Information for NPS Archeologists

This section describes the NPS archeologist's responsibilities for assisting applicants, managers, and regional directors in preparing and reviewing applications for a Permit for Archeological Investigations (“Permit”), monitoring field projects, and reviewing final reports and products resulting from archeological investigations. Because of this important role, the NPS archeologist should be familiar with all sections of the module.

A Permit is a legal document that defines the scope and methodology of the permitted archeological work and specifies the conditions for suspending the project. Thus, a Permit can be, and is, used in court to establish elements of cultural resource laws violations, should they occur. NPS archeologists provide expert advice to the regional director and the park manager on the issuance, inspection, and review of archeological projects conducted under a Permit. NPS archeologists assist in enforcing cultural resource protection laws and regulations including the Archaeological Resources Protection Act (ARPA) and ARPA regulations.

The NPS archeologist is essential to the permitting process. The archeologist normally is the liaison between the applicant and the regional director who issues the Permit. The NPS archeologist provides assistance or background information to the applicant in preparing a Permit application, advises the park manager and/or the regional director about the feasibility and appropriateness of the project, monitors the activity, and reviews reports, CRIS records, and other documentation that is generated by the permitted investigation. Whether located in national park units, regional centers that specialize in cultural resources, or at a regional office, NPS archeologists conduct field work and oversee the work of others on fee simple parklands.

Archeological Resource Protection on Parklands

Disturbance of archeological sites without a Permit is illegal and will be prosecuted. NPS archeologists assist in enforcing cultural resource protection laws and regulations, in particular the Archaeological Resources Protection Act (ARPA) and ARPA regulations, through monitoring permit-holders' research activities and monitoring archeological resources within parks. NPS archeologists must immediately report any cultural resource law violations to the park manager. Looted or disturbed archeological sites are crime scenes and must be investigated by law enforcement personnel. Once the scene has been secured by a law enforcement officer, an NPS archeologist trained in carrying out archeological damage assessments assists in documentation of damage. Archeologists who assist in this work have completed ARPA law enforcement training in conducting archeological damage assessments.

Archeologists play a pivotal role in the documentation of looted and disturbed sites and in the successful prosecution of violations of archeological resource laws. Archeologists work proactively with regional and local law enforcement personnel to protect archeological resources. Archeologists and law enforcement personnel share information about the location of important sites to promote site monitoring. Archeologists educate park law enforcement officers about the importance of protecting and preserving archeological resources and encourage park law enforcement officers to attend training in cultural resource laws and law enforcement.

Archeologists also work closely with park interpretive staff to provide visitors with information about cultural resource laws; the actions that constitute violations of cultural resource laws; and the importance of protecting our national heritage.

Who Requires a Permit?

Permits are required for all investigations carried out by archeologists who are not employed by or contracted with the NPS. For example, Permits are required for:

• independent archeological investigations, including field schools;

• archeological investigations to fulfil requirements for NHPA Section 106 compliance for projects initiated by other parties, such as commercial enterprises, or for Federal undertakings initiated by the NPS but contracted to a second party; and

• for archeological investigations initiated by other Federal agencies;

• projects initiated by or paid for by a park friends group.

Archeological investigations of sunken or terrestrial military craft that are under the jurisdiction of the NPS require a Permit. Multiple authorizations may be required for disturbance of a sunken military craft. The U.S. Navy has agreements to streamline permitting requirements. Applicants may approach either the U.S. Navy or the NPS to initiate a joint permitting process and receive further guidance.

Who Does Not Require a Permit?

A Permit is not required in every situation that potentially involves archeological resources (43 CFR 7.5 (b)(4)). Permits are not required for:

• Persons carrying out official duties under the park's direction are exempt from permitting requirements. Permits are not required for activities under the direct control of the NPS, either carried out by NPS archeologists, or by archeologists working on NPS projects under a contract or cooperative agreement.

