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Phases of Cultural Resources Investigations The phase process is primarily designed to aid agencies in meeting Section 106 obligations concerning planned project effects on cultural resources by obtaining information necessary to determine the NRHP eligibility of archaeological sites in an orderly and systematic fashion. On-the-ground inspection based on probability sampling procedures is requisite in all phases of survey unless the Principal Investigator submits written justification and documentation that on-the-ground inspection is impossible or unwarranted. All archaeological investigations must employ sufficient testing to achieve the phase goals. For Phase I, the field methodology and analyses should be sufficient to identify all archaeological sites and historic standing structures in the project area. For Phase II, the field methodology and analyses should be sufficient to permit a final eligibility determination ("eligible" or "not eligible"). Phase III field methods and analyses should be sufficient to recover adequate data to answer all questions outlined in the research design because site destruction generally follows investigations. With prior approval of the Division, any agency or archaeologist may combine one or more phases of investigation into a single project phase. The archaeologist must specify which of the following types of investigation a report is based upon.
Phase I - Intensive Field Survey A Phase I is required to cover all land within the project boundary. This is usually accomplished by a combination of "pedestrian" surface collection and subsurface testing, i.e. shovel testing. The ratio of pedestrians to subsurface survey in a project area, as well as the sampling strategy, must be fully justified in the draft and final reports. All high probability areas must be tested by shovel testing, regardless of surface visibility. For large tracts of land in which a predictive site location model has been developed, probabilistic sampling (e.g., stratified random sampling, high and low probability zones, etc.) should be used to define intensity of survey. The sampling strategies must be described and justified in both the draft and final reports. A Phase I survey should identify all potentially eligible sites within a project area. Limited test excavations typically associated with Phase II surveys may be required during Phase I if final eligibility determinations are sought. The results of Phase I surveys shall be presented in a report which fulfills the criteria set forth below, and the report shall contain evaluations of NRHP eligibility when sufficient documentation of significance is available.
Phase II - NRHP Eligibility Testing Phase II investigations include intensive primary literature and records reviews and evaluations to identify all known archaeological and historical sites in the project area. For terrestrial sites, systematic shovel testing should be conducted to clearly delineate the vertical and horizontal boundaries. Test units are the primary method to be used to assess site significance. Shovel testing and test units may be augmented by controlled surface collecting, auger testing or probes, and large-scale block excavations. Magnetometers and other remote sensing devices may be employed for locating subsurface features. A plan for preserving, recovering, or otherwise mitigating adverse effects on sites may be presented for Phase III.
Phase III - Data Recovery Alternative plans for eligible resources should be considered in the following order of priority:
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