New Mexico Administrative Code
Title 4 - CULTURAL RESOURCES
Chapter 10 - CULTURAL PROPERTIES AND HISTORIC PRESERVATION
Part 16 - STANDARDS FOR EXCAVATION AND TEST EXCAVATION
Section 4.10.16.13 - RESEARCH DESIGNS FOR EXCAVATION PROJECTS

Universal Citation: 4 NM Admin Code 4.10.16.13

Current through Register Vol. 35, No. 6, March 26, 2024

A. Purpose. A research design explains the purpose of the project, the scope of work proposed and how the fieldwork and analysis of the archaeological site(s) or area(s) of historic and scientific interest contributes to a greater understanding of the cultural heritage of the state. Research designs shall take into account broad regional research needs and strive to fill in gaps in current state of knowledge. Research designs shall be realistic and attainable from the nature of the site(s) to be investigated and shall be flexible enough to accommodate unanticipated discoveries. At a minimum, a research design shall include the following components and shall be prepared consistent to the excavation standards in 4.10.16.12 NMAC.

B. Components. The length of each section shall be appropriate to the complexity and scale of the study.

(1) Title page. Do not obtain a NMCRIS number for research designs.

(2) Table of contents, lists of figures and tables. Prepare for documents with more than 10 pages of text.

(3) Purpose of the study. Provide a succinct overview of the proposed study including:
(a) goals, name and brief description of the history of the project;

(b) list of sites to be studied by LA number and land status;

(c) the project sponsor (client), state agency and other land jurisdictions if any; and

(d) project location and project map depicting the location and boundaries of the site(s) to be excavated by LA site number, land ownership boundaries, north arrow, key and name of appropriate 7.5-minute USGS source quadrangle(s).

(4) Research context. The context provides a foundation for the development of specific research questions. Scale the discussion to the complexity, size and limitations of the proposed study. The length of each discussion may vary but include the following elements:
(a) review of pertinent literature including, but not limited to, statewide and regional cultural-historical overviews and historic contexts, research designs, published archaeological, ethnographic and historical monographs and articles, cultural resource management technical reports and field reports sufficient to identify gaps in the current state of knowledge;

(b) query NMCRIS database and map server to identify sites of similar types and age in the project area to establish baseline information for comparative purposes;

(c) discussion of the theoretical orientation and assumptions guiding the proposed research;

(d) identification of general research problems and topics relevant to the region; discuss the research problems in the context of the culture history and knowledge of the area and current research gaps; draw on existing knowledge of research conducted at similar types of sites near the project area; and

(e) specification of research questions; provide a clear link between the questions and the theoretical assumptions.

(5) Current knowledge of the site(s). Summarize previous work at the site, the site's national register eligibility, immediate environmental setting, site size, the number and type of known features, the types and quantity of artifacts and activity areas, the potential depth of cultural deposits in different areas of the site, and site integrity and extent of disturbed versus unexcavated areas.

(6) Specific research questions. Provide a clear link between the research questions and the general research problems. Identify the specific kinds of data needed to address the questions and explain how the site(s) to be excavated are likely to contain data relevant to address the questions. Take into account current knowledge of the site or site type in this discussion.

(7) Specific procedures to test or excavate the site(s). If more than one site is to be excavated, specify the activities to be performed at each site. Discuss the proposed methods to:
(a) determine site limits;

(b) identify, document and assess features;

(c) define surface artifact distributions, densities and intrasite activity areas; and

(d) determine the depth of cultural deposits.

(8) Procedures to operationalize the plan. At a minimum, discuss:
(a) procedures used to map the site;

(b) methods for surface collections and recordation; specify the method of collection, grid size or point provenience, in-field analysis if proposed, the minimum number of grid units to be collected and recorded and sampling fraction (percent of site area to be collected and recorded);

(c) the type(s) of hand excavation units and sampling fraction (the percent of site area to be excavated for each unit type); for systematic auger holes, explain the placement, interval, and minimum number of units and size of the area excavated in square meters; for excavation units and trenches, specify the size (dimensions), placement and minimum number to be excavated;

(d) the type, placement and minimum number of mechanical excavation units (trenches) and their length, width and depth; specify the percent of site area to be excavated with mechanical equipment including horizontal scraping;

(e) specialized samples (radiocarbon, pollen and other samples or specimens); specify the methods and conditions under which samples will be collected, processed and analyzed;

(f) procedures if human burials are encountered consistent with 4.10.11 NMAC;

(g) procedures for monitoring during construction will be implemented; the proposed monitoring shall be consistent with the standards in 4.10.17 NMAC; and

(h) procedures for notification in the event of contingencies for unanticipated discoveries.

(9) Backfill. Discuss procedures to backfill and stabilize the site.

(10) Analytical procedures. Provide a specific link between the research questions, data needed to address the research questions and proposed analytical procedures to generate the necessary data from observations and material remains recovered from the site. Specify the types, quantities and quality of data needed to address the research questions. Discuss the descriptive and comparative analyses for each class of artifact and type of specimen expected to be recovered from the sites. Include the proposed typology that will be used to describe the assemblage content and specific attributes to be observed. Consider the kinds of measurement that will be used, justifications for sampling and minimum thresholds for statistical validity. Include copies of all analysis forms in the appendix if they differ from the forms provided in the application submitted pursuant to 4.10.8 NMAC. Discuss sampling strategy and sampling fraction if all artifacts and specimens collected will not be analyzed. Explain the provisions that will be made for the collection and analysis of data that are not directly related to your stated research problems. Minimally, a representative sample of all recovered materials shall be analyzed.

(11) Schedule. Explain the expected time frame to implement the field, analysis and reporting phases of the project.

(12) Personnel. Identify all supervisory personnel and analysts who will perform the fieldwork, laboratory analyses and prepare the report. Include subcontractors if any are proposed and off-site laboratories for proposed specialized analyses. If specific personnel or subcontractors have not been identified for all activities, provide a list of personnel or subcontractors who may be retained, or list the minimum qualifications of the personnel that will be retained.

(13) Curation. Identify the proposed repository; if the repository will not be the MIAC, provide justification pursuant to 4.10.8 NMAC.

(14) References cited.

(15) Appendices, as needed.

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