ·
public. The National Park Service is directed to "make necessary investi-
gations and researches in the United States relating to particular sites
. . . or objects to obtain true and accurate historical and archaeological
facts and information concerning the same."
Reservoir Salvage Act of 1960 (Public Law 68-523, 74 STAT.220; 16 U.S.C.
469-469c): This act requires that before any agency of the United States
shall undenake the construction of a dam or issue a license for construc-
tion of a dam (greater than 5,000 acre-feet of 40 surface areas of capaci-.
ty), it shall provide written notice to the Secretary of the Interior. The
Secretary of the Interior will cause a survey to be made and, if deemed
necessary, will cause the necessary research to be conducted as expediently
as possible. (The provisions of the act apply regardless of the size of the
reservoir if the constructing agency finds or is presented with evidence
that archaeological resources will be affected.)
The National Archaeolo!Pcal/Historic Preservation Act of 1974 (Public Law
93-291, 88 STAT.174; 16 U.S.C. 469-a-1 et seq): This act provides the
federal government with methods of mitigating the impacts of their under-
takings upon those historic properties that contain scientific, prehistoric,
historic, or archaeological data.
The Historic Preservation Act of 1966 (Public Law 89-655, 80 STAT.915; 16
U.S.C. 470): This act provides for an expanded National Register of dis-
tricts, sites, buildings, structures, and objects of significance in
American history, architecture, archaeology, and culture and makes provision
for matching funds to aid in acquiring and/or preserving them.
Section'-106 · of the act requires that the President's Advisory Council on
Historic Preservation must be allowed to comment on any undertaking which
adversely affects properties listed on the National Register, or properties
that are eligible for listing.
The National Environmental Policy Act (Executive Order 11593) "Protection
or · Enhancement of the Cultural Environment; Federal Public Law 209: An Act
for the Preservation of American Antiquities."
2. California Law
California Public Resources Coc!e; (Section 5097.5: Unauthorized excavation,
removal, destruction, etc., of archaeological, paleontological, ·. or histori-
cal feature on "Public Land" as Misdemeanor. "No person shall knowingly and
willfully excavate upon, or remove, destroy, injure, or deface, any histor-
ical or prehistoric ruins, burial grounds, archaeological or vertebrate
paleontological site, including fossilized footprints, inscriptions made by
human agency, or any other archaeological, paleontological or historical
feature, situated on public lands, except with the express permission .of the
public agency having jurisdiction of such lands." ("Public land means land
owned by, or under the jurisdiction of the state, or any city, county,
district, authority or public corporation, or any agency thereof." Added by
Stats. 1965 Ch. 136, pp. 1).
California Penal Code, Title 14,. Part I (State of California) Section 622
1/2: Injury etc., to Object of Archaeological or Historical Interest.
"Every person, not the owner thereof, who willfully injures, disfigures,
defaces, or destroys and object or thing of archaeological or historical
interest or value, whether situated on private lands or ~thin any public
park or place, is guilty of a misdemeanor." (Added by Stats. 1939,
p. 1065).
California Public Resources Co<ie: California Environmental Quality Act
(CEQA). Section 21000 et seq.: State protection for cultural. and scien-
tific resources. Legislation to preserve examples of California history and
prehistory. This legislation provides for public review and public disclo-
sure of fmdings with regard to cultural resources.
3. City of Carlsbad
General Plan: Historic ?reservation Element: This element of the General
Plan "recognizes that historic preservation is a valuable asset to the
community and City of Carlsbad." The element "shall make a commitment for
the management and preservation of the community's legacy of sites, struc-
tures and resources."
City Ordinance 9776 Chapter 22.04.010 (1985); Historic Preservation Commis-
sion is created · to act in an advisory capacity to the city council, planning
commission, and design review board in matters relating to the identifica-
tion, protection, retention, and preservation of historic areas and sites
within the city.
City Ordinance 9776 Chapter 22·.06.010 (1985); Establish and maintain a his-
toric resources inventory. Covers the criteria for establishing selection·
to the inventory and' designation procedures for landmark 'and district
designations.
City Ordinance 9776 Chapter 22.08 and Chapter 22.10 (1985); Chapters per-
taining to permits and permit procedures with regard to historic resources
and enforcement, penalties,-and severability.
