Current through all regulations passed and filed through September 16, 2024
(A) Definitions
(1) "Public land" is land that is owned,
controlled, or administered by the state of Ohio or by any political
subdivision of the state.
(2)
"Archaeological preserve" is a property upon which significant archaeological
sites are located and for which the Ohio historical society has accepted
articles of dedication pursuant to section
149.52
of the Revised Code.
(3) "State
registry of archaeological landmarks" is a registry of Ohio's significant
archaeological sites that is maintained by the Ohio historical society pursuant
to section
149.51 of the Revised
Code.
(4) "Historic properties"
are sites, structures, buildings, places, objects, and districts that meet the
criteria of the state registry of archaeological landmarks, the definition of
archaeological sites as written in section
149.52
of the Revised Code, the state registry of historic landmarks or the national
register and which possess archaeological data.
(5) "State registry of historic landmarks" is
a registry of Ohio's significant historic and/or architectural buildings,
structures, places, and districts that is maintained by the Ohio historical
society pursuant to section
149.55 of the Revised
Code.
(6) "National register"
means the national register of historic places, which is a register of
districts, sites, buildings, structures, and objects significant in American
history, architecture, archaeology, engineering and culture maintained by the
secretary of the interior.
(7)
"History" comprises the events, patterns, and processes of the human past,
including those that have affected literate societies and those that have
affected preliterate or nonliterate groups, whose history is sometimes referred
to as prehistory.
(8) "Significant
data" are data that can be used to answer research questions, including
questions of present importance to scholars and questions that may be posed in
the future.
(9) "Archaeological
data" are embodied in material remains (artifacts, structures, refuse, etc.)
produced purposely or accidentally by human beings, and in the spatial
relationships among such remains.
(10) "Historical data" are data useful to the
study and understanding of human life during the period since the advent of
written records in the area of concern. The date of inception of the historic
period varies within the United States.
(11) "Prehistoric data" are data useful to
the study and understanding of human life during the prehistoric period, i.e.,
all time periods prior to substantial contact between the native people of the
United States and literate societies. The end point of the prehistoric period
varies from area to area within the United States.
(12) "Scientific data" are data provided by
disciplines other than archaeology, history, and architecture, that are
relevant to an understanding of human life during either historic or
prehistoric periods. Ethnographic, biological, geological, ecological,
geophysical, and paleontological data, among others, are often important to the
understanding of the human past.
(13) "Location and assessment studies" are
studies necessary to locate and to evaluate historic properties. All require
literary research; if existing data do not permit the adequate location and
assessment of historic properties, field inspection will likely be necessary.
(14) "State historic preservation
officer" means the person authorized by the governor of Ohio at the request of
the secretary of the interior for purposes of implementing the National
Historic Preservation Act of 1966, Public Law 89-655.
(15) "Data recovery" is the systematic
retrieval of the scientific, prehistoric, historic, and/or archaeological
information that provides an historic property with its research value. Data
recovery may include preliminary survey of the affected historic property or
properties for purposes of the development of specific plans for research
activities, excavation, relocation, preparation of notes and records, and other
forms of physical removal of data and the material that contains data,
protection of such data and material, analysis of such data and material,
preparation of reports on such data and material, and dissemination of reports
and other products of the research. Examples of data recovery include
archaeological research producing monographs, descriptive and theoretical
articles, study collections of artifacts and other materials; architectural or
engineering studies resulting in measured drawings, photogrammetry and
photography, historic and anthropological studies of recent or living human
populations relevant to the understanding of historic properties, and
relocation of properties whose data value can best be preserved by so doing.
(16) "Material" means actual
objects retrieved from an historic property as part of a data recovery program,
including, but not limited to, artifacts, byproducts of human activity such as
flakes of stone, fragments of bone, and organic waste of various kinds,
architectural materials and details, soil samples, pollen samples, skeletal
material, and works of art.
(17)
"Principal investigator" means the contractor or person directly responsible
for a location and identification, assessment, or data recovery project.
(18) "Research design" is a plan
outlining the proposed approach to a location, identification, or data recovery
project. Minimally, the design shall spell out relevant research problems,
research methods, and some predicted results of the study. Research designs may
be modified as the course of research yields new findings.
(19) "Research methods" are procedures and
techniques used to record, recover, and/or analyze a body of data such that
conclusions may be drawn concerning research problems.
(20) "Research problems" are important
questions relevant to anthropology, sociology, geography, history,
architectural history, art history, and other disciplines of the sciences and
humanities that can potentially be answered by studying historic properties.
