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Archaeological Review Procedures for CDF Projects Date Revised: January 9, 2003 With a Minor Update on November 14, 2006 by: Daniel G. Foster Senior State Archaeologist Manager, CDF Archaeology Program California Department of Forestry and Fire Protection P.O. Box 944246 Sacramento, CA 94244-2460 (916) 653-0839 firstname.lastname@example.com Note: This document supersedes earlier versions of archaeological review procedures for CDF projects that were previously distributed in past years. These current, approved procedures were distributed to CDF Region and Unit Chiefs and Headquarters Program Managers with a transmittal memo signed by the Deputy Director for Resource Management dated January 14, 2003. TABLE OF CONTENTS I. General Information ................................................................................................................1 Introduction .........................................................................................................................1 Role of CDF Archaeologists ...............................................................................................1 How to Reach a CDF Archaeologist ...................................................................................2 Role of the Project Manager ...............................................................................................2 Minimum Qualifications of CDF Personnel .......................................................................2 List of CDF Staff Archaeologists ........................................................................................3 Archaeological Training Opportunities ..............................................................................4 Web Site ..............................................................................................................................5 Legal Requirements ............................................................................................................5 II. Procedures for Archaeological Reviews of CDF Projects ...................................................6 Preliminary Study ................................................................................................................6 Flow-Chart of Cultural Resource Review Procedures .........................................................7 List of Exempt Practices .....................................................................................................8 Cultural Resource Survey Procedures ...............................................................................12 Records Check ......................................................................................................13 Native American Project Notification and Information Gathering .......................13 Prefield Research ..................................................................................................14 Consultation with a CDF Archaeologist ...............................................................15 Survey ...................................................................................................................15 Develop Protection Measures ...............................................................................16 Consult with Native Americans ............................................................................16 Record Sites ..........................................................................................................17 Complete Archaeological Survey Report ..............................................................17 CDF Archaeologist Provides Approval Signature ................................................17 Archaeological Clearance .....................................................................................17 Procedures for Post-Approval Discovery of Cultural Resources ......................................17 Private Landowner Involvement .......................................................................................18 III. Completing the CDF Archaeological Survey Report Form ............................................18 Introduction .......................................................................................................................18 Title Block and Footer ......................................................................................................18 Part 1: Project Information ................................................................................................19 Part 2: Archaeological Records Check Information .........................................................19 Part 3: Native American Consultation Information ..........................................................20 Part 4: Prefield Research ...................................................................................................21 Part 5: Training and Experience of Archaeological Surveyors .........................................21 Part 6: Survey Methods and Procedures ...........................................................................21 Part 7: Survey Results ........................................................................................................22 Part 8: Evaluation of Site Significance .............................................................................24 Part 9: Protection Measures ..............................................................................................24 Part 10: Implementation of Protection Measures ..............................................................25 Part 11: Other Applicable Information .............................................................................26 Part 12: List of Attachments .............................................................................................26 Part 13: Professional Review and Approval ......................................................................26 CDF Archaeological Survey Report Form .........................................................................26 Daniel G. Foster Archaeological Review Procedures for CDF Projects 1 I. General Information Introduction: This set of procedures was assembled to provide assistance and direction to CDF Foresters, VMP Coordinators, Environmental Coordinators, Forestry Assistance Specialists, Pre- Fire Engineers, State Forest Managers, and other key officials in their task of completing an archaeological review for a CDF project. These procedures include guidance for completing an archaeological survey as well as impact assessment and detailed instructions for completing the Archaeological Survey Report Form for CDF Projects. The term CDF projects, as used here, means any type of project where CDF is acting as lead agency pursuant to the California Environmental Quality Act (CEQA) except for Timber Harvesting Plans (THPs). Although procedures for archaeological review of THPs are similar, THP survey reports are presented on a different survey report form and the procedures followed in preparing and reviewing THPs are those that are stipulated in the Forest Practice Regulations. This document is intended to cover all forms of CDF projects (except for THPs), including, but not limited to, cost-share grants administered by CDF's Forestry Assistance Program (e.g. CFIP, FLEP, Forest Stewardship, etc.), purchase of conservation easements, vegetation management projects implemented under CDF's VMP or Pre-Fire Programs, Urban Forestry grants, projects on State Forests, as well as Capitol Outlay and/or Facility Improvements on other CDF properties. This document is organized into three chapters: General Information, Procedures for Archaeological Reviews of CDF Projects, and Completing the Archaeological Survey Report Form. A detailed Table of Contents is included to enable the reader to quickly locate information on a particular topic. Role of CDF Archaeologists: CDF has six full-time professional Archaeologists on staff to assist and support the archaeological review of CDF projects. As part of their regular duties these CDF archaeologists are responsible for providing assistance to CDF project managers in the task of environmental planning of CDF projects. It is important to clarify, however, that these archaeologists are assigned numerous other duties as well, which reduces their availability for support. CDF Archaeologists have major responsibilities in THP review and enforcement, training, historic preservation, policy development, contract administration, Native American and agency contacts, assistance to private RPFs, and response to wildfires and other emergencies. The Department does not have nearly enough archaeologist positions to conduct all of the archaeological surveys and project reviews required by law. Instead, the CDF Archaeology Program commits a good portion of its resources to the planning and delivery of an archaeological site recognition training program to private and state foresters and other resource professionals to assist them as they develop their projects. In order to supplement this training, CDF staff Archaeologists provide support and professional review. In addition to our six archaeologist positions, CDF has for many years utilized the services of additional archaeologists through contracts with state universities. These contract archaeologists, whose ranks currently include eleven people working part-time in an office setting or on-call for field assignments, work under the direction of CDF staff Archaeologists. They assist in THP reviews, conduct field inspections, record sites, report on damaged sites, provide significance assessments, and perform other important tasks to support CDF's programs. To be effective, the relationship between CDF Archaeologists and CDF staff developing projects must include a high level of technical supervision and oversight by the CDF Archaeologist at each key step in the archaeological review process. The CDF Archaeologists' role includes performing regular and timely quality control, and work review and inspection, both in the office and in the field, and are able to take, or effectively recommend, corrective actions where necessary. The Daniel G. Foster Archaeological Review Procedures for CDF Projects 2 frequency of the review, inspection, and guidance shall take into consideration the cultural resource survey work products previously submitted and the technical complexity of the job, but shall be sufficiently frequent to ensure the completion of work that meets current professional standards. In addition, archaeologically trained resource professionals must maintain their archaeological training certification from CDF, and must regularly consult with a CDF Archaeologist during the planning of CDF projects to receive sufficient guidance and assistance. CDF Archaeologists shall review all work products submitted by archaeologically trained resource professionals and shall provide approval signature on archaeological survey reports only after satisfactory completion of archaeological surveys, site records, and written reports. On occasion CDF has projects that include archaeological work completed by archaeological consultants or other agencies, such as the State Department of General Services which oversees capitol outlay projects. In these instances, the archaeological consultant must also consult with the appropriate CDF Archaeologist. CDF Archaeologists must review and approve the work products submitted by such consultants, as well. Although the written reports provided by those professionals do not need to follow the CDF Archaeological Survey Report format, such reports must nevertheless follow the standards of Preservation Planning Bulletin Number 4, Archaeological Resource Management Reports (ARMR): Recommended Contents and Format (December 1989, California Office of Historic Preservation). How to Reach a CDF Archaeologist: CDF staff Archaeologists are often on assignment away from their offices conducting field inspections throughout the state, planning and delivering training, and completing other duties. In recognition of the critical role they have in the planning of CDF projects, efforts have been made to maximize their accessibility to CDF staff for consultation, support, and assistance. All CDF Archaeologists carry pagers and cell phones which can be helpful in making contact, even when the person is away on field assignment. The CDF Archaeologists hold a weekly conference call every Monday morning from 8:30 to 9:30, and CDF Foresters or other Project Managers are welcome to call-in to the conference call by dialing (916) 324-6460. CDF project managers are encouraged to make contact with the appropriate CDF Archaeologist for assistance, but you may request assistance from any CDF Archaeologist if your primary contact is unavailable. A list of CDF Staff Archaeologists is provided in Table 1 on the following page. It includes each archaeologist's