OFFICIAL SITE OF THE STATE OF NEW JERSEYPhase I (identification) archaeological survey
Introduction
Our office reviews projects that may affect significant cultural resources, including archaeological sites.
Federal and state laws and regulations make provisions for review, including:
- Section 106 of the National Historic Preservation Act (NHPA) of 1966, as amended
- Its implementing regulations at 36 C.F.R. Part 800
- The National Environmental Policy Act of 1969
- The Archaeological and Historic Preservation Act of 1974
- The New Jersey Register of Historic Places Act of 1970
We also assist other DEP and state agencies’ programs in reviewing compliance, including:
- New Jersey DEP’s Division of Land Resource Protection program
- Green Acres program
- Office of Permitting and Project Navigation
- The Municipal Finance and Construction program
Project Review
Read more about HPO’s involvement in regulatory review processes.
As part of these review processes, we may recommend conducting phased archaeological investigations. In some cases, other programs’ cultural resource staff may take the lead in reviews.
Goals of a Phase I survey
Identifying potential resources
Phase I uses background research, then fieldwork to identify potentially important archaeological resources. It works within the archaeological Area of Potential Effect (APE), or limits of proposed ground disturbance for the project site or study area. Based on this,
- Does the survey area contain archaeological resources?
- If so, could these resources potentially yield important information?
This typically involves consulting
- Current historic contexts in history or prehistory.
- Relevant National Park Service bulletins on specific archaeological themes.
- Current and appropriate archaeological predictive models for New Jersey’s physiographic regions.
Developing a location model
Researchers then develop an appropriate sensitivity location model. This subdivides the APE into four categories:
- Three zones of high, medium, and low potential for site occurrence
- Excluded/heavily disturbed areas (with rationale and justification)
Confirmation through fieldwork
The location model categories form the basis for designing a field component, including:
- A site visit
- Background research
- Field testing
- Analysis
- Technical reporting
Some resource types require specialized forms of testing. The testing methodology may need to expand to include additional studies, such as:
- Metal detecting for military sites
- Geomorphology for riverine settings
- Geotechnical boring and/or backhoe trenching in urban areas
- Remote sensing geophysical surveys for cemeteries
- Drone documentation for maritime resources in open water or Native American spiritual sites in steep terrain.
Phase IA and IB methodologies
Phase I contains two parts with different methodologies, Phase IA and Phase IB. At the end of the study, surveyors can combine these in a single Phase I survey report.
Phase IA
Purpose
Assess project site sensitivity for the presence of archaeological resources.
Components
- Research background documentation for the area.
- Walkover surface (reconnaissance) survey.
- Write a report indicating …
- The results of the survey.
- Assessment of the project site into areas of low, moderate and high archaeological sensitivity.
- Recommendations for further research and archaeological testing.
Phase IB
Purpose
Determine archaeological resources’ presence or absence within the project or study area.
Components
Phase IA archaeological survey elements, plus:
- Conduct subsurface testing at regular intervals along evenly spaced transects. In Phase I, this usually takes the form of shovel test pits (STPs).
- Write a report indicating …
- The results of the survey.
- Recommendations for further research and archaeological testing.
Phase I vs. Archaeological Monitoring
Archaeological monitoring is not a substitute for Phase I identification survey. Instead, a project employs archaeological monitoring after completing all phases of archaeological investigation. As needed, this monitoring ensures …
- Unanticipated contributing resources receive treatment.
- The study area is inaccessible until construction activities begin.
Archaeological sensitivity
Precontact sensitivity factors
Identifying pre-Contact period resources within a project site requires development of …
- A site location probability predictive model that synthesizes current archaeological models for New Jersey.
- An assessment of known pre-Contact period archaeological sites on file at:
-
- The New Jersey State Museum
- The New Jersey Pinelands Commission (if applicable)
-
- Current regionally specific pre-Contact period historic context.
- Environmental factors.
- Geology.
- Geography.
- Geomorphology.
- Remnant glacial features.
- Previous land use history encapsulating landforms.
- Coastal marine transgression events.
Analysis should account for environmental changes that may mask likely archaeological site settings. Settings that may contain deeply buried archaeological deposits are of particular importance. The model’s justification and level of detail depends on existing data and interpretations. The investigator’s expertise can introduce additional factors for identifying likely site locations.
Specific environmental and topographic features suggestive of high pre-Contact period archaeological sensitivity include:
Soil drainage types
- Moderately drained
- Well drained
- Excessively drained
Water resources
These include:
- Rivers
- Streams
- Springs
- Lakes
- Wetlands
- Cedar swamps.