Scientific, prehistoric, historic and archaeological data are valuable insofar
as they apply to the investigation of research problems. Research problems are
typically posed as questions about human behavior, thought, or history.
Potential answers to such questions, and the ways in which such answers may be
contained in the data from specific historic properties are often spelled out
in research designs as hypotheses.
(21) "Ohio Archaeological Council" is a
private, non-profit organization of professionally competent archaeologists
which provides archaeological consultation, aid, and service to citizens and
state and federal agencies.
(B) Guidelines for the investigation of
archaeological properties (modified after 36 Code of Federal Regulations, Part
66).
(1) General conduct of location and
assessment studies
The requirements of section
149.54
of the Revised Code and of this rule shall not apply to any department, agency,
unit, instrumentality, or political subdivision of the state. Although the
specific activities necessary for the identification of historic properties may
vary, the following steps will generally be included.
(a) Background research and evaluation of
existing data
(i) Since few areas of the
state have yet been adequately surveyed for historic properties, current lists
of such properties seldom provide information sufficient for location and
assessment studies. Documentary research is the starting place for any location
study. Systematic study and evaluation of data may permit predictions about the
kinds of historic properties that may be encountered in the area and about
their possible distributions. Such study may also make it possible to develop a
broad evaluatory framework within which the significance of particular
properties can be judged. Finally, background research may pinpoint some
properties that are already adequately documented, or properties that are known
but need further study to obtain full documentation. In undertaking background
research, answers to the following questions should be sought:
(a) Are there known historic
properties in the area?
(b) Is knowledge about the
presence or absence of historic properties based on a survey or surveys carried
out according to the standards set forth herein?
(c) To what extent are
survey data lacking?
(d) If the area has not been
systematically surveyed, what predictions can be made about the location or
kinds of historic properties expected, based on data from already surveyed
areas, from the known history of the area, from the constraints imposed by the
natural environment, etc.?
(e) Given the known history
and prehistory of the region, the social and cultural concerns of its people,
and pertinent state, local, and regional plans, what preservation and/or
research priorities appear to be appropriate, and what kinds of historic
properties might be important to the satisfaction of these priorities?
(ii) The person
undertaking a location and assessment study should be vigorous in searching out
useful sources of data, and should encourage innovative approaches in their use
to predict the locations of properties and to develop evaluatory frameworks. It
must be recognized, however, that some institutions and organizations that
maintain lists, files, or other bodies of unpublished data are legitimately
concerned about the integrity of these documents and/or about the cost involved
in permitting their use; these concerns should be ascertained and, if
legitimate, honored. At least the following sources of background data should
be consulted:
(
a) The state
historic preservation plan maintained by the state historic preservation
officer, to obtain such data as:
(i) Information on
properties listed in, nominated to, or determined eligible for listing in the
national register, properties on the state registry of archaeological landmarks
and state registry of historic landmarks, properties in the Ohio historic and
archaeological inventories, and properties on which the state has evaluated and
unevaluated survey data;
(ii) Information on
predictive data regarding potential properties in the area;
(iii) Recommendations as to
the need for surveys in the area;
(iv) Recommendations
concerning methods that should be used in conducting such surveys and possible
sources of professional expertise;
(v) Results of any previous
surveys in the area and the state historic preservation officer's comments
thereon; and
(vi)
Recommendations concerning pertinent state or local laws and policies
concerning historic properties.
(b) Basic published and
unpublished sources on local history, prehistory, anthropology, ethnohistory,
and ecology should be studied to obtain an overview of the region's potential
historic property distributions and research or preservation values.
(
c) The national register
and other lists or files of data on historic properties should be consulted. A
list of properties added to the national register each year is published
annually in the "Federal Register."
National register listings are also accompanied by a list of
properties of federal and nonfederal ownership which have been determined to be
eligible for inclusion in the national register as well as a list of pending
nominations. The catalogs of the historic American buildings survey and the
historic American engineering record maintained by the national park service,
and any similar surveys and published reports should be utilized. State,
university, or professional society historians, architects, architectural
historians, archaeologists, and local organizations may also have registers,
inventories, catalogs, or other lists of sites or areas with known or presumed
historic values.
(d) Persons with first-hand
knowledge of historic properties and/or their historic values should be
interviewed where feasible and appropriate. Such interviews, and a proper
respect for the opinions expressed by those interviewed, are of particular
importance where properties of cultural importance to local communities or
social groups may be involved.