mailing address, telephone number, email address, and areas of responsibility. Role of the Project Manager: The CDF Project Manager is responsible to ensure that archaeological review procedures have been satisfactorily completed before initiating the project. A key element of the procedures described in this document is a coordinated effort between CDF staff developing the project and the appropriate CDF Archaeologist responsible for support and assistance. Minimum Qualifications of CDF Personnel: Archaeological review work for CDF projects shall be conducted by persons meeting the same training standards specified in the Forest Practice Rules for the preparation and review of THPs (see 14 CCR Section 929.4). These standards require that archaeological surveys, impact assessments, site recording, and preliminary studies be conducted either by a professional archaeologist or an archaeologically trained resource professional working under the supervision of a CDF Archaeologist. For most CDF projects, the preliminary study, survey work, and preparation of a survey report or clearance letter will be completed by an Daniel G. Foster Archaeological Review Procedures for CDF Projects 3 Table 1 - List of CDF Staff Archaeologists (As of November 14, 2006) Name Address/Phone/E-Mail Job Duties Rich Jenkins Northern Region Operations Center Senior State Archaeologist 6105 Airport Road for CDF's Northern Region Redding, CA 96002 (530) 224-4749 (office) (530) 949-8822 (mobile) (530) 242-7170 (pager) firstname.lastname@example.com Linda Southern Region Headquarters Lead Archaeologist for Pollack 1234 East Shaw Avenue CDF's Southern Region Fresno, CA 93710-7899 (559) 243-4119 (office) (559) 250-8557 (mobile) firstname.lastname@example.com Chuck Northern Region Headquarters Associate State Whatford 135 Ridgway Avenue Archaeologist Working in Santa Rosa, CA 95402 CDF's Northern Region (707) 576-2966 (office) (707) 529-7989 (mobile) (707) 541-5177 (pager) firstname.lastname@example.com Steve CDF Humboldt-Del Norte Unit Associate State Grantham 118 Fortuna Boulevard Archaeologist Working in Fortuna, CA 95540-0425 CDF's Northern Region (707) 726-1251 (office) (707) 599-7355 (mobile) (707) 444-7293 (pager) firstname.lastname@example.com Herb Dallas Southern Region Operations Center Associate State 2524 Mulberry Street Archaeologist Riverside, CA 92501 Working in CDF's Southern (951) 320-6113 (office) Region (951) 840-0004 (mobile) firstname.lastname@example.com Gerrit Sacramento Headquarters Associate State Fenenga Room #1516-22 Archaeologist P.O. Box 944246 Working in CDF's Southern Sacramento, CA 94244-2460 Region and Sacramento (916) 651-2021 (office) Headquarters (916) 261-1108 (mobile) email@example.com Daniel G. Foster Archaeological Review Procedures for CDF Projects 4 archaeologically trained forester or other key official in the unit in consultation with a CDF Archaeologist. CDF Units are encouraged to support the acquisition of and maintenance of archaeological training for key staff in order to facilitate project planning and avoid delays that could occur if staff resources are not available to complete the review work required by applicable state law and regulation. Archaeological Training Opportunities: The archaeological training program delivered by CDF provides archaeological site recognition training to both CDF staff and members of the regulated public including Registered Professional Foresters (RPFs) who prepare THPs. Since this training is made available to CDF personnel and to members of the private sector in response to forest practice requirements, the program is external and is delivered in partnership with the California Licensed Foresters Association (CLFA). Because CDF is not staffed or budgeted to provide this training, the costs of the courses are paid by CLFA from a fund generated through the collection of registration fees. These costs include speaker fees, travel costs for instructors, printing expenses, facility and equipment rentals, lunches and refreshments. CDF personnel who should complete this training include Forest Practice Inspectors, VMP Coordinators, Pre-Fire Engineers, Environmental Coordinators, FAS Specialists, State Forest Managers and other key staff. CDF also has a responsibility to identify and protect archaeological sites that might be impacted during wildland fire suppression work, when such protection is possible. Therefore, it is also suggested that key staff in a fire protection capacity, including Battalion Chiefs, Station Captains, Crew Captains, HFEOs, Field Observers, Fire Suppression Rehab Personnel, and Planning Section Chiefs be encouraged to receive the training. Private sector personnel who are responsible for completing archaeological surveys, impact evaluations and site recording requirements set forth in California's Forest Practice Rules are also expected to complete this training. This group includes Registered Professional Foresters (RPFs) who prepare THPs and other Forest Technicians and Supervised Designees who participate in cultural resource surveys. These training courses are also open to Licensed Timber Operators, Timberland Owners, Native Americans, and other resource professionals who have occasion to work on or review CDF projects. General members of the public may also attend, if space is available. There are two types of courses: Full Five-Day Course - This is the initial basic course. It is offered to those who have not previously completed the full CDF Certified Archaeological Surveyor Training Course as well as those who previously completed this course prior to 1990 when the current expanded content and curriculum was first established. People who haven't kept their training current (i.e., haven't attended a training program approved by the Director within five years prior to the planning of a CDF project or THP) and/or who have not used their training have the option, and are encouraged, to repeat the full five-day course which is designed as a practical training course for CDF staff, foresters and other resource professionals who may encounter archeological sites and other cultural resources in their job duties. In addition, the course satisfies the five-year continuing education requirement of the Forest Practice Rules. Illustrated slide lectures, assigned reading, group workshops, group discussions, and archaeological field surveying exercises will familiarize students with the kinds of archaeological materials they are likely to encounter, their legal obligations towards them, and how to best achieve compliance with current state cultural resource protection laws and regulations. Course instructors include state, consulting and research archaeologists, as well as an RPF and a Native American Instructor. The cost of the four-day course is approximately $575 (cost subject to change), which includes a course reference manual, lunches and refreshments all 5 days. Students who satisfactorily complete this course are Daniel G. Foster Archaeological Review Procedures for CDF Projects 5 issued a training certificate valid for a five year period. One Day Refresher Course - This course is only offered to those individuals who have previously completed the initial training course. As of 2006, the refresher program consists of two separate one-day training courses. One class is held entirely in the field and includes an emphasis on historical site management, while the other course is held entirely in the classroom and emphasizes prehistoric site recognition and Native American consultation. Students who satisfactorily complete one or both courses are issued a training certificate valid for another five year period. The cost of the refresher course is approximately $150 (cost subject to change). Notices of class schedules, locations, and instructions for enrollment are distributed to the CDF Training Coordinators at the beginning of each year. This information is also available on the CDF Archaeology Program's Web Site. Web Site: The CDF Archaeology Program maintains a web site that, among other functions, serves as a convenient method to provide CDF staff and others with information, reports, forms, instructions, and other types of assistance in the task of conducting archaeological review work for CDF projects. These web pages can be located through a link at the Department's main Internet Web Site at http://www.fire.ca.gov by clicking on Resource Management and Forestry, then clicking on Archaeology (scroll down the menu of options on the left side to find the Archaeology option). You may also go directly to our web site at http://www.indiana.edu/~e472/cdf/ CDF project managers are encouraged to regularly visit this web site and become familiar with its contents which include the current Native American Contacts List, a List of Information Centers, Archaeological Training Schedule and Enrollment Instructions, Survey and Recording Forms, CDF's Management Plan for Historic Buildings and Archaeological Sites, and many additional items needed to conduct archaeological reviews for CDF projects. Legal Requirements: A number of state laws and regulations require CDF to identify and protect cultural resources. Section 106 of the National Historic Preservation Act and its implementing regulations also apply to some CDF projects when federal funds are being used. The primary mandate requiring archaeological review of CDF projects is found in the California Environmental Quality Act (CEQA). This state law requires CDF to identify potential impacts to archaeological resources during our assessment of environmental impacts from CDF projects, and to change the project or develop mitigation measures to eliminate or reduce the severity of those impacts. Additional state agency requirements pertaining to the management of cultural resources on state- owned lands are found in Public Resources Code (PRC) Section 5024. Environmental Impact Reports (EIRs) for CDF's California Forest Improvement Program (CFIP), Vegetation Management Program (VMP), State Forest Management Plans, and our statewide Management Plan for Historic Buildings and Archaeological Sites contain specific requirements we must follow. California Executive Order W-26-92 directs CDF to develop programs for the preservation of the state's heritage resources throughout our jurisdiction. CDF also receives funding from several federal agencies to support our programs. This brings in a suite of federal laws and regulations pertaining to the protection of cultural resources. In 1996, CDF entered into a Programmatic Agreement (PA) with the U.S. Forest Service (USFS), State Office of Historic Preservation, and the Advisory Council on Historic Preservation that specifically addresses CDF's responsibilities for archaeological review of CDF projects funded by the USFS. The 1996 PA will soon be superceded by a new PA (expected to be signed by August, 2003) that is broader in scope to include CDF projects utilizing federal funds provided by the Bureau of Land Management (BLM) and Natural Daniel G. Foster Archaeological Review Procedures for CDF Projects 6 Resource Conservation Service (NRCS) in addition to the USFS. The procedures outlined in this document are intended to satisfy all of these legal requirements. A more complete listing of applicable laws and regulations is presented in CDF's Reference Manual and Study Guide for the CDF-CLFA Archaeological Training Program for Registered Professional Foresters and Other Resource Professionals. II. Procedures for Archaeological Reviews of CDF Projects Preliminary Study: The first step in the process of conducting an archaeological review of a CDF project is the completion of a Preliminary Study. This study should be undertaken by the CDF project manager in consultation with the appropriate CDF Archaeologist. If the CDF project manager does not have current CDF archaeological training as described on pages 2 through 5, then the CDF project manager shall appoint a designee who has current CDF archaeological training, and who is familiar with the details of the proposed activities and locations. The purpose of the Preliminary Study is to determine if impacts to cultural resources are possible. This determination shall be made after considering the full range of specific project activities and practices, the location of the project, and other relevant factors. The Preliminary Study will be conducted during a telephone conversation or face-to-face meeting between the CDF project manager and the appropriate CDF Archaeologist. Prior to this telephone conversation or face-to-face meeting, the CDF project manager shall provide the CDF Archaeologist with a copy of the project map(s) as well as a description of the proposed project in order to provide the adequate information the Archaeologists need to assess the likelihood of the presence of cultural resources. CDF Archaeologists are regularly available each week to participate in telephone