3. Historic Contexts <WESIEC 1980:16-27):
The Hispanic/Early American Pre-Railroad Period: 1769-1885.
The Boom Years and Their Aftermath: 1885-1910.
The Rebirth of Carlsbad: 1910-1930.
Carlsbad Comes of Age: 1930-1950.
ATTACHMENT 3
Research Themes for Cultural Resource Data Recovery
Programs in the City of Carlsbad
' "··'
Checkllst for Preparing and Reviewing
Ardlaeological Resource Management Reports
NameorUnde~--------------------------------------------------
Name or Report: -----------------------------------------------------
Reviewer/Agency: ----------------Date: ---------------
I. Cover Letters (see page 1 of ARMR Guidelines)
II.
m.
A. Provide the undertaking's name and location, and any identifying number.
B. State agency name and where applicable, district, region, or branch.
C. Briefly describe the undertaking (type, acreage, components, scheduling).
D. Describe the point that compliance with historic preservation law has reached.
E. Describe the phase and/or type of investigation addressed by the document.
F. Describe the results of the investigation.
G. Indicate what compliance action is being requested under applicable laws.
H. Name agency contact person administering, or most familiar with the undertaking and study.
Title Page (page 2)
A. List the authors and consulting firm.
B. Date the report by month and year.
C. Present the report title.
D. Identify the entity (e.g., agency, local government) submitting the report.
E. Identify the the party !Q whom the document was submitted and contract number, if any.
G. Cite the U.S.G.S. topgraphic quadrangles depicting study area.
H. List the acreage included in the study.
I. List keywords.
Table or Contents (if (g! of rqwrr exceeds 10 pages [see page 3])
A. List major report sections, subheadings, and appendices, with page numbers.
B. Provide a list of maps with page numbers. •
C. List figures with page numbers.
D. List tables with page numbers.
IV. Management Summary/Abstract (page 3)
A. Describe the purpose and scope of the archaeological investigation.
B. List the date(s) of the investigation.
C. Summarize the major findings of the investigation.
D. If resources have been evaluated, summarize their significance/uniqueness.
E. Discuss how the undertaking affects significant resources.
F. Describe constraints on the investigation (e.g., time, finances. logistics).
G. Offer a summary of recommendations.
H. Descnbe the disposition of r1eld notes. collections. and repons.
B. Evaluation ReportS
1. Discuss significance or uniqueness of each archaeological resource.
c. AsseSsing EffectS.