(iii) Background research should be
undertaken by or under the supervision of professional historians,
architectural historians, historical architects, and/or archaeologists. It will
often be necessary to draw upon the services of specialists such as
ethnohistorians, anthropologists, sociologists, and cultural geographers to
make adequate use of available documentary data.
(b) Field inspection. If review and
evaluation of existing information yields incomplete data based upon prior
professional examination of the area, then the background research should be
supplemented by direct examination of the area subjected to environmental
impact.
Field inspection must be performed by qualified, competent
historians, archaeologists, architectural historians and/or historical
architects and such other specialists as local circumstances dictate.
The nature of the area will also affect the kinds of methods
that must be employed to identify and record historic properties. Terrain,
vegetation, land ownership and other factors will also affect the time required
to conduct an inspection and the kinds of techniques that will be required to
complete it.
Adequate records must be kept of all inspections to indicate
clearly what lands were inspected, the degree of intensity with which they were
inspected, the kinds of historic properties sought, all historic properties
recorded, and any factors that may have affected the quality of the
observations.
(2) Special considerations with respect to
submerged lands
For submerged lands documentary research by qualified
researchers may serve to indicate the need for, and recommended location of,
physical and/or electronic surveys for submerged archaeological sites and
sunken vessels.
(3)
Documenting location and assessment studies
The nature and level of specificity required in documenting a
location and assessment study may vary with the scope and kind of project for
which the study is conducted, the kinds of information available about the area
studied, and other factors. In general, it is necessary to document the methods
used in conducting the study, the assumptions that guided the application of
the methods, the results of applying the methods, and any deficiencies in these
results that may have arisen from the application or misapplication of the
methods. The report of a location and assessment study should contain the types
of information detailed in paragraph (C) of this rule.
(4) Data recovery operations
Data recovery program operations carried out under the
provisions of section
149.54
of the Revised Code should meet at least the minimum standards detailed in
paragraph (C) of this rule. All operations are to be conducted under the
supervision of appropriately qualified professionals. Qualifications required
for professionals are set forth in paragraph (D) of this rule.
(5) Protection of data and
materials
Data recovery programs result in notes, photographs, drawings,
plans, computer output, and other forms of information. They also may result in
the acquisition of architectural elements, artifacts, soil, bone, modified
stones, pollen, charcoal, and other physical materials subject to analysis,
interpretation, and/or display.
Data and material resulting from a data recovery program should
be in the custody of a qualified institution. A "qualified institution" is one
equipped with space, facilities, and personnel adequate to curate, store, and
maintain the recovered data and material. The exact nature of the requisite
space, facilities, and personnel will depend on the kinds of data and material
recovered.
(6) Provision
of reports
Pursuant to section
149.54
of the Revised Code, any person performing a location survey, assessment
survey, or excavation under the provisions of this rule shall provide the
director of the Ohio historical society with two quality copies of reports
conforming to the specifications listed in paragraph (C) of this rule.
(C) Specifications for
reports of archaeological services
These specifications for reports of archaeological services
were established by the "Ohio Archaeological Council" and adopted for use as
review criteria by the Ohio historical society.
Archaeological services report. The report shall, in form and
substance, conform to recognized professional standards applicable to
archaeological reports. The report is designed to provide the director of the
Ohio historical society with the inventory, statements of archaeological
significance, and a means for the management of archaeological resources. The
report is also designed to provide a systematic body of data for future
evaluation and research. The specifications are not designed to exclude
categories of information not listed nor to offer a rigid format for the final
report. The reports should consist of the appropriate sections for the type of
archaeological services being conducted. Sections applicable to specific types
of research are outlined in paragraph (C)(2) of this rule.
(1) Report categories
(a) Introductory statements
(i) Title page.
(a) Title, author, principal
investigator, date of submission.
(b) Consulting
firm/archaeologist, address.
(c) Client for whom report
is prepared, address.
(d) Lead federal agency or
state agency, if applicable.
(ii) Table of contents arranged in accordance
with the sequence of topical headings with corresponding page numbers.
(iii) Abstract (suitable for
publication) to include a resource management summary which summarizes the
research strategy, results, suggestions, and recommendations.
(iv) Introductory statements
(a) A statement as to the
purpose and circumstances of the contracted archaeological services.
(b) General description of
the project and project area with appropriate mapping.
(b) The setting/environmental
background. This shall be a detailed description not only of the physiographic
province, but also of the project area with attention given to flora, fauna,
geology, soils and climatic history, and historic patterns of land use. Site
potential shall be discussed, e.g., chance of deeply buried sites on a flood
plain. The environmental background shall be described in a way to provide
information on resource utilization potential, e.g., soils favorable for
cultivation, availability of raw lithic resources.