Points of interest for precontact sensitivity include:
- Main trunks of rivers
- Stream confluences
- Relic stream courses
Estuary/bay
These include:
- salt meadow “islands”
- fast ground fronting meadows
- shell mounds
Consider how rise in sea level has affected these areas.
Upland features
- Upland drainage crossovers
- Hill gaps
- Rock shelters
Lithic raw materials
- Outcrops
- Cobble sources
Seasonal food sources
- Growing and harvest seasons for plant populations
- Breeding and migration patterns for animal populations
Resource sensitivity pyramid
Areas of rich, diverse resources overlap.
Historic sensitivity
Historic period archaeological sensitivity is tied to
- Mapped structures visible on historic maps
- Historic roadway alignments
Typically, high zones of sensitivity are within 300 feet of either type of structure. However, tenant farmsteads or enslaved dwellings may be farther away.
Early colonists tended to settle in similar areas to pre-Contact occupants. Apply the same environmental sensitivity factors used for pre-Contact sensitivity. Likewise, do not assume an absence of structures because they are not on historic maps. It is not uncommon to find a historic period site that was never documented. Include enough background research to identify all possible resource types in the area.
Historic sites
The identification survey shall document indicators of historic site formation and preservation. The report shall use photographs and maps at reasonable scale to capture aboveground
- Structures
- Features
- Ruins
It shall also document less obvious indicators of buried historic sites, including:
- Surface or near surface artifact concentrations
- Topographic anomalies
- Liner wall features
- Property lines
- Non-native vegetational clusters. These may represent the locations of buried foundation remains, wells and privies.
Urban environments
STPs may not be able to penetrate the upper capping fill in built environments. Therefore, subsurface identification may require machine-assisted backhoe trenches. Trenching can reveal intact cultural horizons and/or archaeological deposits beneath fill layers. The presence or absence survey shall evaluate:
- The entire non-building portion(s) of the project site, including paved areas.
- The depth of the buried deposits to the depth of proposed disturbance, following OSHA standards.
- The anticipated and/or documented locations for
- Former structures.
- Living surfaces/middens.
- Buried landforms sensitive for pre-Contact period occupation.
If available, consult geotechnical soil boring logs to understand landform(s) encapsulated beneath the built environment.
Submerged and Maritime
The identification survey shall document the presence or absence of maritime architecture or features such as:
- Aids to navigation
- Pilings
- Docks
- Wharves
- Timber and stone bulkheads
- Warehouses
- Marine railways
- Shipyards within the project site
These structures and features help
- Develop the proper historical context
- Aid in resource boundary delineation
- Guide the identification study for contributing submerged and/or near shore archaeological resources
Offshore and/or projects crossing major rivers or waterbodies may require underwater identification level surveys, including:
- Minimum 75-foot spaced survey track lines (depth-dependent) employing remote sensing equipment including magnetometer
- Sub-bottom profiler
- Side-scan sonar and recording fathometer surveys conducted by maritime archaeological professionals
Guidelines for Phase I archaeological investigations
Designating potential
The site location model should designate different portions of the APE to one of the following four categories:
- Excluded from field survey consideration
- High potential for the presence of archaeological sites
- Medium potential
- Low potential
Use pedestrian survey and subsurface probing in high, medium and low potential areas. For best results, focus intensive work efforts on areas with greater potential.
Do not assume an area has low potential because it exists within a plow zone.
Subsurface probes
Cover each testing area with an average of 17 one-foot diameter subsurface probes per acre. This is equivalent to probing on a 50 ft rectilinear grid. When using rectilinear grid sampling, scale the grid size according to potential. In other words, use:
- Smaller probe grid intervals in high potential areas.
- Larger probe grid intervals in low potential areas.
How to write useful descriptions
Data supports analysis, but tables of data do not replace analysis.
Include stratum interpretation
Less useful
The shovel test contained a mottle sandy loam with gravel over a sandy loam over a fine sand.
More useful
Shovel testing identified a fill or grading layer capping the lower sand loam A horizon followed by the culturally sterile fine sand B horizon subsoil.
Describe fill layers
Less useful
The unit contained two feet of fill over the A horizon.
More useful
Above the A horizon was identified an early 18th century mixed soil horizon interpreted as the original basement excavation. Capping the basement spoil was a stratum with mortar, broken brick and stone rubble interpreted as the 1735 house construction sequence. Next was an A horizon stratum with 18th century artifacts, suggesting a living surface adjacent to the house, capped by a mid-19th century leveling event filling the lower lying area to the east. Finally, the 20th century plow zone was identified at the top of the soil profile.
Full Phase I guidelines
Read HPO’s full guidelines for Phase I archaeological survey. In addition to a PDF, we now offer this publication in EPUB format for e-readers and mobile users.
Phase I Guidelines PDF
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Phase I Guidelines eBook (epub)
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