consultations and assist in the completion of Preliminary Studies for CDF projects. The CDF project manager and CDF Archaeologist shall identify and evaluate the full range of project activities and compare those activities to the list of Exempt Practices provided in this document. If the Preliminary Study concludes that the proposed project does not have the potential to affect cultural resources, pursuant to the list of Exempt Practices (listed below), or other circumstances, then an archaeological survey would not be required. The CDF Archaeologist must concur with this finding. In such cases, a records check, Native American notification, prefield research, and survey report are not required. Archaeological clearance of the project must be documented in the form of a letter to the project file (prepared by the CDF project manager) that indicates the rationale supporting the decision to waive archaeological survey requirements. A copy of this letter shall also be sent to the appropriate CDF Archaeologist for his/her file. The CDF project manager (or their designee) shall conduct an intensive cultural resource survey if the Preliminary Study reveals the potential to affect cultural resources. In most situations, this survey will include all of the procedural steps discussed below and shown on the Cultural Resource Review Procedures flow chart on page 7 of this document. Barring an unusual exception noted below, the list of tasks specified in Cultural Resource Survey Procedures shall be completed as part of the cultural resource review for every CDF project determined to have the potential to affect cultural resources. During the review of certain projects, the CDF project manager may determine that one or more of procedural steps 1 through 3 could be omitted. However, the concurrence of a Daniel G. Foster Archaeological Review Procedures for CDF Projects 7 Cultural Resource Review Procedures PROJECT PROPOSED Preliminary Study to Determine if Impacts to Cultural Resources are Possible No Impacts Impacts Expected Possible Cultural Resource Cultural Resource Survey Not Required Survey Required Complete Letter to The Project File Documenting Why Survey Was Not Records Check Required Native American Notification of Project Conduct Prefield Research Consultation with CDF Archaeologist Survey Develop Protection Measures Consult with Native Americans, if Applicable * see discussion on page Record Sites 6 for exceptions to the use of this flow chart Complete Archaeological Survey Report CDF Archaeologist Provides Approval Signature Once Investigation and Report Have Been Satisfactorily Completed Archaeological Clearance Daniel G. Foster Archaeological Review Procedures for CDF Projects 8 CDF Archaeologist must be obtained in order to bypass any of these steps. In general, any project that includes ground disturbing practices shall be considered to have the potential to affect cultural resources and, consequently, shall require an archaeological survey. Typical examples of such practices include, but are not limited to, any type of use of heavy equipment to alter the landscape, site preparation, forestland conservation work such as erosion control, road repair, stabilization and abandonment of road beds, improvement of drainage facilities, and/or stream bank stabilization. Other types of projects may also require archaeological survey in spite of limited disturbance to the ground. Such projects include, but are not limited to, rural tree planting, prescribed burning, broadcast burning, and the burning of slash piles. CDF generally does not fund projects resulting in the planting of commercial species trees within the boundaries of archaeological sites. This practice is due to the possibility that eventual harvest of such trees might be prohibited by CDF enforcing California's Forest Practice Rules since timber harvesting operations can affect cultural resources. For this reason, archaeological survey shall be required prior to funding most tree planting projects in order to identify and avoid sites. List of Exempt Practices: Because they are unlikely to impact cultural resources, the following practices are exempt from archaeological survey, investigation, and reporting requirements. An archaeological records check, notification to Native Americans, prefield research, intensive cultural resource survey, or the completion of an archaeological survey report are not required for projects that involve only these practices. 1. Management Plan: A long term forest and land management plan to assist forest landowners in developing their land management objectives and feasible projects. The preparation of a forest land management plan is not, in itself, a ground disturbing practice and may be funded without an archaeological survey. In such cases, archaeological survey must precede any ground disturbing practice called for in the plan. However, CDF recommends the inclusion of some level of cultural resource planning in the management plan itself, such as a record search for the entire property, an overview of local archaeology, ethnography, and history as it relates to predicting the kinds of cultural resources likely to exist on the property, and a discussion regarding future archaeological survey work and how sites will be managed. This exemption also includes Coordinated Resource Management Planning, Fire Plans, and other forms of broadly scoped planning efforts by CDF that do not result in ground disturbing practices. 2. RPF Supervision: The practice of utilizing a Registered Professional Forester to supervise on- the-ground management activities. 3. Feasibility Studies and Market Analysis: The practice of conducting studies to determine the feasibility of future projects including, but not limited to, an investigation of the marketability of certain products derived from such projects. 4. Purchase of Tree Seeds and Seedlings The purchase of tree seeds and seedlings and costs of transporting and storing them. Note: The actual planting of seeds or small seedlings in rural forested areas is not an exempt practice. While such planting may be conducted without significant ground disturbance, CDF generally does not approve funding for projects resulting in the planting of commercial species trees within archaeological site boundaries. California's Forest Practice Rules may restrict or prohibit the eventual harvest of such trees since the harvesting of commercial size trees is a practice that has potential to damage or Daniel G. Foster Archaeological Review Procedures for CDF Projects 9 destroy cultural resources. For these reasons, archaeological survey is required prior to funding most tree planting projects in rural forested areas in order to identify and avoid archaeological and historic sites. 5. Tree Shelters: The purchase and installation of vexar netting for browse control and shelter cards for shade necessary to assure survival of seedlings. 6. Follow-up (Release): Practices necessary to promote the survival of seed or seedlings within 36 months of planting. Generally such work is intended to control insects, diseases, rodents, weeds or brush competition and may include the use of herbicide, chain saw, weed-eater, or hand-grubbing. These practices are only implemented within tree planting units where an intensive cultural resource survey, conducted in accordance with the specifications and standards listed in this document, was completed. This follow-up work is exempt from further review because the cultural resource inventory work does not need to be repeated. If, for some reason, follow-up activities are considered for treatment units that were not previously subjected to intensive cultural resource survey, these activities shall not be considered exempt. 7. Timber Stand Improvement: Activities designed to improve timber stands include pre- commercial thinning of young commercial tree species to reduce the number of stems per acre, release of commercial tree species by removing competing noncommercial species of trees and shrubs, and pruning of young trees by removing lower branches from commercial tree species. This work will usually be done by crews using hand tools and the slash is just left on the ground, typically lopped and scattered. Note: if the slash will be piled and burned, or mechanically collected and removed for biomass utilization, those activities may not be exempt. Some biomass harvesting operations can cause significant ground disturbance and, therefore, have the potential to disturb/damage archaeological and historic sites. 8. Wildlife Habitat Improvement: The creation of snags, installation of nest boxes, roost poles, platforms, or artificial cavities for animal habitat improvement where the ground is not disturbed. 9. Reseeding: Hand or aerial applications of seed or nutrients. 10. Mulch: Hand application of mulch, placement of weed barriers, hay bales, or animal repellant. 11. Irrigation: Surface installation of trickle irrigation system. 12. Educational Materials and Events: Production and distribution of flyers, pamphlets, brochures, booklets, newsletters, telephone helpline, videos, etc.; conducting meetings, seminars, conferences, classes, etc. to educate and disseminate information to landowners; and, lastly, the funding of CDF staff and contractors to deliver technical assistance to landowners. 13. Conservation Easement and Fee Title Purchase: Acquisition of easements and fee title purchase of forest lands with the intention of keeping the lands in traditional forest uses and to prevent conversion to nonforest uses. The title will be held by either federal, state or local government. Daniel G. Foster Archaeological Review Procedures for CDF Projects 10 14. Acquisition: Land acquisitions or transfers of administrative control to CDF, where the historic properties received are not considered in exchange for any historic properties relinquished. 15. Urban Forestry Projects: Purchase and transport of trees and the planting of native and non native species of trees in urban settings. Typically, these settings occur in areas previously landscaped such as within public parks or schools. Such projects also occur in street medians and along sidewalks within developed areas. Note: Most of these projects will not require archaeological survey unless known cultural resources exist in a planning location or the area possesses high archaeological sensitivity. If the urban forestry grant proposes to plant trees in undeveloped wildland settings, such projects are not exempt and will require archaeological survey. Similarly, the planting of trees suitable for the purpose of creating a windbreak in a rural or agricultural setting is not exempt. Note: Trees can be an important part of a historic landscape in both rural and urban areas. CDF project managers should keep in mind that planting new trees in a historic district or on the property of a historic building may affect the setting of that historic property. In such situations the appropriate CDF Archaeologist should be consulted at an early stage of project planning. 16. Shaded Fuelbreaks (Handwork Only): Thinning and pruning of trees, generally along both sides of a road or along the crest of a ridgetop, to create an effective fuelbreak to potentially stop a wildfire, provided such trees are not part of a historic landscape. The accomplishment of such projects involves removal of vegetation by hand, lopped and scattered or chipped and scattered. Note: Shaded fuelbreak projects involving mechanical timber harvesting or the piling and burning of slash are not exempt. 17. Fire-Safe Projects: Treatment of vegetation surrounding communities to reduce the risk of catastrophic wildfires through thinning and/or removal of vegetation by crews using hand tools. To be exempt such projects must involve the chipping and removal of woody material or the chipping and scattering of woody material. Note: Fire-Safe Projects involving the piling and burning of slash are not exempt. 18. Disposal of Piled Brush: This activity involves the disposal and removal of brush piles. CDF often administers federal grants to provide chipping and removal of biomass to homeowners doing their own legally mandated defensible space clearing required by PRC 4291. In these instances, the treatment of the vegetation is not a CDF project and CDF's responsibility for environmental review only pertains to the disposal of brush piles. A chipper may be utilized to chip and scatter woody material near the brush piles. If brush piles will be collected and transported to a location for biomass utilization, those activities must be carefully evaluated for potential effects to cultural resources. 19. Diseased Oak Removal: Activities related to the eradication, gathering and removal of diseased oak trees, limbs and slash from oak trees, including, but not limited to, infestation zones of Sudden Oak Death without causing significant ground disturbance. Note: Ground disturbing practices such as stump removal, mechanical yarding, site preparation, and/or the burning of slash piles, are not exempt activities and will require archaeological survey. 20. Fuelwood and Christmas Trees: The collection and personal use of fuelwood and the harvesting of Christmas trees. Daniel G. Foster Archaeological Review Procedures for CDF Projects 11 21. Sign Posts: The installation of sign posts and monuments, when no new ground disturbance is involved. 22. Log Jam Removal: The removal of log jams and debris jams using hand labor or small mechanical devices. 23. One Cubic Meter Disturbance: Activities that involve less than one cubic meter of cumulative ground disturbance per acre. 24. Disturbed Areas: Those activities or projects where the area of potential effect (APE) is entirely within obviously disturbed contexts, and the disturbance is such that the presence of historic properties is considered highly unlikely. 25. Pesticides: The application of pesticides where such application does not have the potential to affect use of plant resources by Native Americans. The CDF project manager may need to demonstrate how Native American plant gatherers will be protected. 26. Existing Borrow Pits: Work within the perimeter of existing material borrow pits. Expansion of the area of ground disturbance to outside of the existing borrow pit is not exempt. 27. Stream Channels: Activities limited within stream channels. Note: stream channel improvements resulting in alterations to streamside terraces or cut banks along the margins of stream channels are not exempt. 28. Handlines: The creation of narrow handlines using hand tools to establish a burn perimeter. Handlines are often used to keep prescribed fire from entering into an archaeological site. This includes hand grubbing around trees or near cultural resources to prevent fire from entering or damaging such resources. Such activities are limited to light brushing of vegetation to expose mineral soil using handtools. 29. Trail Maintenance: Routine trail maintenance limited to brushing and light maintenance of existing tread with hand tools only. 30. Road Maintenance: Routine road maintenance and resurfacing where work is confined to previously maintained surfaces, ditches, culverts, and cut and fill slopes along road segments crossing no known archaeological or historic sites. Proposed road maintenance activities within known archaeological or historical sites must be carefully reviewed by the CDF project manager in consultation with the appropriate CDF Archaeologist. 31. Hazard Tree Removal: The felling of hazardous trees within recreation areas or other areas for health and safety reasons provided they are left in place or cut up for firewood using hand tools. This includes the felling and removal of hazard and windthrow trees from road prisms where deemed necessary for health, safety, or administrative reasons, so long as trees are felled into and removed from within existing road prisms (area clearly associated with road construction, from road surface to top of cut and/or toe of fill) where previous disturbance is such that the presence of historic properties is considered unlikely, and so long as ground disturbance is strictly limited to previously disturbed areas associated with road prisms. 32. Road Use Permits: The issuance of road use permits for commercial hauling over existing Daniel G. Foster Archaeological Review Procedures for CDF Projects 12 roads, whenever CDF's involvement is incidental to activities associated with the permit's purpose and where effects to traditional cultural properties are not expected. If the permit includes road maintenance work on state lands, consideration must be given to known cultural resources that might be affected (see Exemption #30). 33. Temporary Road Closure: Temporary road closures involving no new ground disturbance. 34. Snow Fences: The construction of snow fences where no new ground disturbance is involved. 35. Existing Nonstructural Facilities: The maintenance or replacement in-kind of existing nonstructural facilities that does not involve new or additional ground disturbance (e.g., maintenance or replacement of existing cattle guards, gates, fences, stock tanks, guardrails, barriers, traffic control devices, light fixtures, curbs, sidewalks, etc.). 36. Recent Facilities: Activities or alterations involving facilities or structures that are less than 50 years of age. For activities involving CDF buildings or facilities older than 50 years of age, consult the Management Plan for CDF's Historic Buildings and Archaeological Sites (Foster and Thornton 2001), available on the CDF Archaeology Program Web Site, for guidance. 37. Trash Removal: The removal of trash that is less that 50 years old and does not otherwise qualify as a cultural resource. 38. Installation of Law Enforcement Detection Devices: The installation of law enforcement detection devices within historic properties to assist investigations of site looting and to prevent site vandalism where such installation is unlikely to cause substantial adverse change to the site. The CDF Archaeologist must be involved in the planning of this type of project. 39. Purchase of Equipment: The purchase of tools and equipment (such as a chipper) that may be utilized in subsequent projects for the treatment of brush and other vegetation. The purchase of such equipment shall be considered an exempt practice. 40. Project Areas Previously Surveyed: Project activities which are entirely within areas previously surveyed for cultural resources where no cultural resources were found, if the previous survey work was conducted in accordance with the specifications and standards listed in this document. 41. Other Practices: Other practices on an individual basis as agreed to by a CDF Archaeologist. If the project is federally funded, the State Historic Preservation Officer (SHPO) and the federal agency funding the project must also agree that the practice is exempt. Cultural Resource Survey Procedures: Archaeological surveys for CDF projects must include the following tasks (these match the flow chart on page 7): Records Check: A current archaeological records check (defined in Section 895.1 of the Forest Practice Rules) shall be utilized in project planning. CDF may use an existing records check previously completed for another project on the same property if that records check is current (i.e., was conducted within the previous five years) and if all of the current project areas were covered in Daniel G. Foster Archaeological Review Procedures for CDF Projects 13 the previous records check. For CDF properties, consult with a CDF Archaeologist first to find out if a records check has already been completed for the property. Typically, however, the CDF project manager or designee shall initiate a new archaeological records check specifically for the project being reviewed. It is recommended that the entire parcel be included in the request for a records check so that this information may be used if additional projects occur on the same property. This is particularly true if the records check is initiated as part of the preparation of a forest land management plan. The policies and procedures governing records checks for CDF projects are outlined in a 1996 Memorandum of Agreement (MOA) between CDF, SHPO, and the Information Centers, which is available on the CDF Archaeology Program Web Site. The Information Centers charge a fee for providing a records check and this fee must be paid in a timely manner. For some programs, the CDF Unit pays the fee. In other programs, the fee might be paid by the consulting RPF preparing a management plan or project in one of our cost-share programs. In such circumstances the records search fee may be reimbursed by CDF. In other circumstances the landowner or applicant may have to pay the fee. In some years, certain CDF programs establish a fund to be used for records check fees. The CDF Archaeology Program Web Site also contains a downloadable form to be completed when requesting an archaeological records check. Native American Project Notification and Information Gathering: The CDF project manager shall send written notification of the proposed project to the appropriate Native Americans listed on the most current version of CDF's Native American Contact List (NACL) which is also available on the web site. The purpose of this notification is to inform Indian tribes, local Native American groups and the Native American Heritage Commission (NAHC) about the proposed project, and also to invite their views and comments about the project. It also serves as an information gathering step. Through this procedure, the CDF project manager shall request information concerning the location of any archaeological or cultural sites that may be known within the project area. In response, the NAHC will complete a check of its Sacred Lands File. CDF shall follow-up and investigate any potential positive result revealed through this request for information. We recommend this step be completed early in the process of developing a project (such as the same time as the archaeological records check) in order to avoid delays, allow time for Native American groups and/or individuals to respond, and create the opportunity to document the results of any consultation that may follow receipt of the notification letters and include this in the archaeological survey report. Use the most current version of the NACL available at the time the environmental impact review is being conducted. This list is updated monthly and the current list is usually posted during the first week of each month. The notification letter must include the following items: A request for information concerning their knowledge of archaeological, historical, or other cultural resources within the project boundaries, A description of the project location including the county, section, township, range, base and meridian, and the approximate direction and distance from the nearest community or well- known landmark, Two maps--a general location map such as a Thomas Brothers Map that shows the travel route from the nearest community or well known landmark to the project area and a copy of the relevant portion of the USGS topographic quadrangle map clearly depicting the location of the project boundaries as well as a map legend and scale, A statement that all replies, comments, questions or other information should be directed to CDF and provide the name, address, and telephone number of the CDF project manager, A statement that CDF is requesting a response within thirty days from the date of the notice so the information can be utilized during project planning, A statement that the Native American groups and/or individuals may participate in the project Daniel G. Foster Archaeological Review Procedures for CDF Projects 14 review process by submitting written comments to CDF within 30 days, A statement that locations of sites disclosed will be kept confidential. Additional guidance pertaining to consultation with Native Americans is provided on our web site at http://www.indiana.edu/~e472/cdf/contacts/procedures.html Prefield Research: The CDF project manager, designee, or archaeologist working on the cultural resources survey shall conduct appropriate levels of prefield research as part of the investigation. The purpose of this research is to get prepared to conduct the survey, become familiar with the types of resources likely to be encountered within the project area, and to be ready to interpret, record, and evaluate these findings within the context of local history and prehistory. The investigator should review records, study maps, read pertinent ethnographic, archaeological, and historical literature specific to the area being studied, and conduct other tasks to maximize the effectiveness of the survey. The Handbook of North American Indians - Volume 8 – California (Smithsonian Institution 1978) and the Handbook of the Indians of California (Kroeber 1925) are two primary ethnographic sources; at least one of which should be reviewed. Determine which tribal group or groups occupied the area containing the proposed project and review information about those tribal groups. Another excellent source that should be checked every time is the General Land Office (GLO) plat maps for the township containing the project. Most GLO plat maps date from the 1850s to the 1870s although some are as late as 1900. The GLO surveyors often mapped homesteads, cabins, orchards, roads, trails, fencelines, mining areas, etc. that were observed during their survey. If any such features are depicted on the map within what is now the project area, a careful search should be made for surviving remnants of them or of unmapped associated features or artifacts. GLO plat maps can be an excellent source for dating historic features discovered on your archaeological survey. The GLO surveyor's notes usually accompany the plats and review of these is sometimes useful as well. GLO plat maps and records may be obtained through the mail or in-person at the Bureau of Land Management Office of Survey Records in Sacramento. It is prudent to call first: (916) 978-4330. The BLM usually charges a small fee per copy (24" X 36") but BLM has waived the fee for CDF. GLO plat maps are also kept on file at some of the Information Centers. Those Information Centers may provide a copy of a relevant portion of a GLO plat map as part of a Complete Records Check, if so requested. Old topographic maps, if available, should be examined for the locations of old houses, roads and other features that may have been displayed on these early maps but not on current USGS topographic quadrangle maps. Consulting a series of aerial photographs taken over a period of time can help date historic structures and aid in the assessment of the types of previous land-use practices and prior ground disturbances. Persons contacted should include individuals belonging to any local historical society, agency archaeologists, landowners, ranchers, neighbors, and/or other knowledgeable individuals that may have lived or worked in the area being studied. Prefield research should also include a review of archaeological reports (either survey reports or excavation reports) and/or site records for the local area. This review will provide specific examples of the kinds of cultural resources that have been previously discovered in the general area, a discussion of archaeological, historical, and ethnographic information pertaining to the area being studied, and examples of typical artifact assemblages. Look for site location patterning and the types of artifacts or features being recorded. For projects on CDF facilities or state-owned lands, be sure to review CDF's Management Plan for Historic Buildings and Archaeological Sites (Foster and Thornton 2001), and A Survey and Historic Significance Evaluation of the CDF Building Inventory (Thornton 1994). This two-volume report includes a complete listing of all CDF buildings and provides the date of construction for each building. For projects containing CDF lookouts, review An Inventory and Historical Significance Evaluation Daniel G. Foster Archaeological Review Procedures for CDF Projects 15 of the CDF Lookout Stations (Thornton 1993). This volume also provides the age and historical significance of each surviving CDF lookout facility. Consultation with a CDF Archaeologist: After the records check, Native American project notification, and prefield research steps have been completed, the CDF project manager shall consult with a CDF Archaeologist to review these findings and determine appropriate survey strategy and methods. It will be determined at this time whether or not a CDF Archaeologist is available to assist in the completion of the survey, or if this work will be conducted entirely by an archaeologically trained resource professional. Survey: An intensive cultural resource survey shall be made of the Area of Potential Effect (APE) of the project area. Such a survey shall only be performed by a professional archaeologist, or an archaeologically trained resource professional as defined in the Forest Practice Rules. In most cases the work will be done by the CDF project manager, possibly assisted by a CDF Archaeologist. It is possible, however, that the survey work will be completed by a consulting RPF or professional archaeologist retained by the landowner, as part of the grant, or retained by CDF. In all cases, however, the work will be completed under close supervision by a CDF Archaeologist. The objective of this survey is to identify the specific location of all cultural resources within the project area, including but not limited to: historic landscapes, prehistoric or historic archaeological sites, features, or artifacts, historic buildings or structures, or other types of resources that have significant cultural importance to Native Americans such as traditional cultural properties, cemeteries, gathering areas, and/or sacred sites. In some situations, archaeological survey work may be delayed until after the project has begun. For example, certain exempt practices may begin without archaeological survey, and this staggered approach may be necessary to determine the precise location of Areas of Potential Effect for subsequent activities. Fuels reduction projects involving hand cutting of brush and the burning of brush piles are typical examples of the kinds of projects where archaeological survey may take place after the exact location of the brush piles becomes known. Survey methods and techniques employed to achieve adequate coverage will vary based upon a variety of factors. These include the physical characteristics of the property, especially topographic and other environmental attributes, and other information gathered during the records check, in response to the Native American information request, and/or other prefield research, as well as the results of archaeological inventories in areas with a similar cultural and natural setting. There are four different levels of archaeological survey coverage intensity: complete, general, intuitive, and cursory. These are described below: Complete A complete reconnaissance is one in which archaeologically-trained individuals systematically traverse the area at 10 meter intervals or less, looking carefully for all evidence of prior human activity. Team members usually walk abreast. All archaeological phenomena in a given area may not be visible or as easily definable at the same time: different seasons, varying light conditions, differential erosion, and/or deadfall and duff cover may obscure the investigator's vision or reveal certain remains at different times. Nevertheless, most features should be observable to a trained surveyor walking over the entire area under investigation in a complete manner. Coverage shall be sufficient to allow the investigator to encounter the smallest of the archaeological sites likely to occur in the area under study. Spacing must be narrow enough and ground cover must be modified (if it is an observational problem) to the extent that will allow the investigator to locate the sites. If needed, ground cover modifications (e.g., systematic removal of duff) shall be used to allow inspection of mineral Daniel G. Foster Archaeological Review Procedures for CDF Projects 16 soil for evidence of human activity. During a complete reconnaissance areas will be encountered that could contain archaeological remains (such as prominent rock outcroppings, benches, suspicious-looking features, possible artifacts, etc.). These areas should be intensively examined to determine if archaeological remains are present before transect coverage is resumed. General A general reconnaissance is one in which an attempt is made to systematically cover an area as in a complete reconnaissance but with wider transect intervals. This might be due to steepness of slope, absence of water, or because of other physical conditions or observational constraints (e.g., deadfall, brush, steep slopes). Transect spacing may be increased to 30 meters. Intuitive Detailed inspection is given only to specific localities that exhibit previously identified characteristics that may be associated with the location of archaeological properties. Coverage is usually accomplished by traverses 30-50 meters apart. For example, if the reconnaissance is within a steep timberland and controlled studies show that remains of historic activities are not expected for the area and prehistoric sites occur only on benches and near springs, the investigator might then be justified in covering the area in a manner sufficient to locate those natural phenomena that have potential for association with the location of archaeological sites. Detailed inspection is reserved for those areas identified as archaeologically sensitive. Localities within low potential areas that shall receive detailed inspection in this study include springs, seeps, and low rises in flat plains. Cursory A cursory reconnaissance is one in which the inspector gives the areas a quick field inspection rather than intensive coverage. Sometimes these areas can be examined by walking briefly through and checking likely or probable spots close to the line of travel. Such methods should be employed along with visual aids (e.g., aerial photographs) to ensure that specific localities that exhibit characteristics that may be associated with archaeological site locations are not overlooked. The environmental factors that should be scanned for have been mentioned above. Develop Protection Measures: CDF shall develop effective protection measures for all identified cultural resources located within project areas. These measures may include adjusting the project location or design to entirely avoid cultural resource locations or changing project activities so that damaging effects to cultural resources will not occur. These protection measures shall be written in clear, enforceable language, and shall be included in the archaeological survey report. CDF shall exercise a strategy of avoiding all adverse impacts to cultural resources. If impacts to cultural resources cannot be avoided, CDF is responsible for developing specific, effective measures to ensure the mitigation/reduction of impacts to cultural resources in order to avoid or prevent substantial adverse change as defined in state law (PRC Sections 5020-5024, 210833.2, 21084.1, and CCR Sections 15064.5 through 15360). Consultation with Native Americans: In the event that Native American Archaeological or Cultural Sites (defined in the Forest Practice Rules) are identified within a project area, CDF shall notify Native Americans regarding the existence of such sites, provide information regarding the proposed protection measures, and provide Native Americans the opportunity to submit comments and participate in consultation to resolve issues of concern. If, during review of certain CDF projects, the typical practice of allowing 30 days for reply to this Daniel G. Foster Archaeological Review Procedures for CDF Projects 17 second notice will create difficulties, the CDF project manager may consult over the telephone or through a face-to-face meeting with each required tribal contact and document this consultation in Part 3 of the report. Record Sites: CDF shall record all archaeological or historical sites discovered within project areas. This recording work shall be conducted in accordance with the policies specified in OHP's Instructions for Recording Historical Resources (1995). Additional guidance for site recording is provided in CDF's Suggestions for Preparing Archaeological Site Records and Site Maps (2001). Both of these documents on site recording procedures and the forms used to record them are available on our web site. CDF is occasionally requested by Native American groups to not record certain types of cultural resources (such as ceremonial or sacred sites) as a condition upon their disclosure. In such instances, CDF will honor the request and not record these types of sensitive cultural resources. Complete Archaeological Survey Report: CDF shall ensure that an archaeological survey report is completed for every cultural resource survey conducted for a CDF project. This report will be prepared using CDF's Archaeological Survey Report Form for CDF Projects (available on our web site) or an equivalent format containing the same information in the same order. Detailed instructions for completing this report are provided in Chapter III beginning on page 18. CDF Archaeologist Provides Approval Signature Following Satisfactory Completion of Investigation and Report: A CDF Archaeologist shall carefully review all archaeological survey reports prepared for CDF projects. This review shall include elements of completeness, accuracy, content, and professional adequacy. If necessary, this review shall include a field inspection to examine cultural resource discoveries, spot-check areas to test adequacy of survey coverage, and review of site records in field settings. Most importantly, this review shall include a careful review of the proposed protection measures to ensure that the project has been designed or redesigned to be in full conformance with applicable state laws, regulations, and other mandates such as Programmatic Agreements, EIRs, and/or current professional standards. The CDF Archaeologist shall provide approval signature ONLY after the investigation and report have been satisfactorily completed. The CDF Archaeologist shall ensure that a clean, complete copy of the survey report is provided to the appropriate Information Center for permanent retention. The CDF project manager shall ensure that a copy is included in the appropriate project file to demonstrate compliance with these procedures. Archaeological Clearance: Archaeological clearance shall be given only after all these procedural steps have been completed and documented in the project file. This documentation shall include either a letter to the file or a survey report signed and approved by a CDF Archaeologist. Procedures for Post-Approval Discovery of Cultural Resources: If a cultural resource is discovered within a project area after the project has been approved, the following procedures apply: 1. Project activities within 100 feet of the newly discovered cultural resource shall be immediately halted. 2. The appropriate CDF Archaeologist shall be immediately notified. 3. The CDF Archaeologist shall evaluate the new discovery and develop appropriate protection measures. 4. The CDF Archaeologist shall investigate how the project was reviewed for cultural resources to Daniel G. Foster Archaeological Review Procedures for CDF Projects 18 determine if the cultural resource should have been identified earlier. 5. The CDF Archaeologist shall ensure that the newly discovered site is recorded and its discovery and protection measures are documented in the project files. 6. For discoveries made on federally funded CDF projects, the CDF Archaeologist shall notify and consult with the federal agency funding the project and the SHPO prior to authorizing recommencement of project activities near the newly discovered site. 7. If the newly discovered site is a Native American Archaeological or Cultural Site (defined in the Forest Practice Rules), the CDF Archaeologist shall notify the appropriate Native American tribal group and the NAHC, if appropriate. Private Landowner Involvement: Many CDF projects are located on privately owned lands. CDF shall respect landowner's rights when implementing these procedures. This courtesy includes notifying the landowner(s) of CDF's cultural resource responsibilities and inviting their comments and participation. Landowners shall be notified regarding the scheduling of archaeological survey or other inspection work carried out by CDF and given the opportunity to comment on and participate in such inspections. CDF shall provide a copy of any completed survey reports to the appropriate landowner(s), if so requested. Landowners shall also be advised that such reports containing specific site locations are confidential and shall not be distributed to the public. III. Completing the CDF Archaeological Survey Report Form Introduction: The purpose of the CDF Archaeological Survey Report Form is to document the results of an archaeological survey and impact assessment, demonstrate completion of required tasks, identify specific protection measures, and ensure review and approval by a CDF Archaeologist to support the Department's approval of the project. This information is kept by CDF but not made available to the general public in order to prevent disclosure of sensitive resource locations to unauthorized individuals. Once approved, the completed report is forwarded to the appropriate Information Center of the California Historical Resources Information System for permanent retention so that this information can be added to the state's database of cultural resources and benefit future management or research on the property. The current version of the Archaeological Survey Report Form for CDF Projects was created in January 2003 and was designed to closely follow the recently revised Confidential Archaeological Addendum for THPs. A downloadable version of the form is available from the CDF Archaeology Program Web Site at http://www.indiana.edu/~e472/cdf/forms/forms.html or through written request by email to any of CDF's staff Archaeologists. The survey report form is designed to document investigations for typical CDF projects. Complex investigations, such as those requiring site testing, may require additional documentation. This report form is intended for use by a CDF resource professional who has completed archaeological training. The investigation documented in the report shall be conducted under the guidance of a CDF Archaeologist for professional review and concurrence with findings. Title Block and Footer: The title block must contain the name of the project, county, author's name, author's affiliation, address, and phone number. Provide the date the report was written. [Be sure to delete the parentheses which were placed on the form only to guide the insertion of the appropriate project specific information.] The following are typical examples of how the title block should appear: Daniel G. Foster Archaeological Review Procedures for CDF Projects 19 An Archaeological Survey Report for the An Archaeological Survey Report for the Rice Canyon VMP Project Well Replacement and Utility Trenching Lassen County, California at the CDF Coalinga Forest Fire Station Fresno County, California by: by: Joe Forester, RPF #0001 Unit Forester, Lassen-Modoc Unit Susan Jones, Battalion Chief 697-345 Highway 36 Coalinga Battalion, Fresno-Kings Unit Susanville, CA 96130 California Department of Forestry and Fire (123) 456-7890 Protection 640 West Elm Avenue January 23, 2003 Coalinga, CA 93210 (123) 456-7890 March 1, 2003 Insert the name of the project into the space created in the footer. The CDF Archaeologists request that the name of the project appear in small, italicized font as a footer on each page. To insert the information, open the survey report to page 2, click on View, then select Headers and Footers. Click the third button to the left of Close which will switch to the footer and display the prompter to insert the project name. After entering the name and deleting the prompter and parentheses, select Close and save the file. The name of the project should now appear in small italicized font on the bottom of each page except the first page. Part 1: Project Information: Provide the project number and the name of the CDF project manager. Include the title, headquarters location and telephone number of the project manager if the project manager is not the author of the report. The author of the report is usually also the project manager and archaeological surveyor. In such instances the address and telephone numbers do not need to be repeated in Parts 1 and 5. Indicate the size of the project, usually in acres, although linear projects (such as shaded fuelbreaks) can be described differently. Provide the name of the 7.5 minute topographic quadrangle map, the name of the landowner or landowners, and the legal location. Briefly discuss the source of funds supporting the project. Indicate if the project includes state funds, federal funds, or both. For projects involving federal funds, indicate the federal agency that provided funding. This funding information is needed to comply with Programmatic Agreements and to prepare annual reports specified in those agreements. Provide a brief project description and be sure to include a discussion of all ground disturbing activities. Part 2: Archaeological Records Check Information: A current archaeological records check conducted at the appropriate Information Center (IC) of the California Historical Resource Information System must have been conducted for the project area. A request form and additional instructions are available on our web site. Indicate the date this check was completed and attach a copy of the completed records check request, maps, and reply from the Information Center (IC) including mapped information. Provide the IC file number and summarize the results of the records check discussing whether or not archaeological or historical sites are known or suspected to exist within the project area, and whether or not the property has a previous Daniel G. Foster Archaeological Review Procedures for CDF Projects 20 archaeological investigation on record. In some instances, CDF project managers will be using a different method to complete an archaeological records check. CDF maintains a data base of information on cultural resources on Demonstration State Forests, and these sources may be reviewed in lieu of a typical records check at the IC if the data base has been kept current. CDF also keeps records on archaeological surveys for many of its facilities. CDF must update its data base every five years for those sources in order for that data base to continue to be an adequate and legal alternative to IC record checks for every project. Part 3: Native American Consultation Information: The first half of this section must be completed for all projects. It documents the first notice and information request sent to Native Americans. The second half, beginning with the phrase "Date Notification Letters were sent to Native Americans (if applicable)" must be completed only in those instances where a Native American archaeological or cultural site was confirmed to exist within the Area of Potential Effect for the project. In the first part, provide an example of an information request letter that was sent, including the maps. Be sure the information request letters include all of the information and statements identified on pages 13-14 of this document. List all of the Native American contacts that you provided written notification about the proposed project, the date of the CDF Native American Contact List that you used to determine the appropriate tribal contacts, and the date your letters were sent. Check the appropriate box pertaining to the results of this request and check the appropriate box pertaining to the presence or absence of Native American archaeological or cultural sites identified within the CDF project area. If you check "No" (that such sites have not been identified), then you may delete the remaining portions of the form in this section or leave them blank. We recommend that you delete those portions of the form if they do not apply to the report being prepared. If you check "Yes" (that such sites have been located within the project) you will need to send additional noticing to Native Americans and discuss the results in Part 3. To avoid delays in project approval, send the second letters immediately after the survey has been completed and protection measures have been determined, in consultation with the CDF Archaeologist. This second letter should contain the following: the name, address, and telephone number of the CDF project manager sending the notice, the name, number, or other designator of the CDF project, a list of all known Native American archaeological or cultural sites located within the project area, including a name, number or other designator, and a brief description of each site, a brief discussion of how each site shall be protected, a statement that written comments may be submitted for CDF's consideration at the address provided if received within 30 days If, during review of certain CDF projects, the typical practice of allowing 30 days for reply to this second notice will create difficulties, the CDF project manager may consult over the telephone or through a face-to-face meeting with each required tribal contact and document this consultation in Part 3 of the report. There may be times, such as when working on a project that has previously surveyed, when you know the location of the Native American archaeological or cultural sites and appropriate, specific, enforceable protection measures prior to starting your project. You have the option of combining the two letters into one if you make sure that you include all information required for both letters. If there are any changes to the project, such as the discovery of new (i.e., previously unrecorded) Daniel G. Foster Archaeological Review Procedures for CDF Projects 21 archaeological sites during additional surveys, or changes to the protection measures, you would then have to send an additional notification letter to the Native American groups and individuals previously contacted. Part 4: Prefield Research: The prefield research will help you determine where you are going to intensify your survey and what you should be looking for. Suggestions for conducting prefield research were provided on pages 14-15 and are not repeated here. Be sure to list the literature reviewed and the persons contacted during the required prefield research, and most importantly, provide a summary of the results of this research as it relates to this project. The following statement in quotation marks is an example of a summary that would be neither acceptable nor adequate: "Prefield research resulted in no additional information to what was already known or provided in the records check." The summary of prefield research results must include a discussion of the history of the area. Indicate which tribal group lived in the area, briefly characterize the nature of its settlement patterns and describe how the tribe may have used the project area. Also describe the historic settlement in the area and list the sites known in the area and the type of sites that are expected to be found in the project area and vicinity. Part 5: Training and Experience of Archaeological Surveyors: Provide information concerning the training and qualifications of the person or persons who conducted the archaeological survey to demonstrate that the surveyors meet the qualification standards described in Section 929.4 of the Forest Practice Rules. List the name of the current archaeological surveyor. Provide that person's affiliation, address, and phone number if this information is not already included in the title block or in Part 1 of the report. If the archaeological survey was conducted by a person with current CDF archaeological training, provide the most recently completed training course number and the date the training course was completed. The training must be current (within five years prior to the survey). If the current surveyor is a Professional Archaeologist check the appropriate box. If, according to the Information Center response, the project area or part of the project area had been previously surveyed, list the previous surveyor's name and title of any applicable survey report on file. Part 6: Survey Methods and Procedures: The information provided in this section should describe the effort made to search for cultural resources within the project area, and to demonstrate that an adequate and appropriate effort was made. In describing the survey strategy explain the archaeological survey methods that were used. Summarize the survey strategy by incorporating recommendations made by the Information Center and by using results of the prefield research. Survey strategy may be influenced by additional considerations such as topography and/or other physical attributes of the property. Provide information addressing where you looked, what methods were employed, and what you were looking for. For example, CDF recommends that you not state that you were searching for bedrock mortars in Humboldt County, since to date no bedrock mortars have been identified there and, therefore, it is believed that bedrock mortars do not occur there. On the other hand, if your survey was within the Sierra Nevada region it would be quite appropriate for you to indicate that you were searching all likely rock outcrops for bedrock milling features. In other words, demonstrate that you know what you should have been looking for and that you employed a survey strategy that was appropriate for the area or region in which the property is located. CDF has produced a few articles designed to assist CDF personnel in developing appropriate strategies and these are available on the CDF Archaeology Program Web Site and in the Reference Manual and Study Guide for the CDF-CLFA Archaeological Training Program For Registered Professional Foresters And Other Resource Professionals. Daniel G. Foster Archaeological Review Procedures for CDF Projects 22 Discuss the length of time spent conducting the archaeological survey. If you indicate that only one day was spent on the archaeological survey for a 500 acre project the CDF Archaeologist reviewing that project would likely question the adequacy of the survey effort. Also provide the date or dates of your survey. It is important that you survey during good weather and at a time when you have the best ground visibility. Discuss the survey coverage intensity. If you applied systematic survey coverage, describe your transect intervals. For surveys on smaller parcels, it is perfectly acceptable to describe a survey coverage intensity that results from looking for archaeological sites while you were covering the area in the conduct of other tasks. Be sure, however, that you proceed slowly enough and cover the ground intensively enough to ensure that adequate survey coverage has been applied. Coverage with adequate intensity can be accomplished while doing other fieldwork, but be sure to accurately describe how well the ground was covered. For large project areas, it is better to apply different forms of systematic coverage. A lengthy discussion of systematic survey coverage is provided on pages 15-16 of this document. Discuss ground visibility and/or other limitations you encountered during the survey. If heavy duff or grass cover inhibited ground visibility and you used surface scrapes to improve your ability to see the soil, or if you observed exposed soils in road cut banks or creek banks, mention this. If portions of the project area were not included in the site survey area, be sure to explain why (i.e., the terrain was too steep, it was vegetated with abundant poison oak, etc.). Also include any other relevant information concerning your survey such as relevant details about the history of the area, any sites from a previous study, facts about previous land management practices, burn history, etc. If recorded archaeological or historical sites were identified during the archaeological records check as occurring within or adjacent to your project area, then you should attempt to relocate each site during the survey. For recorded sites adjacent to the project area, you should relocate those sites and determine if they extend into your project area. Be sure you have obtained permission to enter any adjacent lands (trespassing is not recommended). Once archaeological and/or historical sites are found you will need to determine their boundaries so they can be mapped, recorded, and protected. If flagging is to be used, we recommend the use of printed flagging that contains the words "Special Treatment Zone" and the placement of enough flagging so that the site boundaries are readily visible to equipment operators and other members of the project crew. Part 7: Survey Results: List and briefly describe all archaeological or historical sites identified within the site survey area, including their size, type, and condition, regardless of their significance. Display the specific location of all identified archaeological or historical sites, and the areas covered, on an attached map or set of maps. At least one of these maps must be a 1:1 scale copy of a USGS 7.5' quad map so the information can be accurately transferred to the official data base maps at the Information Center. The designations used for the sites on these maps must correspond to the designations for each of these sites in Parts 7, 8, and 9 of the report. This list and description must include previously recorded sites in addition to the new ones you discovered. If the Records Check shows sites that you were not able to relocate, discuss this in your survey results. Here is an example of a good site list with brief, but adequate site descriptions: Site #1. This is a previously recorded site, assigned the trinomial of CA-MEN-1806/H, recorded by Mark Gary in 1992. It is a multi-component site with both prehistoric and historic components. The majority of the site area contains a rich midden deposit with three possible Daniel G. Foster Archaeological Review Procedures for CDF Projects 23 housepits and a cupule boulder--evidence suggesting that this was a major prehistoric village site. The site appears to be in excellent condition. Artifacts observed on the surface include a rich scatter of chert and obsidian flakes and three projectile points. The historic element is the ruins of a one-room log cabin built with wire nails in circa 1920. The site measures about 250 m. X 100 m. in area. Site #2. I discovered this site during the survey and named it the Bear Creek Site. It is a prehistoric lithic scatter of moderate density (about 5 flakes per square meter). Chert and obsidian flakes were found but no midden, features, or flaked tools. The site measures about 50 m. X 30 m. and appears to have been disturbed by previous logging operations. Site #3. Another site I discovered, named the Callie Homestead, is an historic homestead with a cabin, corral, fruit trees, and scattered historic artifacts including cans and bottle fragments. The site area measures about 200 ft. X 150 ft. The cabin and trees are in good condition but the corral is in ruins. Only about 10% of it has survived. Site #4. Another site I discovered, this one named the Bear Creek Can Scatter, is a can scatter measuring 15 X 15 feet. It contains mostly beer cans and food tins and, based on the types of cans, appears to date to circa 1950. As a scatter, there is no depth to this site, which is in poor condition since the cans are extremely rusty and markings are not legible. Site #5. This is the location of another recorded site, CA-MEN-1807, recorded by Jim Mismap in 1973 as a small sparse lithic scatter. I did not relocate the site during my survey. The recorded location provided by the Information Center is included on the attached Archaeological Coverage Map, but no site was observed at that location. In the above example, all five site locations must be plotted on the attached maps, and these plotted locations should be designated Sites 1 through 5. Although site descriptions in the survey report may be kept brief, the same information can be copied and pasted/inserted into the site record, but the level of detail should then be expanded so that it is as detailed as possible. Following the list and description of each identified site, check the appropriate boxes indicating how CDF's recording requirements have been or will be met. CDF is responsible for recording sites located within project areas and these site records must be completed in accordance with currently acceptable professional standards. The following additional suggestions concerning site recording are offered: Site records should be included with the draft report forwarded to the CDF Archaeologist for review. If the site was previously recorded you may need to update the site record by re-recording it, particularly if the existing record does not meet current standards or if new information pertaining to the site was found. When determining the appropriate level of recording needed for each site, the following general guidelines should be used; bearing in mind that some sites may need additional recordation above these suggested levels. Small, recent, or ubiquitous sites such as historic can dumps, minor ditch segments, etc. may qualify for recording with the minimum acceptable standard, which is a 2-page record including a completed Primary Record and Location Map. Small prehistoric sites (such as sparse lithic scatters) which are to be completely avoided may also be Daniel G. Foster Archaeological Review Procedures for CDF Projects 24 recorded with a Primary Record and Location Map, although CDF recommends the inclusion of a Site Map to ensure the site can be relocated in the future. Larger, more complex sites should be recorded using at least a 4-page record consisting of a Primary Record, Archaeological Site Record, Site Map, and Location Map. In general, all but the very simplest resources should be recorded with a Primary Record, Location Map, and an appropriate detailed recording form or forms (e.g., Archaeological Site Record, Linear Feature Record, Milling Station Record, Rock Art Record). At a minimum, any significant site should be recorded to the 4-page standard (Primary Record, Archaeological Site Record, Site Map, and Location Map). Sites containing diagnostic artifacts should include scale drawings of the artifacts and/or photographs. CDF staff should be familiar with two important references on site recording that are available on our web site. These are: Suggestions for Preparing Archaeological Site Records and Site Maps (Betts 2001) and Instructions for Recording Historical Resources (Office of Historic Preservation 1995). Part 8: Evaluation of Site Significance: Most CDF project managers or their designees leave this section blank, even when sites are identified in the project area, and we encourage this practice. An evaluation of site significance is usually needed only if damaging effects to identified archaeological and historical sites cannot be avoided. If the report author chooses to provide an initial assessment of site significance, the analysis must utilize the significance criteria in the definition for a significant archaeological or historical site found in Section 895.1 of the Forest Practice Rules. The significance assessment must also utilize any information provided by Native Americans and provide a context statement pertaining to archaeological, historical and ethnographic data pertinent to the region. It should also consider the physical characteristics of the archaeological or historical site. If CDF proposes to protect the site from all substantial adverse change (defined in PRC Section 5020.1) and the site has been adequately recorded, then this section does not need to be completed. Instead, simply provide a statement that since the site will be protected and recorded, a preliminary significance assessment is not required. Be aware that the CDF Archaeologist will require the report to contain extensive documentation in support of a statement that the site is not significant. Almost every prehistoric archaeological site has the potential to meet significance criterion (a) (information potential), and it may be more difficult and costly to demonstrate lack of significance, particularly if subsurface testing is needed. When CDF personnel encounter situations where damaging effects to sites cannot be avoided, a detailed discussion of site significance must be included in this section. Brief arguments dismissing site significance without adequate support are unlikely to result in archaeological clearance of the project by the CDF Archaeologist. Part 9: Protection Measures: You will need to list the specific enforceable protection measures to be implemented for each identified site. The sites should be listed using the same site designations in Part 7, with specific protection measures included for each listed site. Describe measures designed to ensure protection within the site boundary and within 100 feet of the site boundary. Complete avoidance is the preferred treatment both within the site boundary and within a 100 foot buffer zone, if this is practical. When the report author proposes to carefully implement activities in and around identified cultural resources, an assessment of likely or possible impacts must be presented. In such situations we advise you develop this language in close consultation with a CDF Archaeologist and include an element of on-site supervision to ensure that protection measures or restricted project activities are closely followed. If complete protection is not possible or is impractical, the author will need to develop a detailed plan describing project activities and Daniel G. Foster Archaeological Review Procedures for CDF Projects 25 specific, enforceable protection measures. This plan will then be carefully reviewed by a CDF Archaeologist and key elements of that protection plan included in the second written Notice to Native Americans, if the site is a Native American resource. If limited project activities are proposed within site boundaries, then the detailed plan must be written to avoid significant adverse impacts to that site. If CDF determines that the proposed project may cause a substantial adverse change (as defined in PRC Section 5020.1) to a potentially significant archaeological or historical site and these potential impacts can not be avoided, one or more of the following scenarios will most likely ensue: The project may need to be changed to avoid the affected sites. CDF may need to retain a consulting archaeologist to investigate the significance of the site or complete data recovery as mitigation. This investigation could include subsurface testing and artifact analysis and detailed documentation. The project may have to be cancelled. The project may require an Environmental Impact Report (EIR) including public and agency review. The project may require consultation with the appropriate federal agency and the State Historic Preservation Officer (SHPO) if federal funding is involved. Any investigation report shall, at a minimum, contain recommendations for the mitigation and/or the reduction of impacts to avoid or prevent substantial adverse change to significant archaeological or historical sites, and shall meet the standards of Preservation Planning Bulletin Number 4 December 1989, Office of Historic Preservation), entitled Archaeological Resource Management Reports (ARMR): Recommended Contents and Format. Detailed information on site impacts and appropriate protection measures is available in the Reference Manual and Study Guide for the CDF Archaeological Training Program For Registered Professional Foresters And Other Resource Professionals. Part 10: Implementation of Protection Measures: In this section, the author should describe the efforts made to ensure that protection measures are effectively carried out. For example, the protection measures should be included in the Incident Action Plan for VMP projects so crews carrying out project activities are adequately informed. For CFIP projects, protection measures may be inserted into the Forestland Management Plan, and specific directions given to work crews. On-site supervision is another useful tool to ensure the protection measures are carefully followed. Protection measures should be included in the Environmental Checklist for CFIP and VMP projects. Upon request the CDF Archaeologist may provide assistance in developing the appropriate language for the Cultural Resources Section in this Checklist. The CDF Forester or RPF may need to revise the Project Description to incorporate the results of the archaeological investigation, especially when specific, enforceable protection measures have been developed to protect archaeological sites. Remember that archaeological site locations are exempt from the Public Records Act; they must be kept confidential and must never be included in any public document. The CDF Archaeologist should review any perceived conflict between confidentiality policy and public disclosure requirements. A decision needs to be made regarding who must know where sites are located and how much information they need to know about them. Those individuals trusted with archaeological site location information must be advised of the importance of keeping this information confidential. The project manager should incorporate results of the archaeological investigation into the Management Plan for the property, if one is being prepared, and should notify all appropriate project personnel of specific archaeological protection measures that were agreed-to, and ensure that these measures are carried-out. The project manager should Daniel G. Foster Archaeological Review Procedures for CDF Projects 26 monitor and evaluate the effectiveness of any plan used to protect archaeological or historical resources upon completion of the project by inspecting sensitive areas to determine if desired objectives have been met. These efforts should be discussed in Part 10 of the report. Part 11: Other Applicable Information: This section is intended to be used if the author wishes to provide any other applicable information that did not fit well in the previous sections of the report. In past years we have seen authors use this section to discuss land ownership history, history of land management practices, future development and/or resources found outside the site survey area. Part 12: Attachments: The following attachments should be included with your survey report: A copy of the completed records check request and its accompanying map, and the written response from the appropriate Information Center including all information and/or site records provided by the IC. An example of CDF's correspondence with the local Native American tribal groups and individuals including maps, and any response that has been received. Site records including maps. Include original photos rather than photocopies of photos. Archaeological Coverage Map or Maps, one of which must be a USGS 7.5-min. quad map (or digitally generated topographic equivalent) at 1:24,000 scale. The map must show a north arrow, scale, project boundary, location of all archaeological and historic sites identified (with site size and configuration mapped accurately), regardless of significance, and specific areas examined during the archaeological survey. Make sure the designations used to list sites in Parts 7, 8, and 9 are the same designators used to differentiate mapped site locations on the Archaeological Coverage Map. Additional maps at other scales to provide increased clarity are encouraged, and in small projects may be necessary, but the 1:24,000 scale map is always required. The reason for this is to enable accurate transfer of site locations and survey coverage areas onto the official base maps kept at the Information Centers which are original 7.5 minute topographic quadrangle sheets. Part 13: Professional Review and Approval: A CDF Archaeologist will review the report and provide a signature once the investigation and report have been satisfactorily completed. The author may complete the printed name, title, and location, but leave the signature and date lines blank; these will be completed by the CDF Archaeologist. You are encouraged to consult with the CDF Archaeologist several times during the investigation and development of the report. You may wish to forward a draft copy of the report via email for the CDF Archaeologist to review, edit, and finalize. You could send draft maps and site records via FAX for review. Once the CDF Archaeologist determines the investigation and report have been satisfactorily completed, assemble an original report, including all changes recommended during review and with all attachments, and send it to the appropriate CDF Archaeologist for signature and distribution. CDF Archaeological Survey Report Form: An Archaeological Survey Report for the (name of project) (name of county), California by: Daniel G. Foster Archaeological Review Procedures for CDF Projects 27 (author's name) (author's affiliation/title) (author's mailing address) (author's telephone number) (date report was written) Part 1: Project Information Project Number: Name of CDF Project Manager: Project Size (acres): Name of 7.5' USGS Quad Map: Name of Landowner: Legal Location: Funding Information: Project Description: Part 2: Archaeological Records Check Information Date of Records Check Conducted by Information Center: Information Center File Number: Summary of Records Check Results: ( ) Records Check Request, Map, and written reply from the Information Center are attached ( ) Records Check Not Attached Justification: Part 3: Native American Consultation Information ( ) Example of a notification letter(s) (including maps) is attached List of Native American individuals or groups that were provided written notification: Date of the CDF Native American Contact List that was used: Date notification was sent: Results of Information Request: ( ) No reply received as of (date): ( ) Written reply received (copy attached) ( ) Verbal reply received (summarize verbal reply): ( ) Native American archaeological or cultural sites were not identified within the project area ( ) Native American archaeological or cultural sites have been identified within the project area Date Notification Letters were sent to Native Americans (if applicable): Date copies of notification letters sent to the Director: Results of Notification to Native Americans: ( ) No reply received as of (date): Daniel G. Foster Archaeological Review Procedures for CDF Projects 28 ( ) Written reply received (copy attached) ( ) Verbal reply received (summarize verbal reply): Part 4: Pre-Field Research Literature Reviewed: Persons Contacted: Summary of Results of Pre-Field Research: Part 5: Training and Experience of Archaeological Surveyors Name of current Archaeological Surveyor(s): ( ) Archaeological Survey conducted by Professional Archaeologist ( ) Archaeological Survey conducted by person with current CDF Archaeological Training CDF Archaeological Training Course # Date Training Course was completed: ( ) Archaeological Survey for previous project within site survey area previously conducted by (provide name): Part 6: Survey Methods and Procedures Survey strategy: Time spent conducting archaeological field survey: Date or Dates the survey was conducted: Survey coverage intensity: Ground visibility/other limitations: Other relevant information: Part 7: Survey Results List and description of all sites found: () No sites found within the site survey area. () The following sites have been recorded and completed records are attached: () The following sites were previously recorded, updates not prepared (attach copy(ies)): () The following sites were previously recorded, updates prepared (attach copy(ies)): () The following sites will not be recorded, justification provided below: Part 8: Evaluation of Significance Preliminary determination of significance of listed sites (if required): Daniel G. Foster Archaeological Review Procedures for CDF Projects 29 Part 9: Protection Measures Specific enforceable protection measures: Part 10: Implementation of Protection Measures Discuss actions taken to carry out protection measures: Part 11: Other Applicable Information Additional Information: Part 12: List of Attachments ( ) Archaeological Records Check Request ( ) Archaeological Coverage Map (1:1 scale of USGS 7.5' quad) ( ) Archaeological Records Check Request Map ( ) Additional Archaeological coverage map(s) ( ) Information Center Reply ( ) Project Vicinity Map ( ) Example of Notice(s) to Native Americans: ( ) Written Reply from Native Americans ( ) USFS or other Agency Correspondence: ( ) Site Records ( ) Other: ( ) Photographs Part 13: Professional Review and Approval _________________________ Signature of CDF Archaeologist Date Signed: Printed name: Title: Location:
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