• Personnel responsible for remediation projects under the Comprehensive Environmental Response, Compensational Liability Act (CERCLA), are not required to obtain a Permit for the portion of removal or remedial action related to archeological site contamination (42 USC 9621(e)(1)). If circumstances permit, however, project managers are encouraged to apply for a Permit for any archeological activity on fee-simple park lands carried out as part of the undertaking. Any remedial action, however, must comply with the substantive portions of both ARPA and NHPA. Offsite remedial activity, such as building a road to remove contaminated materials, also requires Section 106 compliance and, if archeological activities are involved, a Permit.

• Persons collecting for private purposes any rock, coin, bullet, or mineral that is not an archeological resource, provided that the collecting activity does not disturb an archeological resource (43 CFR 7.5(b)(2)). Collectors may be breaking other laws, however, such as theft of government property.

• Persons conducting NPS-authorized activities on parklands when those activities are for purposes other than the excavation and/or removal of archeological resources, even though those activities might accidentally result in the disturbance of archeological resources. This does not, however, affect the park manager's responsibility to comply with other authorities such as NHPA, NEPA, and the NPS Organic Act that protect archeological resources, prior to issuing the authorization to conduct those activities (43 CFR 7.5 (b)(1)).

Although a Permit is not required for NPS-authorized fieldwork, all work performed by NPS archeologists is held to the highest Federal standards (see Director's Order #28A, Sections 6A and 6B and Secretary of the Interior's Standards for Archeological Documentation). NPS archeologists and non-NPS archeologists working on behalf of the NPS must meet ARPA standards for undertaking archeological investigations (43 CFR 7.8 and 7.9)

What Activities Need a Permit?

All types of archeological investigations on parklands require NPS authorization in the form of a Permit. Such activities include ground-disturbing activities such as excavation, shovel testing, trenching, coring; underwater and terrestrial survey without artifact removal; underwater archeology; and non-ground-disturbing activities such as rock art documentation, remote sensing, metal detecting, photo-documentation, geophysical research, geospatial recording, and other non-invasive, non-ground disturbing, or non-collection research strategies. Any activity that has the potential for ground disturbance must also comply with NHPA Section 106.

What Activities Don't Need a Permit?

Permits are not required for:

• Activities carried out in the park under other permits, leases, licenses or entitlements for use when those activities are exclusively for purposes other than the excavation or removal of archeological resources (43 CFR 7.5(b)(1)). (Any ground disturbance or data collection requires the park involved to comply with NHPA Section 106 and NEPA, however).

• Permits are not required for NPS contracts for archeological services. If the contract will not be administered by an NPS archeologist, it is very beneficial for an archeologist to review the contract prior to awarding it.

• NHPA Section 106 compliance is not required for the act of issuing a Permit for Archeological Investigations in and of itself, though archeological projects, as undertakings (that require the issuance of a permit), must comply with NHPA Section 106. A Federal undertaking is defined as a project, activity, or program funded in whole or in part under the direct or indirect jurisdiction of a Federal agency, including those carried out by or on behalf of a Federal agency; those carried out with Federal financial assistance; those requiring a Federal permit, license or approval; and those subject to state or local regulation administered pursuant to a delegation or approval by a Federal agency (36 CFR 800.16(y)). While the issuance of a Permit is a Federal undertaking, ARPA specifically exempts the act of issuing a Permit from compliance with NHPA Section 106. Issuance of a permit in accordance with the Act [ARPA] and this part does not constitute a undertaking requiring compliance with section 106 [of NHPA] (43 CFR 7.12). The project requiring the Permit, however, must comply with NHPA Section 106.

• Permits are not required for cooperative agreements (a cooperator may be any state or local government, tribal government, public or private agency, organization, institution, corporation, individual, or other entity who enters into a cooperative agreement with a unit of the NPS). However, a park unit may request a Permit for individual cooperative agreements.

Assisting Applicants

It is important that Permit applicants contact park managers when contemplating an archeological project to be carried out on parklands. The park manager may delegate responsibilities for assisting Permit applicants to a park or other NPS archeologist. It is important that all NPS requirements are discussed with the applicant before the Permit application is submitted. In order to assist the applicant in planning an archeological project, the NPS archeologist should be familiar with:

• NPS policies that pertain to the management of archeological resources. Director's Order #28 on Cultural Resources and associated NPS Cultural Resource Management Guideline, Director's Order #28A on Archeology, and the Secretary of the Interior's Standards and Guidelines, including professional qualifications, as they relate to archeological resources, are the key documents.