(c) Previous research and literature search.
This shall be a comprehensive and detailed review of past and current
archaeological and historic investigations of the project area and surrounding
region, including but not limited to, the following:
(i) Names of investigators or institutions.
(ii) Dates, extent, results, and
adequacy of previous research as it reflects on the interpretation of what
might be found in the project area.
(iii) Location and nature of field notes,
unpublished manuscripts, and collected materials.
(iv) Statement that a check has been made of
the national register, the state registry, the Ohio archaeological inventory,
regional archaeological files (universities, museums, regional preservation
offices, societies), and appropriate state, county, and local histories.
(d) Cultural
development/archaeological background. The project area shall be placed in its
regional setting with respect to the known cultural history. This shall include
a description of the major outlines of prehistoric and historic cultures of the
project area, including chronology, settlement and subsistence patterns, and
any other significant data available.
(e) Field methods and techniques
(i) Sampling strategy. Description and
justification;
(ii) Field
techniques:
(a) A
description and justification of the field techniques employed.
(b) Environmental conditions
during the survey and their effects upon the survey results.
(c) A description of data
collecting techniques, and types of data collected (e.g., artifacts and
cultural debris as well as spatial relationships between them), sampling
techniques (complete, systematic, or specific form of random sampling), and
artifact-retrieval procedures.
(d) Procedures used to
locate landowners, collectors, and others knowledgeable in the archaeological
resources.
(e)
Controls, if utilized, for personal bias.
(iii) Data recording requirements:
(a) Dates of fieldwork.
(b) Measuring
devices and circumstances when used and not used.
(c) Graphic as well as
written summary descriptions of all surface and subsurface collection units,
including any limitations of access. The description of the survey route should
include spacing and number of traverses. Descriptions of test units employed,
including graphic locations at appropriate scale, should be included.
(
d) When cultural
materials are encountered, the following information is required:
(i) Surface survey. Indicate
methods utilized to determine density and extent of recovered materials.
(
ii) Subsurface
survey. Information on each of the test units should minimally include:
a. The location and
size of each unit within the site.
b. The types of
levels excavated (natural, cultural or arbitrary) and the justification for
such techniques.
c. A description of
all natural and/or cultural material observed and/or collected within the test
units including soil descriptions and the description, dimensions and
interpretation of any features encountered. Graphic representations of all test
pit locations, profiles and features should be included.
(f)
Description of analytical techniques. Laboratory and analytic methods should be
summarized so that they are clear to other researchers, minimally including:
(i) Classificatory scheme (typology) or
schemes used in artifact description and analysis. If using a scheme developed
by another archaeologist, give full reference.
(ii) Method of chronological determination
(typological, radiometric, etc.).
(iii) Other special analytical methods and
techniques (e.g., predictive models).
(iv) The curation location of all artifacts
and research data (including field notes) must be specified. This curation must
be open to inspection by the director of the Ohio historical society or the
director's duly authorized representatives. The final disposition of all data
must be acceptable to the director of the Ohio historical society.
(g) Site descriptions. This
section shall include the following information:
(i) A completed Ohio archaeological inventory
form which must be referenced here but may be appended.
(ii) A general description of the site
location.
(iii) The environmental
setting including topography, proximity to water, soils, and elevation.
(iv) Dimensions and boundaries of
the site.
(v) The nature and
amount of previous disturbance.
(vi) The materials recovered, including a
description of the assemblage or assemblages with illustrations and
distribution tables. Illustrations of the materials collected should include
photographs and/or line drawings of all diagnostic artifacts when reasonable or
should, in case of a large quantity of recovered material, include
representative examples of those materials.
(vii) The cultural/temporal affiliation(s),
if known.
(viii) A discussion of
the potential impact of the project on the site, if applicable.
(ix) A statement of significance and
recommendations for further work. Statements of significance for each site
located are determined by historic, scientific, and social values. Such
statements will consider, but not be limited to, the following definitions:
(a) Historical value of
cultural resources depends on the potential for identification and
reconstruction of specific cultures, periods, lifeways, processes, and events.
Cultural resources are historically significant if they provide a typical or
well-preserved example of a prehistoric or historic tribe or society, period of
time, or category of human activity. Archaeological remains are also
historically significant if they can be associated with an identifiable
individual, event, or aspect of history.
(
b) "Scientific value" is
the potential for using cultural resources to establish reliable
generalizations concerning past societies and cultures and deriving
explanations for the differences and similarities between them and for their
development through time. Much of the same data is used for both scientific
purposes and historic studies, but the treatment and scope of the information
differ. Generalizations and explanations require controlled comparison of
statistically representative samples of all types of data relevant to past
human life. Samples include artifacts, settlements, dietary remains and
evidence of past environments. Scientific significance depends on the degree to
which archaeological resources in the project or program area constitute a
representative sample of data which can be used in comparative studies. The
value of these data is determined in the regional context of the project or
program area and in relation to general anthropological or historical problems.
The scientific significance of cultural remains is assessed by
consideration of a variety of factors, including:
(i) The relative abundance
of the resources.
(ii) The degree to which
specific resources and situations are confined to a given area.
(iii) The quality of
preservation conditions as it relates to the potential for future research.
(iv) The cultural
and environmental relationships of the archaeology of a given area to the
surrounding province or provinces.
(v) The variety of evidence
for human activities and their environmental surroundings that is contained
within a given area.
(vi) The range of research
topics to which the resources may contribute.
(vii) Special deficiencies
in current knowledge that the study of these resources may elucidate.
(
c)
Social value consists of direct and indirect ways by which society at large
benefits from study and preservation of cultural resources, including:
(i) The acquisition of
knowledge concerning man's past.
(ii) Indirect benefits
received by educational and research institutions and their communities,
including opportunities for professional training.
(iii) The acquisition and
preservation of objects and structures for public exhibit and enjoyment.
(iv) Educational
and economic benefits from tourism attracted by archaeological and historical
exhibits.
(v) The
practical application of scientific findings acquired in archaeological and
historical research.
(vi) The preservation of
areas significant for ethnic groups.
(h) Eligibility assessment. When
sufficient information is available, each site shall be evaluated in terms of
its eligibility for listing on the national register of historic places and the
state registry of archaeological landmarks. The investigator must state the
justification for considering any resource eligible for these registries.
(i) In such a consideration, the following
national register criteria will apply to all cultural properties possessing
historical, architectural, archaeological, or cultural value located within the
area of the actual or proposed project's potential environmental impact.
"National register criteria" means the following criteria established by the
secretary of the interior for use in evaluating and determining the eligibility
of properties for the national register. The quality of significance in
American history, architecture, archaeology, engineering, and culture is
present in districts, sites, buildings, structures, and objects of national,
state and local importance that possess integrity of location, design, setting,
materials, workmanship, feeling and association, and:
(a) That are associated with
events that have made a significant contribution to the broad patterns of our
history; or
(b)
That are associated with the lives of persons significant in our past; or
(c) That embody
the distinctive characteristics of a type, period, or method of construction,
or that represent the work of a master, or that possess high artistic values,
or that represent a significant and distinguishable entity whose components may
lack individual distinction; or
(
d) That have yielded, or
may be likely to yield, information important in prehistory or history.
Ordinarily historic cemeteries, birthplaces, or graves of
historical figures, properties owned by religious institutions or used for
religious purposes, structures that have been moved from their original
locations, reconstructed historic buildings, properties primarily commemorative
in nature, and properties that have achieved significance within the past fifty
years shall not be considered eligible for the national register.
(ii) An archaeological
property, prehistoric or historic, is eligible for listing in the state
registry of archaeological landmarks if it:
(a) Possesses integrity of
location, context, or materials; and
(
b) Has yielded, or may be
likely to yield, information important in furthering the understanding of
prehistory or history.
An archaeological property can include, but is not limited to,
any village, earthwork, mound, burial, campsite, quarry, prehistoric or
historic ruin, or other location which is or may be the source of important
archaeological data.
(iii) In addition to these basic statements
of national register and state registry criteria, the following twenty
categories of archaeological information taken singly or in any combination,
are regarded as elements of significance:
(a) Chronology;
(b) Stratigraphic sequence;
(c) Short time
period (single component site);
(d) Long time period
(multiple component site);
(e) Extreme antiquity;
(f) Historic
contact;
(g)
Ethnic identity;
(h) Geographic distribution
(i) Culture
contact;
(j)
Culture history;
(k) Socio-cultural
processes;
(l)
Uniqueness of cultural expression;
(m) Rich assemblage;
(n) Replication
of pattern evidence;
(o) Potential for testing
techniques;
(p)
Degree of disturbance;
(q) Place in history of
archaeology;
(r)
Potential for public interpretation;
(s) Potential for training
professional archaeologists;
(t) Potential for
interpreting a particular prehistoric culture.
(i) Summary and recommendations. The summary
section should discuss the following items:
(i) Methodology.
(ii) Findings.
(iii) Evaluation of findings including:
(a) The theoretical
orientation of the principal investigator and/or author's bias and assumptions
shall be explicitly stated as they pertain to this cultural resource.
(b) The
significance of each site in terms of its scientific, archaeological,
historical or cultural value. If the examination did not offer an opportunity
to gain data sufficient to arrive at a satisfactory conclusion, offer
recommendations for further research.
(c) Primary impact.
(d) Secondary
impact.
(iv) When
applicable, the principal investigator shall consider mitigation possibilities
and evaluate the most appropriate and feasible alternative for sites within the
project area. This section of the report should offer suggestions for:
(a) Protecting any
portion(s) of the site, or sites, that will remain after examination from
damage or destruction.
(b) Protecting any site,
sites, or portions of a site that are proven or suspected to be either directly
or indirectly affiliated (e.g., culturally, spatially, etc.) with the site or
sites under investigation.
(c) Interpreting the site or
sites for public information and educational programs.
(j) Required appendices:
(i) Bibliography and field contacts (names
and addresses).
(ii) United States
geological survey seven-and one-half-inch quadrangle map showing project and
site locations to scale.
(iii)
Ohio archaeological inventory forms.
(iv) Survey permits, if applicable.
(v) Archaeological services
proposal (budget and curriculum vitae of principal investigator may be
omitted).
(2)
Final report. The following is a list of the report categories in paragraph
(C)(1) of this rule, required for the type of research being conducted. Since
literary research, location, eligibility assessment and excavation are
frequently sequential activities for the same project, report categories
previously published may be referenced.
(a)
Literature research:
(i) No sites. Paragraphs
(C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d), and (C)(1)(j) of this rule.
(ii) Known or suspected sites
within project area. Paragraphs (C)(1)(a), (C)(1)(b), (C)(1)(c), (C)(1)(d),
(C)(1)(f), (C)(1)(g), and (C)(1)(h) of this rule if applicable.
(b) Location:
(i) No sites. Paragraphs (C)(1)(a),
(C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(e), and (C)(1)(f) of this rule if
applicable; and paragraphs (C)(1)(i) and (C)(1)(j) of this rule.
(ii) Known sites. Paragraphs (C)(1)(a),
(C)(1)(b), (C)(1)(c), (C)(1)(d), (C)(1)(e), (C)(1)(f), (C)(1)(g), and (C)(1)(h)
of this rule if applicable; and paragraphs (C)(1)(i) and (C)(1)(j) of this
rule.
(c) Eligibility
assessment. All report categories are applicable.
(d) Excavation. All report categories are
applicable.
(D) Personnel qualifications
(1) Paragraph (D)(3) of this rule describes
the evaluation criteria prescribing minimum education, training and experience
requirements for persons in charge of or otherwise engaging in public
archaeology in Ohio. These criteria, developed by the "Ohio Archaeological
Council," will be used by the director of the Ohio historical society and his
staff archaeologists to evaluate the competence of applicants that apply for
permission to conduct archaeological investigations on public land,
archaeological preserves, and sites listed on the state registry of
archaeological landmarks.
(2) Four
phases of archaeological investigation with corresponding personnel
qualifications have been identified for the purposes of this rule. They are:
(a) Phase one: literature research. The
purposes are to locate existing information from published literature and
unpublished documents or other sources regarding known or suspected
archaeological resources (including sites and site collections) in an area, and
to summarize these data for effective use in managing those resources. Phase
one is a preliminary step in cultural resource management which will not
usually satisfy the data requirements of environmental impact statements or
other evaluations of a project's impact on archaeological resources.
(b) Phase two: location. The location phase
accommodates a broad spectrum of archaeological survey with the common
objective of locating archaeological resources in an area of proposed impact as
an in-the-field activity. Location studies may be conducted on several levels
consistent both with federal regulations (36 Code of Federal Regulations, Part
66) and with the nature and objectives of specific projects.
At one end of this spectrum is low-intensity reconnaissance of
an area's archaeological resources and potential data yield. In addition to
identifying obvious or well-known sites, the existence of sites in suspected
locations represented in the literature or by informant interview may be
determined and an impression gained of the topographic settings in which sites
are likely to occur. Such a survey may provide planning guidance during the
early stages of a project to aid in selecting the specific area(s) to be
directly impacted. Predictive data on the nature and distribution of
archaeological sites and archaeologically sensitive areas may also be derived
before developing more detailed survey strategies.
More comprehensive approaches to archaeological survey commonly
include sampling designs and subsurface testing which may not result in the
identification of all existing archaeological resources in the area to be
affected. Sampling may involve varying degrees of random or selected
procedures, including systematic designs representing statistically valid
samples providing detailed and meaningful predictive models for the entire
area. Testing is commonly coordinated with or incorporated into a sampling
strategy and is undertaken in an effort to identify sites whose superficial
indications are obscured and/or to clarify or amplify relevant data. Deriving
from these activities should be at least limited justification for protective
stipulations for certain sites identified. Information gained is therefore
evaluated, but not necessarily to determine the eligibility of specific sites
for inclusion in the national register of historic places or the Ohio state
registry of archaeological landmarks.
(c) Phase three: eligibility assessment. The
purpose of this activity is to collect and evaluate adequate data from a known
site or sites and/or from one or more areas known or suspected to be
archaeologically sensitive specifically to serve as the basis for determining
eligibility for inclusion in the national register of historic places or the
Ohio state registry of archaeological landmarks. The eligibility assessment is
usually conducted in the specific area that will be impacted and is commonly
preceded by a systematic effort to identify all existing sites in that area.
Research designs consistent with the objective of this phase should include the
preconceived development of explicit, systematic sampling and subsurface
testing strategies, the classification and analysis of resulting data and
materials appropriate to a responsible evaluation of the local, state or
national significance of the site(s)/area(s), and detailed justifications for
protective stipulations. Specific recommendations for the future disposition of
all identified sites/areas should be offered, particularly those believed to be
eligible for registry inclusion and/or those which it is believed should be
excavated if their avoidance is not a feasible alternative, along with
sufficient information about them upon which to base such decisions.
(d) Phase four: excavation. The purpose of
this activity is to mitigate the adverse effects of proposed projects on the
archaeological resources of an area by recovery and analysis of data and
material remains through excavation that is either total or at least more
intensive in scope than the sub-surface investigation that was accomplished in
phase three. Phase four is applicable in those cases where it is agreed that
avoidance is not feasible.
(3) Personnel qualifications. Four levels of
evaluation criteria are hereby created which correspond with each of the four
phases of archaeological work described in paragraph (D)(2) of this rule. The
evaluation criteria for each of these levels are as follows:
(a) Level one. Literature research:
(i) Education. Successful completion of a
baccalaureate degree with specific course work in archaeology and/or local
prehistory; and/or
(ii)
Experience. A demonstrated capacity to conduct quality library/archival
research as evidenced by archaeological reports, papers, publications or
bibliographies. Archaeological field experience is highly desirable but is not
requisite.
(b) Level
two. Location:
(i) Education. Successful
completion of a baccalaureate degree in anthropology, archaeology, or related
discipline with specific course work in archaeology, or, its equivalent as
evidenced by significant letters of recommendation/reference, published
reports, or other documentary evidence. In addition, postgraduate work in
archaeology and specific familiarity with Ohio's archaeological resources are
highly recommended; and
(ii)
Experience. Satisfactory completion of at least sixteen weeks of field
experience including survey work, at least eight weeks of which must have been
in some field assistant or other supervisory capacity. This field experience
must have included at least one continuous experience of no less than four
weeks' duration. In addition, the archaeologist must possess the skills and
competence necessary to plan and execute archaeological survey work, perform
relevant laboratory research and analysis of recovered materials, and possess
the ability and discipline to complete an appropriate report of all field and
laboratory findings.
(c) Level three. Eligibility assessment:
(i) Education. Successful completion of at
least one academic year of graduate studies in anthropology, archaeology, or a
related discipline with specific graduate course work in archaeology, or, its
equivalent as evidenced by significant letters of recommendation/reference,
published reports, or other documentary evidence. Specific familiarity with
Ohio's archaeological resources is requisite; and
(ii) Experience. Satisfactory completion of
at least eighteen weeks of field experience including both survey and
excavation, at least twelve weeks of which must have been in some field
assistant or other supervisory capacity. In addition, the ability to plan and
administer archaeological research projects, including the conception and
execution of appropriate sampling designs, laboratory analysis, and final
report preparation must be demonstrated.
(d) Level four. Excavation:
(i) Education. Successful completion of a
postgraduate degree in anthropology, archaeology, or related discipline with a
specialization in archaeology, or, a demonstrated equivalency, such as
admission to Ph.D. candidacy; and
(ii) Experience. Satisfactory completion of
at least thirty-six weeks of field and laboratory experience including
significant proportions of survey, excavation, and laboratory analysis. At
least half of this experience must have been in a directly supervisory
capacity, or twenty-four weeks of such field and laboratory analysis, at least
sixteen weeks of which must have been in a directly supervisory capacity. In
direct compliance with 36 Code of Federal Regulations, Part 66, the
archaeologist must have completed at least sixteen months of professional
experience and/or specialized training in archaeological field, laboratory or
library research, administration, or management, including at least four months
experience and/or specialized training in the kind of activity (North American
archaeology) the individual proposes to practice; and
(iii) Scholarship. The archaeologist must
demonstrate competence in archaeological scholarship by having published an
academically acceptable article, report, or monograph, or have authored such a
report; and
(iv) Administration
and planning. The archaeologist must demonstrate the ability to successfully
plan and administer an archaeological excavation project, including research
design, sampling design, budgetary responsibility, logistics, and personnel
deployment.
(E) Permit to conduct archaeological
investigations
(1) A permit to conduct
archaeological investigations on public land, archaeological preserves and
registered archaeological landmarks must be obtained from the director of the
Ohio historical society. Permit application forms are available upon request
from the "Ohio Historical Society, Historic Preservation Division, I-71 and
17th Avenue, Columbus, Ohio 43211."
(2) The director of the Ohio historical
society may grant a permit to applicants who:
(a) Have the qualifications appropriate for
the phase of archaeological investigation proposed; and
(b) Agree to conduct such activities in
accordance with the provisions of this rule.
Under ordinary circumstances a permit shall be granted to the
applicant within thirty days of the submission of a complete permit application
form. A permit constitutes authorization by the director to the applicant to
engage in archaeological survey or salvage work on the location(s) described in
the application in accordance with the representations made in the application
and the provisions of this rule.
The permit is contingent upon the applicant's procurement of
permission to conduct the proposed archaeological investigation from the
property owner(s) of the location(s) described in the application. A permit may
be extended or amended upon written approval from the director. The applicant
must submit a written request to the director to extend or amend the provisions
of a permit. If archaeological survey or salvage work is conducted by applicant
which is contrary to the representations made in the application or the
provisions of this rule, the permit may be revoked by the director upon written
notice to the applicant and such activity shall be considered unauthorized and
the applicant will be subject to prosecution under section
149.54
of the Revised Code, for engaging in archaeological survey or salvage work
without a written permit.
(3) The director of the Ohio historical
society may deny the applicant permission to engage in archaeological
investigations at the proposed locations if the applicant's proposed
undertaking will not comply with the provisions of this rule. However, the
director of the Ohio historical society shall first notify the applicant in
writing of what is necessary to effect compliance with this rule. If such
notice proves unavailing in bringing the applicant's proposed undertaking into
compliance with this rule and at least thirty days have elapsed since it was
sent, the director of the Ohio historical society shall comply with the
provisions of Chapter 119. of the Revised Code prior to the issuance of an
order denying the applicant permission to proceed with the proposed
undertaking, including the following:
(a)
Notice shall be given to the applicant by registered mail, of his right to a
hearing on the question of whether or not a permit is granted.
(b) The notice shall include the reason(s)
for such proposed action, the law or rule directly involved, and a statement
informing the applicant he is entitled to the hearing, if he requests it,
within thirty days of the time of mailing the notice.
(c) The notice shall also inform the
applicant that he may appear in person or by his attorney, or may present his
position, arguments, or contentions in writing, and that at the hearing he may
present evidence and examine witnesses.
(d) If the applicant requests a hearing, the
director of the Ohio historical society shall set the time, date and place for
such hearing and notify the applicant thereof. The date of the hearing shall be
within fifteen days, but not earlier than seven days, after the applicant has
requested the hearing, unless otherwise agreed to by the parties.
(e) Any party adversely affected by any order
of the director of the Ohio historical society issued pursuant to an
adjudication denying an applicant permission to engage in archaeological
activities on public land, archaeological preserves or on registered
archaeological landmarks, may appeal to the court of common pleas of the county
in which the place of business of the applicant is located or the county in
which the applicant is a resident. If any such party is not a resident of and
has no place of business in Ohio, he may appeal to the court of common pleas of
Franklin county.
(4)
Whoever violates section
149.54
of the Revised Code is guilty of a misdemeanor of the second degree. Whoever
violates or threatens to violate section
149.54
of the Revised Code may be enjoined from violation.