D. Consider Alternatives/Proposed Management Actions
1. Discuss possible measures to avoid/minimize impacts to resources.
2. Discuss the preferred alternative and rationale behind the preference.
E. Recommendations/Proposals
XII. References (page 16)
XIII. Appendices (Include secrions lisred below as appropriare, page 16).
A. Personnel qualifications (provide briefs or resumes).
B. Record search results.
C. Repository agreements.
D. Reviewers comments/agency correspondence.
E. Artifact/Collection catalog.
F. Artifact illustrations (if not in body of text).
G. Photographs and photo records.
H. Native American observer or monitor agreements.
I. Maps (non-confidential) and undertaking plans, drawings, etc.
J. Special studies/technical reportS.
XIV. Confidential Appendices (page 17)
A. General Historical and Archaeological Resource Location Maps.
B. Native American sacred site location maps or descriptions.
C. Resource Inventory Records.
D. Heritage Nomination Forms.
V. Undertaldn& Intormatlon/IntrO<iuction (page 4 of ARMR Guidelines)
A. Identify the contracting institution, numbers, etc.
B. Explain why the study was conducted.
C. Descnlle the undertaking (include maps).
D. Include a schedule for the undertaking.
E. Identify the geographical limits of ARM study area.
F. Describe how personnel were organized and list participants (qualifications in appendix).
VI. Setting (page 4)
A. Natural Setting (physical region; biotic communities; geology, flora, fauna; current land use).
B. Cultural Setting (include records and literature search results).
VII. Research Design (page 6)
A. Discuss the theoretical basis of the proposed research.
B. Summarize previous research.
C. Present testable hypotheses or state the research goals.
D. Identify the test implications of the hypotheses or expected archaeological information.
VIII. Methods (page 6)
A. Present definitions for archaeological resource types.
B. Describe the methods employed.
C. Indicate where .collected materials, photos, etc, are curated.
LX. Report or Findings (page 8)
A. Archaeological Resource Inventory ReportS
1. Present results (resources present or absent).
B. Archaeological Excavation ReportS
1. Describe the physical context of the archaeological deposit.
2. Describe archaeological features, artifacts, materials (ecofacts).
5. Describe the discovery, examination, and disposition of human remains.
X. Discussion/Interpretation (page 12)
A. Discuss results of the investigation as they relate to specific research design items.
B. Discusss results of the study in terms of general research objectives.
XI. Management Considerations (page 12)
A. Inventory Reports
1. Idennfy the management status of resources identified .:luring the stu<lv.
' Descnbe the completeness uf the study :md likelihood 0! unidentified resources.
3. Outline the need for further management ~ctions.
ATTACHMENT 4
Persons and Agencies Consulted
''
PERSONS AND AGENCIES CONSULTED
California Preservation Foundation
John Merritt, Executive Director
Oakland (415) 763-0972
Carlsbad, City of
Historic Preservation Commission
Clint Phillips, Senior Management Analyst
Housing and Redevelopment Agency
434-2811
Housing and Redevelopment Agency
Patricia Cratty, Senior Management Analyst
434-2811
Planning Department
Brian Hunter, Senior Planner
Lance Schulte, Planner
438-1161
Carlsbad Historical Society
Natalie Vermilyea, Archivist
931-8400
Escondido, City of
Patricia Borchmann, Planner
Dawn Suins, Planner
741-4671
Milford Wayne Donaldson, Architect
Wayne Donaldson, Principal
San Diego 239-7888
National Park Service
Ann Huston, HABSJHAER Coordinator
San Francisco (415) 556-7741
Office of Historic Preservation
Historic Resources Inventory
Don Mapoli, Director
Sacramento (916) 445-8006
Office of Hiswnc Preservation
Thad Van Buren
San Diego, City of
Historic Sites Board
Ron Buckley, Secretary
San Diego 533-3691
San Francisco, City and County
Landmarks Preservation Board
Vincent March, Secretary
San Francisco (415) 558-6345
Santa Barbara, City of
Mary Louise Days, Assistant Planner
Santa Barbara (805) 564-5470
Santa Barbara, County of
David Stone, Planner
Santa Barbara (805) 568-2000
RESEARCH TIIEMES FOR cuLTIJRAL RESOURCE DATA RECOVERY
PROGRAMS IN THE CITY OF CARLSBAD
The following themes are presented as a means of directing data recovery
research at cultural resource sites in the city of Carlsbad. These themes are
intended to promote research towards similar problem orientations not as a means
of curtailing individual research interests. The primary obligation of the
researcher is to adequately determine the themes which may be addressed through
the analysis of the data from a particular resource site. Researchers must also
provide details for the operationalization of specific hypotheses and the spe-
cific questions which will be addressed. The intention is that projects can be
designed so as to build on the results of completed projects and that the
questions and the means of answering them will be modified as work progresses.
1. Cultural Ecology:
Depletion of subsistence and . nonsubsistence resources in the San Diego
County region generally and the City of Carlsbad region . specifically. Ram-
ifications for human population size, settlement, and technology. Migration
and population flux associated with environmental change.
Replacement of subsistence and nonsubsistence resources and the ramifica-
tions for human population settlement and technology.
Seasonal movement of human populations in the county. Climatic change and
settlement.
Modification of the environment by human populations
ment including horticultural, protoagricultural, and
phases.
Lagoon siltation ramifications (eg. abandonment, depopulation).
2. Prehistoric Lifeways:
for resource enhance-
incipient agricultural
Earliest human occupation of the region (Pleistocene or Holocene).
Cultural chronology and definition of the distinctions, temporal range, and
behavioral differences among the various culture groups.
Influence of surrounding culture groups (diffusion, conquest, exogamy).
Effect$ of lind evidence for acculturation.
Subsistence (diet and nutrition).
Political organization.
Symbolism and Cosmology.
Technology.
Trade and/or Travel
: