Section Two
This section discusses types of cultural
resources that may be encountered in the
process of conducting archaeological
investigations. This section also presents
information and re-commendations for the
implementation of sampling strategies,
predictive modeling, and new technological
methods of archaeological investigation in
Iowa.
Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
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This chapter defines cultural resources and gives examples of
different types of cultural resources in Iowa.
Chapter 1
A cultural resource is considered to be a location of human occupation or
activity or an item that has some form of importance attached to it. Significant
cultural resources, or historic properties, are those that conform to the
qualifications described for National Register Criteria. Historic properties
include historical and prehistoric sites, districts, buildings, structures or objects
that are eligible for inclusion on the National Register of Historic Places
(NRHP). In these guidelines, the term "cultural resource" is used
interchangeably with the term "historic property." There are various
archaeological cultural resources identified in Iowa associated with certain
cultural periods or physical environments.
Archaeological resources are often referred to as “sites.” The National
Register Bulletin “How to Apply the National Register Criteria for Evaluation
(1997:5)” defines a site as “the location of a significant event, a prehistoric or
historic occupation or activity, or a building or structure, whether standing or
ruined, or vanished, where the location itself possesses historic, cultural, or
archaeological value regardless of the value of any existing structure.”
Depending on the application, this definition may differ from that of an
archaeological site.
Types of Cultural
Resources
Archaeological
Resources
The National Register Bulletin #36 (1993:2) further defines an
archaeological site describing “an archaeological property as the place or places
where the remains of past culture survive in a physical context that allows for the
interpretation of these remains.” An archaeological site is more specifically
defined as any location where human behavior has resulted in the deposition of
artifacts, or other evidence of purposeful behavior with an established or
estimated boundary. The established boundary should take into consideration
both vertical and horizontal dimensions of the site. However, whether or not a
recognized boundary can be established or estimated, an archaeological site may
still exist. Archaeological sites take many forms. A single site may contain
multiple components from distinct cultures, time periods, and stratigraphic
layers. For example, an archaeological site may be considered the area of the
recovery of a single artifact, an entire abandoned town, or a living city.
Archaeological resources may also be identified as an “Isolated Find” or
a “Findspot.” The term “Isolated Find” is used to indicate the recovery of a
single artifact. Because many single artifact finds have been later found to be
associated with a larger scatter, a single artifact is considered an archaeological
site and requires a state site number. An example of an Isolated Find is a sherd
or flake found in a plowed field. The “Findspot” designation is generally
reserved for any number of artifacts found clearly out of locational context. An
example of a findspot is a sherd or flake found on a sandbar.
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Prehistoric Archaeological Resources are generally categorized as
archaeological evidence relating to the aboriginal Native American cultures in
Iowa. Prehistoric archaeological sites are sites or components that date to the
period before written records are available. It is not unusual to have both
prehistoric and historic components represented at the same site. Occasionally,
the term “Protohistoric” is used to denote the period of time between the arrival
of European trade goods and direct contact with European people. Types of
prehistoric archaeological Native American resources include village sites,
temporary encampments, resource procurement sites, burial or ceremonial sites,
etc. A list of Native American Tribes who may have interests or concerns in
Iowa is listed later in this chapter and a list of contacts for these tribes is listed in
the Appendix section of these guidelines. These lists are by no means complete
or conclusive and other tribes may have interests in Iowa.
Prehistoric
Native American
Archaeological
Resources
Historical American Archaeological Resources are generally categorized
as archaeological evidence relating to the historical period after the first EuroAmerican contact with Native Americans or have components dating to the
period for which written records are available. National Register Bulletin #36
(1993:3) defines a historical archaeological property as having “evidence that
post-dates the arrival of Europeans in the New World.” Generally in Iowa, the
year 1700 serves as a rough boundary between the historic and prehistoric
periods.
Historic American
Archaeological
Resources
Historical American resources include a variety of archaeological sites
including those in rural, urban, and industrial locations such as farmstead sites,
homestead sites, factory sites, etc. Historic archaeological sites may also occur
in conjunction with standing structures. When standing structures are present
specialized training in historical archaeology and architectural history is
recommended.
At the current time, Historic-era cemeteries should be recorded as
archaeological sites only if the cemeteries do not appear on the most current
U.S.G.S. 7.5 quadrangle map or if there are archaeological materials found.
Linear features such as roads, trials, and railways should be recorded as
archaeological sites if they are represented in an archaeological context or are a
ruin. A Ruin—a no longer useable building or structure— should be recorded as
an archaeological site. A standing (roofed) structure may be associated with an
archaeological site, but the structure is not itself the archaeological site unless
the structure is a ruin at the time of the site visit. Other structures, such as intact
storm sewers, abandoned but intact bridges, and intact railroads, are not
archaeological sites unless they are a ruin at the time of the site visit. Do not
record an archaeological site based only on historic records if the site is not
present in an archaeological context. For example, do not record an
archaeological site based only upon the location of a building on a plat map.
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Inundated Archaeological Resources are defined by their physical context Inundated
of currently being submerged underwater or having been submerged at one time. Archaeological
Inundated archaeological resources may date to either the prehistoric or historic
Resources
eras. In Iowa, examples of inundated resources that date to the prehistoric era
would be submerged village sites, submerged encampments, fish weirs, dams,
etc. Examples of inundated historical resources are shipwrecks, barges, dams,
submerged farmsteads, etc. Inundated historical archaeological resources that
are associated with the shipping industry are further delineated and studied as
part of maritime archaeology.
Nautical or Maritime archaeological resources are associated with human Nautical Archaeological
activities in or related to a water environment. Nautical archaeology attempts to Resources
interpret the relationship between humans and their use of the water environment
and watercraft. Nautical archaeological resources may exist submerged
underwater or exposed in areas that are now dry. These historic properties may
consist of shipwrecks, other watercraft, encampments along waterways, ports, or
other coastal habitations and cities.
Rock Art cultural resources are characterized as any drawing or
engraving on a rock surface typically identified with the aboriginal Native
Americans. The most common of these may exist in the form of a pictograph,
petroglyph, or petroform. Rock art may exist seemingly by itself or in
association with an archaeological site. Some examples of rock art in Iowa are
located at the Paint Rock Site in Allamakee County. Most other examples of
rock art in Iowa exist on private land and are not accessible to the public.
Rock Art Cultural
Resources
Traditional Cultural
Traditional Cultural Properties are defined in National Register Bulletin
Properties
#38 Guidelines for Evaluating and Documenting Traditional Cultural Properties
(p.1) as:
“A traditional cultural property, then, can be defined generally as
one that is eligible for inclusion in the National Register because
of its association with cultural practices or beliefs of a living
community that (a) are rooted in that community’s history, and
(b) are important in maintaining the continuing cultural identity of
the community.”
Traditional cultural properties can include any type of historic properties,
including cultural landscapes, that have significance in a community’s or ethnic
group’s historically rooted beliefs, customs, and practices. The identification of
traditional cultural properties within an area can in some cases require much
study to recognize the significance of the property relating to a specified group.
Traditional Cultural Properties may have religious or other cultural properties
that make them significant for the NRHP. In most instances, the traditional
cultural property may require a more systematic study to determine the
significance. A “reasonable effort” to identify traditional cultural properties
should be implemented on areas that have the potential to contain such
properties. The potential for an area to contain traditional cultural properties can
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be assessed by conducting background research on the history of the area and by
identifying the cultural groups who are either living in an area or who formerly
lived in an area. Consultation with the identified groups should be implemented
early in the planning process to determine whether the group has any concerns
about the proposed project or activity.
As stated in National Register Bulletin #38, special emphasis is focused
on American Indian communities and historic properties. However, other ethnic
groups also have Traditional Cultural Properties and these properties should be
taken into consideration in planning federal, federally assisted, and federally
licensed undertakings in accord with the National Historic Preservation Act as
well as in other types of state or local preservation planning activities.
Identification and evaluation of Traditional Cultural Properties should
follow the procedures provided in National Register Bulletins #16 and #38.
Currently, there is no inventory of identified Traditional Cultural Properties in
Iowa. Traditional Cultural Properties issues in Iowa have primarily focused on
American Indian communities and historic properties of groups that are currently
residing in the state or who have formerly resided within the state. SHPO
maintains a list of American Indian tribal contacts that can be consulted about
Traditional Cultural Property issues (See Section 5 of these guidelines for a
current 1999 list).
For other cultural groups currently residing in the state or who have
formerly resided in the state, SHPO recommends that consultations should occur
with local historical societies and museums, local public officials, and other
interested, knowledgeable parties to determine whether there are any Traditional
Cultural Properties. Some of the ethnic groups that may be of importance in
Iowa are discussed in Section 1, Chapter 3. These groups are: African
American, Amish, Czech, Church of the Latter Day Saints, Danish, Mennonites,
Mormons, Norwegian, French, German, and Slovak.
Native American Indians have various concerns with regard to
archaeological cultural resources, Traditional Cultural Properties, and the
disposition of human remains. To date, at least 21 tribes have been identified as
having ties to land in Iowa. These tribes are:
Native American
Interests and
Concerns
Iowa, Oto, and Missouri: [including Oneota]
Iowa Tribe of Kansas and Nebraska
Iowa Tribe of Oklahoma
Otoe-Missouria Tribal Council
Native American
Tribes Historically
in Iowa
Mandan, Hidatsa, and Arikara [Mandan-Mill Creek material; Arikara-Nebraska
Phase (Glenwood) material]
Three Affiliated tribes
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Mesquakie and Sauk
Sac and Fox Nation of the Mississippi in Iowa (the Meskwaki)
Sac and Fox Nation of Oklahoma (Saukie)
Sac and Fox Nation of the Missouri in Kansas and Nebraska (the Nemahas)
Omaha [Blood Run National Historic Landmark Site, Lyon County, Northwest
Iowa]
Omaha Tribal Council, NE
Ponca [possibly Blood Run National Historic Landmark Site, Lyon County,
Northwest Iowa]
Ponca Tribe of Nebraska, Niobrara, NE
Pawnee [Nebraska Phase (Glenwood) material]
Pawnee Tribe of Oklahoma
Potawatomi [relatively short-term presence in Western Iowa]
Forest County Potawatomi, Crandon WI
Prairie Band Potawatomi, Mayetta, KS
Citizen Band Potawatomi, Shawnee, OK
Sioux [primarily Northern Iowa-upper reaches of the Des Moines River, Iowa
Cedar, and Turkey Rivers]
Flandreau Santee Sioux Executive Committee
Lower Sioux Indian Community Council, Morton, MN
Minnesota Mdewakanton Sioux
Santee Sioux Tribal Counc9l, Niobara, NE
Sisseton-Wahpeton Sioux
Yankton Sioux Tribal Business and Claims Committee [contact: Maria
Pearson]
Winnebago [primarily the Neutral Ground, 1830-1846-includes Allamakee.
Chickasaw, Floyd, Franklin, Winneshiek, Wright, and parts of Bremer, Butler,
Cerro Gordo, Fayette, Hamilton, Hancock, Hardin, Howard, Humboldt, Mitchell,
and Webster Counties]
Ho-Chunk Nation (Wisconsin Winnebago)
Winnebago Tribe of Nebraska
At the regent institutions in Iowa the First Nations Program describes the
following tribes as American Indians who meet the residency requirements of
Iowa: Iowa, Kickapoo, Menominee, Miami, Missouri, Ojibwa (Chippewa),
Omaha, Otoe, Ottawa (Odawa), Potawatomi, Sac and Fox (Sauk, Meskwaki),
Sioux, and Winnebago (Ho Chunk). (IC 262.9[3]; IAC 681-1.4[2]i.) These
tribes are American Indians who have origins in any of the original people of
North America and who maintain a cultural identification through tribal
affiliation or community recognition with one or more tribes or nations
connected historically with the present state of Iowa.
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Perhaps the most important factor in the implementation of a project is
creating a sense of awareness and exercising sensitivity to Native American
concerns. During project implementation, often there is a misperception of
Native American concerns and needs and their ability to stall a project. Early
planning and consultation is advised whenever Native American concerns are
encountered. Sometimes Native American concerns may simply involve a
matter of access to a scared site. In such instances an alternative, such as
providing an easement or greenbelt adjacent to or within a project area, may be
appropriate.
There are various resources that should be reviewed for information
pertinent to Native American interests or concerns. In Iowa, some of these
sources are archival records such as the Royce maps, treaty records and maps,
Government Land Office records and maps, treaty line of 1825, Indian claims
commission dockets, and land session maps. Archival documents should not be
referenced as the sole source of Native American interests in Iowa. Oral
histories of various tribal members should be consulted whenever possible. A
list of some additional sources is listed in Section 5.
When Native American concerns are identified, an attempt should be
made to contact the appropriate tribal representative for comments involving the
project area. A list of Native American contacts for Iowa is included in Section
5 of this document. It is generally recommended to send a letter of intent for the
project to the Native American Indian representative. In some instances this
may involve multiple letters being sent to several different tribal representatives.
An example letter of intent has also been included in Section 5. The individual,
organization or agency responsible for the project should allow at least 30 days
for the Native American tribal representative to respond.
Other ethnic groups may have various concerns with regard to
archaeological cultural resources, Traditional Cultural Properties, and the
disposition of human remains. Some other ethnic groups and potential ethnic
resources identified in Iowa are: African American (Buxton), Church of the
Latter Day Saints, Czech (Cedar Rapids), French (Icarian Colonies), German
(Amana Colonies), Norwegian (Decorah)
Other Ethnic
Group Interests
and Concerns
Cultural and Historic
Landscapes
Landscapes are important to consider when undertaking archaeological
investigations because archaeological sites may act as an indicator of a larger
cultural or historical landscape that has the potential to yield important
information in understanding prehistoric or historic activities. In some instances,
an archaeological site may provide valuable information about the ways that a
landscape had been used, patterns of social history, of the methods and extent of
activities within a landscape. Careful planning prior to an undertaking can help
prevent irrevocable damage to a cultural landscape. Landscapes and their
significance are discussed in greater detail in The Secretary of the Interior’s
“Guidelines for the Treatment of Cultural landscapes” and National Register
Bulletin #30, “Guidelines for Evaluating and Documenting Rural Historic
Landscapes,” and National Park Service Preservation Brief #36. Some examples
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of cultural or historical landscapes are traditional cultural properties, trails and
roads, battlefields and encampments, scenic and recreational parks, mining
properties, and lumbering communities.
Cultural Landscapes
A cultural landscape is “a geographic area, including both cultural and
natural resources and the wildlife or domestic animals therein, associated with a
historic event, activity, or person exhibiting other cultural or aesthetic values
(National Park Service Preservation Brief #36, 1994).” There are four general
types of cultural landscapes including historic sites; historic designed landscapes,
historic vernacular landscapes, and ethnographic landscapes.
The Secretary of the Interior’s Standards for the Treatment of Historic
Properties with Guidelines for the Treatment of Cultural Landscapes (1996)
defines the different landscapes more specifically.
Historic sites are centralized areas with historic significance for their
association with a historic event, activity, or person, such as historical
battlefields that still have integrity or presidential homes such as the Herbert
Hoover Historic Site (1996:5).
Historic designed landscapes were consciously designed or laid out by a
landscape engineer, master gardner, architect, engineer, or horticulturist
according to design principals, or an amateur gardner working in a
recognized style or tradition (1996:5). Examples of a historic designed
landscape would be the mall and Capitol grounds in Washington D.C. or
capitol grounds surrounding county courthouses.
Historic vernacular landscapes have evolved through use by the people
whose activities or occupancy shaped it (1996:5), such as Fort Scott in
Kansas, the mining town of Calumet in Michigan, or the Amana Colonies in
Iowa.
Ethnographic landscapes are landscapes that contain a variety of natural and
cultural resources that associated people define as heritage resources
(1996:4), such as the Amana Colonies, if there continues to be an ethnic
group strongly associated.
Historic landscapes “are composed of a number of character defining
features which individually or collectively contribute to the landscape’s physical
appearance as they have evolved over time (Preservation Brief #36 1994:1).”
Historic landscapes encompass residential gardens, community parks, scenic
highways, rural communities, institutional grounds, cemeteries, battlefields, and
zoological gardens. Historic landscapes have been subdivided to include
Historic Designed landscapes and Vernacular landscapes. Historic Designed
landscapes include parks, campuses, and estates. Vernacular landscapes include
rural villages, battlefields, industrial complexes, and agricultural landscapes.
Historic Landscapes
Rural Historic
Landscapes
A rural historic landscape is a “geographical area that historically has
been used by people, or shaped or modified by human activity, occupancy, or
intervention, and that posses a significant concentration, linkage, or continuity of
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areas of land use, vegetation, buildings, and structures, roads, and waterways,
and natural features (National Register Bulletin #30).” Examples of rural
historic landscapes are orchards, mines, lumber activity areas, milling, fish
culturing areas, fishing or shellfishing areas, shipbuilding areas, hunting or
fishing camps, transportation systems, migration trails, conservation areas, sites
adapted for ceremonial, religious, or other cultural activities such as a camp
meeting ground.
Human use in a historic landscape can be examined by a series of
landscape characteristics that involve understanding the processes that have been
instrumental in shaping the land and physical components that are evident on the
land. Processes that have shaped the land are land use and activities, patterns of
spatial organization, response to the natural environment, and cultural traditions.
Physical components evident on the land are circulation networks, boundary
demarcations, vegetation related to land use, buildings, structures, and objects,
clusters, archaeological sites, and other small-scale elements such as a foot
bridge or road sign.
Surface or subsurface remains at an archaeology site may yield or have
the potential to yield valuable information about agricultural or industrial land
uses, settlement patterns, or ceremonial traditions. Landscape archaeology
attempts to determine when to treat a landscape as an archaeological site.
Landscape archaeology may involve the examination of characteristics such
irrigation canals, walls, road remnants, trail ruts, foundations, and refuse sites in
an effort to uncover significant information about prehistoric or historic activities
or occupation of an area. Identifying a cultural landscape may occur during the
development of the research design for a project or later during field
investigations.
Farmsteads,
Homesteads, and
Standing Structures
(Buildings and Bridges)
On occasion, farmsteads, homesteads, and standing structures are
elements present within an area receiving archaeological investigations. A
farmstead is a limited area within the farm that is or was occupied by buildings,
corrals, and fences, and was generally used as a center of operations for the farm.
A homestead is generally a limited area that is or was occupied by a house and
associated buildings that were used for family unit activities. Standing structures
generally refer to other extant structures located within a project area.
Farmsteads and homesteads with standing structures may contain
archaeological deposits. Even though a farmstead or homestead may have extant
standing buildings, if intact archaeological features or deposits are present, than
technically, the farmstead could be considered an archaeological site as well as a
standing structure site. Some examples of archaeological features at a farmstead Other
Standing
or homestead would be ruins, foundations, wells, cisterns, etc. Archaeological
Structures
surveys should assess farmsteads and homesteads for significant intact
archaeological deposits regardless if standing structures are present. Appropriate
archaeological methods for determining if archaeological deposits are present
may include soil probe or shovel test investigations.
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Other standing structures may include outbuildings, bridges, windmills,
etc. that are located within a project area but not necessarily associated with a
farmstead, homestead, or landscape. These structures should be documented
with a detailed description of the structure, legal location, a U.S.G.S. quad map,
sketch map, and photographs. For further guidance on documenting standing
structures, consult the following:
Bridge Renovation or
The Secretary of the Interior’s Standards for the Treatment of Historic
Replacement Projects
Properties with Guidelines for Preserving, Rehabilitating, Restoring, and
Reconstructing Buildings (Weeks and Grimmer 1995)
The Iowa Site Inventory Form Instructions (Iowa SHPO Office)
The National Park Service Preservation Brief #35 entitled Understanding Old
Buildings: The Process of Architectural Investigation
In Iowa, certain archaeological projects will involve structures such as a
bridge replacement or renovation. For bridge surveys in Iowa, the following
information should be documented:
A determination of eligibility for the National Register based on the
statewide survey by FRASERdesign
Descriptive information about the bridge size, style, materials, etc.
Locational information including legal location
Location of the bridge demarcated on a U.S.G.S. quadrangle map
Location of the bridge in relation to the project area on a sketch map
Photographs of the bridge from a frontal view and a side view.
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Research Designs and
Historical Contexts
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This chapter briefly describes research design that should be
employed for archaeological projects in Iowa. It also discusses the
importance of historic contexts and how they should be applied to
the research design.
Research
Designs2
Chapter
The historic context of the project area should be taken into account
when formulating a research design to ensure reliable decisions regarding the
objectives and expected results. Historic contexts are the foundation for factors
inherent in research designs. The historic context is linked to the historic
property being investigated usually by similarities in property type. This
association permits the formulation of plans for research design objectives of
identification, evaluation, or treatment of historic properties.
A research design is a deliberate, concise, and explicit plan or outline for
conducting archaeological investigations. The Secretary of the Interior’s
Standards call for research designs to include an explanation of the problem(s),
objectives to be addressed by the study, discussions that justify the chosen
methods and techniques, and expected results. In some cases the research design
may be constructed as a proposal written in response to a request for bids. In
other instances, research designs may be included in scopes of work, data
recovery plans, or in simple justifications of field methodologies.
Cultural resource studies should be designed so that they locate
prehistoric and historic-era sites when they are present. The identification and
evaluation of historic sites, especially if standing structures are present, requires
specialized training in historical archaeology and architectural history. In certain Purpose and Objective
circumstances a historian may also need to be involved with the project. The
of Research Designs
research design should address any other fields of expertise that would be
necessary to make informed decisions and ensure effective results regarding the
project.
In many cases, the archaeological research design should address
geomorphological considerations as well. It is recommended that the research
design for an archaeological project include some geomorphological
investigation to precede and/or occur concurrently with the archaeological field
studies. This type of concurrent investigation will allow for efficient
modifications to the research design necessitated by information resulting from
geomorphological research.
Research
Designs
for Phase IA
or Phase I
Surveys
The purpose of a research design is to identify the goals of the
archaeological investigations and create a framework that describes the proposed
methods and activities that will be undertaken to accomplish the goals of the
study. The research design should also establish the relationship of a particular
historic property in relation to a historic context and other similar historic
properties. The research design and its objectives should be explicitly
formulated before any fieldwork is conducted. Specific objectives of a research
design will vary depending on the type of project.
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For a Phase IA or Phase I archaeological survey, the objectives may
follow some or all of the examples below:
to identify and delineate all cultural resources that may be eligible for listing
on the National Register of Historic Places within the area(s) of potential
effect
to describe or interpret identifying characteristics of all cultural resources
within the area of potential effect, such as age, style, cultural association, etc.
to attempt to compare the results of the investigations with other
investigations, theories, or existing models
to attempt to evaluate all cultural resources with regard to National Register
eligibility
to assess the impact of the proposed undertaking on all cultural resources
to make a final recommendation of the necessity for further investigation or
evaluation of all cultural resources
Research Designs for
Phase II Evaluations
For a Phase II archaeological evaluation, the objectives may follow some or all
of the examples below:
to describe the cultural resource under investigation
to define the horizontal and vertical limits and integrity of all cultural
resources being investigated
Research Designs for
to describe or interpret identifying characteristics of all cultural resources,
Phase III Data Recovery
such as age, style, cultural association, etc. if not accomplished at an earlier
phase of study
to interpret all cultural resources in terms of the activities, functions, time
span, and historic context(s) they represent
to investigate research questions that can provide information on the cultural
resource’s local or regional significance
to compare the results of the investigations with other investigations,
theories, or existing models
to decisively evaluate the eligibility of the cultural resource for the National
Register, as appropriate, according to the Secretary of the Interior’s standards
to determine the impact of the proposed undertaking on all cultural resources
to make a final recommendation of the necessity for further treatment of all
Steps to Write a
cultural resources and the type of treatment recommended
Research Design
For a Phase III archaeological data recovery, the objectives may follow some or
all of the examples below:
to describe of the cultural resource under investigation and the characteristics
that make it eligible for the National Register
to address and explicitly state pertinent hypothesis and research questions
that provide valuable information on the local or regional significance of the Objectives of Study
cultural resource with accompanying valid justifications of the hypothesis’
and questions’ importance and relevance
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to maximize the efficient and successful retrieval of important data relevant
to the defined research questions from the cultural resource
to determine characteristics, variability, inter-site patterning, and intra-site
patterning pertinent to the cultural resource
to advocate public education/interpretation of the data recovery results
Consultation with SHPO on research designs for more intensive surveys
is recommended. Consultation is especially important for research designs
developed for data recovery projects. Additional sources of technical
information for writing a research design may be found in Section 5. There are
five basic components of a research design that should be included in a written
narrative: the objectives, the area of study, the methods and techniques, the
expected results, and supporting documentation.
First, information supporting the objectives, examples of which are listed above,
of the proposed research should be explained. These include:
the purpose of the proposed investigation
the practical and theoretical goals of the research
the questions that the investigations will attempt to answer or that will be
addressed
for whom the investigations are being performed, a specific agency or
individual
a description of the undertaking and its potential direct and indirect effects
and consequences
reference to applicable laws or regulations that necessitate the archaeological
investigations
a description of the work schedule
Project Location
Description
Methods and
Techniques Description
Second, the location of the project area should be sufficiently described and
defined. This information should include:
delineation of the area(s) to be investigated and the area of potential effect
legal location of the project area
information about any previous surveys or recorded historic properties within
or adjacent to the project area
environmental information about the project area
historical background about the project area
Third, the anticipated methods and techniques to achieve the goals of the
investigations should be discussed. These include:
description of the research strategy to sample or retrieve the maximum
amount of data necessary to meet the study objectives and justification for
the strategy
description of the type of background or archival research to be conducted
and the sources to be consulted
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description of the types of proposed field methodology (i.e. pedestrian
survey, shovel testing, etc.)
justification for the specific field methodology to ensure that appropriate
strategies are planned for a particular project area that will be effective,
successful, will permit scientific replication of analysis, and are relevant to
the objectives or research questions.
description of the proposed laboratory methods and justification for such.
analysis or analytical studies that will be implemented to answer the research
objectives and will permit scientific replication of analysis.
Identification of proposed treatment or conservation of any recovered
materials and proposed disposition or curation facilities
Supporting
Documentation
Fourth, information regarding the expected results should be discussed. This
information should include:
the number, size, location, age, condition, and other general characteristics of Historic Contexts
any anticipated or known archaeological materials, features, or other cultural
resources
the expected effect of the undertaking on any archaeological resources
the effectiveness and quality of the research design for investigation of the
purposes of the particular project or cultural resource
an assessment of site significance
Last, supporting documentation that will supplement or explain aspects of the
research design should be included. Such as:
information that will be included in the final report
maps, figures, tables, or other supporting documents
what measures will be taken for unanticipated discoveries
what measures will be taken for any changes or modifications to the research
design
A historic context is an organized and descriptive guide that creates a
frame reference for a historic property. At the current time the State of Iowa
does not have one comprehensive source for historic contexts in Iowa. Various
historic contexts may be located in some of the sources listed in Section 5 under
“Sources of Additional Information” or in unpublished sources. Historic
contexts should be included in research designs, data recovery plans, final
reports. Historic contexts may also be mentioned in scopes of work.
The Secretary of the Interior’s Standards and Guidelines for
Archaeology and Historic Preservation state that historic contexts should not be
constructed so broadly as to include all property types under a single historic
context or so narrowly as to contain only one property type per historic context.
The standards also define historic contexts as, “an organizational format that
groups information about related historic properties based on a theme,
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Purpose of a Historic
Contexts
Steps to Write a
December 1999
Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
geographic limits and chronological period.” A project may necessitate a single
historic context or a set of historic contexts. “A single historic context describes
one or more aspects of the historic development of an area, and identifies the
significant patterns that individual historic properties represent (Secretary of
Interior’s Standards, 1983),” while “a set of historic contexts is a comprehensive
summary of all aspects of the history of the area (Secretary of Interior’s
Standards, 1983).”
The purpose of the historic context is to provide a connection between
the significance of a historic property under investigation in relation to other
similar resources. The historic context may be developed at a local, state or
regional level depending on the significance associated with the resource.
Another purpose of a historic context is to develop preservation goals that are
orientated toward the greatest possible protection of properties in the historic
context. These preservation goals should be based on the principal that
properties should be preserved in place if possible, through affirmative
treatments like rehabilitation, stabilization, or restoration.
Historic Context
Specific Criteria
to Define a
Historic Context
Any existing contexts, information, theories, or models should be
reviewed when writing a historic context. There is a listing of some of the
historic contexts created for Iowa in the Sources of Additional Information in
Section 5 of these Guidelines. All previous information should be assessed for
biases in both primary and secondary sources. The Secretary of the Interior’s
Guidelines and National Register Bulletin (#16B) How to Complete the National
Register Multiple Property Documentation Form (National Park Service1991:1213) should be consulted prior to writing a historic context. These documents
establish the steps involved in the process of developing a historic context.
Generally, these steps involve the following: identifying the concept, time
Background
period, and geographical limits for the historic context, assembling the existing
Research
information about the historic context, synthesizing the assembled information,
for a Historic
and identifying information needs.
Context
First, Identification of Specific Criteria should be established to define the
historic context. These criteria include:
establishment of preservation goals set forth in a “best case” version of how
properties in the historic context should be identified, evaluated, registered
and treated
identification of the concept of importance or goal for the historic context
identification of the time period(s) under consideration
identification of the geographical limits of the study which have applicable
pertinence to the time period under consideration. For example, modern
geographic boundaries may not be applicable to prehistoric or historical
boundaries.
Interpretation of
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
Second, Background Research should be conducted to assemble existing
information regarding the area of study. This research should include:
collection of information about the prehistory or history of the geographical
area under investigation with relative importance to the goals of the historic
context.
examination of existing inventories of historic properties such as the National
Register or state historic inventories
identification of groups of properties that may have important roles in
defining historic contexts and values
assessment of information to identify bias in historic perspective,
methodological approach, or area of coverage
examination of sources pertaining to the area of study. Some examples
sources to consult are: historic overviews, environmental impact
assessments, land use plans, cultural resource management reports, other
technical reports, architectural studies, ethnographic studies, folklore studies,
oral histories.
consultation with individuals and organized groups such as preservation and
planning groups, academic institutions, and historical societies.