• Park management plans. The NPS archeologist assesses the relevance of the proposed research project to anticipated park needs, and suggests ways that the proposed research may contribute to achievement of management goals, and to articulate with management plans.

• Park plan for discovery of human remains. The NPS archeologist ensures that the plan of action for discovery of human remains in the park include procedures for American Indian human remains, and that consultation on the procedures has taken place, and procedures for the discovery of non-Indian human remains. A copy of the plan of action is provided to the Permit holder.

• Park plan for discovery of unexploded ordnance. Archeological investigations in national park units that commemorate the Revolutionary War, the Civil War, the War of 1812, and other battlefields may encounter unexploded ordnances (UXOs). Any ordnance may be live and capable of detonation. The discovery of a UXO is a health and safety issue and is handled by a protection ranger, not an archeologist. The NPS archeologist ensures that any park encompassing a battlefield has a procedure in place for discovery of unexploded ordnance. A copy of the plan is provided to the Permit holder. If the NPS archeologist is notified of an UXO, the archeologist immediately notifies the chief ranger, and ensures that all personnel are removed from 500 feet of the ordnance.

• Permit application and the Permit process. The NPS archeologist provides assistance to the applicant in preparing the application for a Permit, and to the regional director in reviewing the Permit application. The archeologist is familiar with the application forms, the information requested, and the permitting process.

• The NPS site recordation system. A Permitted project has the potential to yield site management information that must be recorded in the Cultural Resources Information System (CRIS), either as new site records or updates to existing site records. It is important that requirements for collecting and documenting site information in conformance with CRIS are included in the Permit conditions. The NPS archeologist provides a Permit holder with a field form to record the pertinent CRIS fields as site documentation. The NPS archeologist may also require the Permit holder to enter the data into a CRIS database table, depending on the capabilities of the Permit holder and the ability of the NPS archeologist to monitor and verify data entry. The NPS archeologist is familiar with:

  • CRIS User Guide;

  • CRIS Data Dictionary, which should also be provided to the Permit holder;

  • required fields in CRIS to create a complete, accurate, and reliable site. Note that some of the required fields, e.g., Site Documentation Level, Treatment Proposed, Management Action, and National Register Status, must be entered by NPS staff that make management decisions about the site(s);

  • GIS data Federal Geographic Data Committee (FGDC) metadata standards; and,

  • NPS Cultural Resource Spatial Data Transfer Standards, with accompanying feature level metadata completed.

Reviewing Permit Applications

NPS archeologists provide the major technical and policy review of archeological Permit applications. They advise regional directors and park managers on the merits of the proposed work and provide recommendations, with justifications, for approval or denial of applications. The Permit may be denied if the application does not meet Permit requirements (See 43 CFR 7.8 Issuance of Permits).

The NPS archeologist verifies that:

• The applicant meets the Secretary of the Interior's Professional Standards for Archeology and is appropriately qualified, as evidenced by training, education, and/or experience, and possesses demonstrable appropriate competence.

• The proposed work is to be undertaken for the purpose of furthering archeological knowledge in the public interest.

• The proposed work, including time, scope, location, and purpose, is not inconsistent with any management plan or established policy, objectives, or requirements applicable to the management of the park.

• Written consent has been obtained for work proposed on state, tribal, or other Federal lands managed by the NPS.

• The park's Plan of Action for Discovery of Human Remains has been provided to the applicant. The responsible archeologist works with the park manager to develop and provide a plan of action for the inadvertent discovery or intentional excavation of Native American human remains.

• Necessary compliance with cultural resource laws and regulations is addressed.

• A plan for documentation of newly discovered sites and revisited sites, including new or updated CRIS records, is provided.

• Written confirmation has been obtained from the curatorial facility that will accept the resulting collections and associated records.

• Written confirmation has been obtained that the curatorial facility is in compliance, or working toward compliance, with provisions of regulations for federally-owned and administered archeological collections (36 CFR 79).

• The applicant has confirmed that, not later than 90 days after the date that the final report has been submitted to the NPS, all material remains and associated records resulting from work conducted under the requested Permit will be delivered to the curatorial facilities as named in the Permit application.

• All necessary additional permits and authorizations have been obtained, including permission for destructive analysis, if required.

• If appropriate, the park's Plan of Action for Discovery of Unexploded Ordnance has been provided to the applicant.

• Proposals must include specific reasons and justifications why the recovery of park archeological resources are necessary and significant to current research and management needs. NPS Cultural Resources Management Guidelines (1997) and Director's Order #28A, Archeology recommends that invasive fieldwork, such as excavation, be limited.

The NPS archeologists involved in Permit application review ensure that terms and conditions for an approved Permit anticipate all possible outcomes of the project including, for example, attention to final site condition, review of deliverables other than reports, and CRIS and MCMS data entry.

NPS Inspections

The regional director is responsible for ensuring that inspections occur during the field and laboratory phases of a permitted project to determine whether the project is in compliance with stipulations of the Permit. These inspections are conducted by NPS archeologists and, when feasible, an NPS curator. During the inspection, the NPS archeologist verifies that:

• A copy of the Permit is on site at all times;

• Responsible parties identified in the Permit are present and are performing the roles identified in the Permit;

• The investigators are maintaining accurate field documentation in GPS;

• The investigators are maintaining a photographic log containing information on each photograph taken, including full provenience information, date, and aspect;

• The investigators are maintaining a field specimen log;

• The investigators are drafting maps containing detailed information on the location of archeological investigations, the location of individual archeological test units, significant profiles, and floor plans;

• The investigators are maintaining provenience integrity by placing associated objects into common containers, and separating objects of different provenience into separate containers, all of which are clearly marked.

• Compliance requirements established through consultation with the SHPO(s) or ACHP are being addressed.

• The activities are in compliance with other NPS permits.

The appointed NPS archeologist or curator should also monitor project-related laboratory activities. Laboratory inspection includes verification that all of the NPS standards for collections management outlined in Curation of Federally-Owned and Administered Archaeological Collections (36 CFR Part 79) and the NPS Museum Handbook, and other NPS region-specific guidelines are met to ensure proper management and security of the collection.

Should violations of the terms of the Permit be observed, the archeologist communicates this information in writing and in a timely manner to the park manager who, in turn, provides the regional director with the information necessary to suspend the Permit and all associated activities.

Discovery of Human Remains

A written plan of action is required in the event that there is an inadvertent discovery or intentional excavation of human remains in the park. If no such plan exists, the NPS archeologist works with park staff to develop a plan. This plan is provided to the applicant.

Any time that Native American human remains are discovered, either during excavation or survey, the Permit holder ceases all work, secures the area, and immediately notifies the park manager of the discovery. If excavation of Native American human remains was anticipated, the permit-holder will follow the procedures for intentional excavation of human remains provided in the Permit. Project work may continue in accordance with the written programmatic plan previously formulated by the park unit in consultation with Native American tribes and made a part of the conditions of the Permit.

If the discovery of Native American human remains during the permitted project was not anticipated, the Permit-holder will follow procedures for unanticipated discovery of Native American human remains provided in the Permit.

If the human remains are determined to be non-Native American, NAGPRA does not apply. In that case, the park manager will confer with law enforcement officials, the county or state coroner, and/or the medical examiner to determine whether a crime has taken place and the appropriate course of action. If the human remains are determined to be of archeological interest, scientific archeological methods, techniques, and analyses, may be conducted.

Reviewing Research Reports and Products

The NPS archeologist reviews all products of the investigations such as reports, field forms, CRIS site records, or the field data to create CRIS site records, for conformance with the Permit terms and conditions. The NPS archeologist reviews all CRIS site records to determine that they are complete, accurate, and reliable.

The NPS archeologist provides the park manager and regional director with comments and recommendations regarding the products. Upon completion of the project and after all reports and/or products have been submitted and accepted, the regional director sends a letter to the applicant and park manager stating that the conditions of the Permit have been met.

Results must be communicated in reports that summarize the objectives, methods, techniques, and research results. Information relating to curation, such as any on-site conservation of items, MCMS catalog records, name of the curatorial repository, and collection accession numbers should also be included in the final report in order that additional information about the investigation can be obtained.

Information about specific site locations and other site information that would endanger the integrity of the archeological resource, if generally available, should be reported in a manner that allows the park manager to withhold that information. Permit-holders need to consult the park manager regarding any request from an outside party for potentially protected information before releasing it, whether pursuant to a FOIA request or oral or written request.

Information contained in the reports is considered to be confidential by the NPS and is not to be released to any entity outside of the NPS without written approval in accordance with NPS DO #66.

The NPS exercises its discretion to withhold specific information contained in this file from public release pursuant to authority granted within one or more of the following:

• National Parks Omnibus Management Act, Section 207, 54 U.S.C. § 100707, which prohibits the release under FOIA of information regarding the nature and specific location of certain cultural and natural resources in the National Park System;
• National Historic Preservation Act, 54 U.S.C. 300101, which allows the release of information about the location, character, or ownership of certain historic resources unless it cause a significant invasion of privacy, causes significant harm to historic resources or impedes use of traditional sites by practitioners;
• Archaeological Resource Protection Act, 16 U.S.C. § 470hh, which prohibits the release under FOIA or any other law information concerning the nature and location of certain archaeological resources;
• Executive Order No. 13077: Indian Sacred Sites, which instructs agencies to maintain the confidentiality of Indian sacred sites.

Preliminary Reports

Within six weeks of completion of the field component of the research project, the permit-holder must submit a preliminary report to the regional director and to the park manager. The report should describe the fieldwork, including accomplishments, methods used to accomplish the work, names of individuals that carried out the fieldwork, maps, any GPS data, completed CRIS forms for any newly recorded archeological sites, and any professional recommendations.

When a fieldwork episode involved only minor work and/or minor findings, a final report may be submitted in place of the preliminary report.

Annual Reports

In the event that the Permit extends for more than one year, the NPS requires an annual progress report by the permit-holder. The report must detail the extent of work accomplished to date, and how much work remains to be carried out. The Permit will be reviewed on a yearly basis following the submission of the annual report to the regional director and to the park manager to ensure that the project is meeting deadlines and goals (43 CFR 7.9(g)).

Final Reports

Standard permit conditions require that within six months of completion of the field component of the research project, unless another timetable has been agreed upon, the permit-holder must submit a final report for review by the regional director and the park manager. The applicant is advised to submit a draft report ahead of time, and allow time for revisions based on reviews by NPS personnel. If analysis is expected to take longer than six months, the regional director may authorize an extension for submission of the final report.

The final report must be consistent with information in field notes, photographs, and other materials (see the Secretary of the Interior’s Standards for Archeological Documentation and 36 CFR 79- Curation of Federally Owned and Administered Archeological Collections for additional guidance) and include:

• Description of the study area;
• Relevant historical documentation/background research;
• Research design;
• Field studies as actually implemented, including any deviation from the research design and the reason for the changes;
• Field observations, including the number of new sites that are discovered and previously identified sites that are revisited;
• Analyses and results, illustrated as appropriate with tables, charts, photographs, and graphs;
• Evaluation of the investigation in terms of the goals and objectives of the investigation;
• Recommendations for updating interpretive and management materials;
• Recommendations for ongoing or proposed treatment activities such as structural documentation, stabilization, etc.;
• Name and location of the facility curating material remains and associated records; and
• Accession numbers.

If the actual research methods differed from those proposed, the reasons for these differences should be included in the report.

The final report is a public document and cannot be copyrighted. Information collected in the final report may be used by the NPS for cultural resource management purposes. Information collected during the research project, however, may be used by permit-holders in other publications that can be copyrighted. However, the permit-holder must not publish, without the prior permission of the regional director, any locational or other identifying archeological site information that could compromise the government's protection and management of archeological sites.

Artifact and Document Storage

Artifacts and records from the archeological investigations on federally-owned parklands are the property of the United States (43 CFR 7.8). Material remains and associated records must be delivered to the appropriate official of the institution responsible for curation no later than 90 days after the final report is submitted to the regional director.