Research for a
Historic Context
Definition of Property
Types
Third, an Interpretation and Analysis should be conducted to Synthesize the
Assembled Information. This step involves the creation of a written narrative
with information from the background research in relation to the identifying
criteria and goal for the historic context. The narrative should include some or
all of the following:
identification of important patterns, events, persons, or cultural values
identification of noticeable trends or patterns in area settlement or
development
identification of any aesthetic and artistic values that are embodied in
architecture, construction technology, or craftsmanship
the relevant research value or problem(s) pertaining to the historic context,
social and physical sciences, humanities, or cultural interests of local
communities
how the historic context may relate to intangible cultural values or beliefs of
Native Americans or other ethnic groups
Fourth, a Definition of Property Types resulting from the research should be
included in the written narrative. Property types are groups of individual
properties that share physical or relating characteristics and connect or illustrate
those ideas introduced in the historic context with actual historic properties.
These definitions should:
identify the kinds of property types expected within the geographical limits
of the historic context and;
determine how the property types may be organized to be most useful in
representing important historic trends
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Application of a
Historic Context
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
characterize the current condition of known properties relating to the
property types
determine how the condition of property types can support standards to
define physical integrity for the various property types
outline and justify the specific physical and associative characteristics and
quality of historic integrity that an individual property must posses to be
eligible for listing as a member of that property type
identify the characteristics of a property type, from the natural or social
environment, that either contribute to, detract from, or affect its physical
preservation
identify property types that have relevance and importance in illustrating the
historic context
determine how the property types for each historic context directly relate to
the concepts discussed in the historic context
determine how the property types demonstrate locational patterns and how
they may be used to predict where similar types of properties may be located
determine how the National Register criteria would apply to examples of
each property on the basis of the important patterns, events, persons, and
cultural values discussed in the written narrative of the historic context.
Goals Specific to a
Historic Context
Fifth, identify information needs for Application or use of the Historic Context
how the historic context can fill voids in current information or knowledge
specific statements regarding the application of the historic context to
specific property types
how the historic context will be of use in preservation planning
Last, Goals specific to the historic context should be defined and ranked in order
of importance. These goals are often phrased in terms of property types. One
goal of the historic context will ultimately be related to information needs
previously identified for the historic context. Each goal should have a statement
identifying:
the goal, including the context and property types to which the goal applies
and the geographical area in which the property types are located
the activities required to achieve the goal
the most appropriate methods or strategies for carrying out the activities
a schedule within which the activities should be completed, and;
the amount of effort required to accomplish the goals, as well as a way to
evaluate progress towards its accomplishment
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
This chapter describes the appropriateness and applicability of
predictive models and sampling strategies with regard to regulatory
and non-regulatory archaeology.
A predictive model is a set of cumulative data that has been obtained
from a thorough overview of background information and previous research
pertinent to a specific area, landform, watershed, etc. The end product of a
predictive model is a series of explicit and testable statements concerning the
location and general characteristics (size, depth, age, cultural affiliation,
integrity, etc.) of specific historic properties. Predictive modeling is defined by
the Advisory Council on Historic Preservation as, “the generation of models of
the likely nature and distribution of historic properties in an area that has not
been subjected to intensive, complete survey.” The Advisory Council
recommends several important overview data components to predictive models:
Chapter 3
Predictive Models and
Sampling Strategies
Definitions & Types of
Predictive Models and
Sampling Strategies
Propositions derived from history, ethnography, ethnohistory,
anthropological, sociological, and geographical theory, and other disciplines
about the kinds of settlement patterns, subsistence practices, and social
organizations that might have characterized the area under investigation, or
the kinds of social groups that occupied it in prehistoric or more recent times.
Background historical and ethnographic data on the actual locations of
places, structures, and areas for different purposes (e.g. residence, industry,
religion, and transportation) in the past.
The known or postulated distribution of historic properties of different kinds
in the region within which the study area lies, or within similar areas.
Data on changes in landform, vegetation, and other environmental
characteristics that may serve to obscure or reveal historic properties.
Research questions of concern in the area, and/or in the general disciplines
involved, which may serve as bases for evaluating archaeological
significance.
The cultural concerns and practices of local communities, American Indian
groups, and others who may ascribe significance to historic properties, as a
basis for evaluating associative significance.
The architectural or artistic traditions of the region, as a basis for evaluating
architectural and art-historical significance.
Historical events and people of the region, as a basis for evaluating historical
significance.
The physical characteristics of different kinds of historic properties in the
area, to serve as a basis for generating expectations about what to look for in
the field.
Where available, data on historic property types and distribution in the area
based on sample survey
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
Resulting predictive models should be capable of projecting the
distribution of different types of historic properties. The predictive model should
contain a high level of resolution that infers that substantial data contributed to
the formation and applicability of the model. The more information incorporated
into a predictive model, the higher the predictive model resolution will be and
the more useful the model may be. If very little data is available or incorporated
into the predictive model, the resolution or reliability of the model will be low.
If the model resolution is low, a few areas of historic properties may still be
identified, but most areas will be identified as having unknown potential and the
use of the model may be very restricted.
It is important that testing substantiate predictive models. Predictive
models should be tested in the real world by techniques and methods that can be
duplicated by others. Testing creates confidence in the applicability and
accuracy of the predictive model. A testing program should be designed that
obtains a representative sample of the predictive model area and involves on-site
inspection. Appropriate statistical techniques should be applied to the predictive
model and authenticated in a manner that does not bias the model. It is
recommended those predictive models with a faulty information base or sample
biases should not be used for projects. The resulting predictive model should be
accompanied with detailed text explaining why predicted areas contain or do not
contain historic properties of a certain type.
Sampling strategies can be defined as different methodologies employed
to obtain a representation of historic properties. Sampling strategies typically
investigate a portion of the area that is the subject of investigation. Sampling
strategies may constitute a separate investigation or may be supportive of a
predictive model.
Generating a predictive model is an attempt to predict what kinds of
historic properties will be found in a previously unsurveyed area. The resulting
model may predict the likely locations where historic properties may be found
and may permit an attempt to predict what kinds of significance such properties
may have. A predictive model that conforms to one part of the state for certain
resources may not be applicable to other dissimilar areas or cultural resources. It
is important to make sure that the predictive model has been tested in real world
to ensure that it accurately predicts the locations and general characteristics of
the cultural resources being modeled. This testing should encompass a process
of continual adjustment to verify the continued validity of the predictive model.
Purpose of Predictive
Models & Sampling
Strategies
Sampling strategies attempt to extrapolate about the distribution and
nature of historic properties in an area. These strategies are often employed to
acquire information about cultural resources within a broad area with minimal
effort.
Applications of
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
Predictive models and sampling strategies should be developed and
employed after consultation with the SHPO for their appropriateness and
applicability for a particular project. Predictive models are most applicable to
surveys for planning purposes or general land management considerations.
Sampling strategies are helpful when investigating extremely large areas of land.
Sampling strategies are also very useful for testing predictive models.
The Advisory Council’s position with regard to predictive modeling
states that, “The use of predictive modeling in projects carried out pursuant to
Section 106 of the National Historic Preservation Act was addressed by the
Council in 1983.” This position is detailed as follows: “The usefulness of a
model in Section 106 review is directly linked to its quality, its
comprehensiveness, and its reliability.” The Advisory Council cautions the use
of coarse-grained models, models that have not been tested, or models that fail to
take into account certain classes of historic properties. The Advisory Council
has stated in recent seminars that a predictive model should not be used by an
agency to make a determination of “No Historic Properties Affected” (ACHP
1999). It is strongly recommended to consult with the SHPO and receive written
SHPO concurrence about predictive modeling strategies prior to the
implementation of any predictive modeling strategy for any regulatory project.
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Predictive Models
& Sampling Strategies
Applications of
Predictive Models
Pertaining to
Regulatory
Archaeology
December 1999
Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
Chapter 4
This chapter describes the appropriateness and applicability of new
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New or Advanced
Technology
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Section 2: Cultural Resources, Research Designs, Historic Contexts, and Modeling
or advanced technology with regard to conducting archaeological
investigations in Iowa.
When conducting archival or field research, it is recommended to access
all available sources via any new technology or methodology that may be
appropriate. New technology sources such as e-mail, GIS, or the internet should
be credited and cited accordingly. When conducting field research or analysis,
the use of new technology or methodology should be verified as consistent,
reliable, and accurate. Some examples of new technology that may be applicable
to field research are GPS units, remote sensing equipment, or new survey
technology. When conducting analysis, an attempt should be made to create data
sets that are compatible between the sponsor of the project and the consultant. It
may be necessary to use compatible computer programs to accomplish this.
Global Positioning
New technology or methodology should also be consistent and accurate when
System (GPS)
applied to analysis and curation.
Some considerations regarding Global Positioning System (GPS)
technology concern the accuracy of the GPS receiving unit that may be
employed. GPS data can result in discrepancies if different models or different
methods of interpreting the received data are used for the same project. The
timing devices on certain GPS receiving units may not be as accurate as the
satellites sending the signal. On occasion, GPS units may be unable to receive
signals in very congested areas or will only be able to receive signals from one
or two satellites. To maintain reliable data from GPS units, readings should be
taken using at least 3 to 4 satellite signals. Further training in GPS technology is
recommended prior to using GPS or similar technology.
Geographic
Information System
(GIS)
Some considerations regarding Geographic Information System (GIS)
again concern the accuracy of the results produced. Individuals submitting maps
or other data produced by using GIS should be aware that the information
produced is only as accurate as the information that had been entered into the
program. This is particularly important for maps that have been digitized or
electronically scanned in. When digitizing data, control points should be
carefully recorded and monitored. When submitting hand drawn maps that will
be digitized, rulers and thin lines should be used. It is difficult to digitize thick
and crooked lines.
Care should also be taken when choosing a GIS program. There are
specific differences between such programs as ARCINFO and ARCVIEW.
There can be incompatibility problems between results from the two programs if
data is entered differently. For example, if certain data is entered as line
segments in one program and a polygon in the other program, there may be
discrepancies in the results. Further training in GIS technology is recommended
prior to using GIS technology
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December 1999