SHPOGuidanceforUseandSubmittal ofthe SurveyReportSummaryForm (SRSF) SHPOGuidancePointNo.10 Revised January2016 INTRODUCTION The Arizona State Historic Preservation Office (SHPO) annually reviews thousands of documents for compliance under A.R.S. 41-861 et seq., the State Historic Preservation Act (SHPA), and 36 CFR Part 800 (the regulations implementing Section 106 of the National Historic Preservation Act [NHPA]). In order to facilitate SHPA and NHPA compliance documentation and review processes, the SHPO has created a Survey Report Summary Form (SRSF) that can be used to report Class I inventory surveys, or Class II and Class III surveys resulting in negative findings. Refer to Standards for Inventory Documents Submitted for SHPO Review in Compliance with Historic Preservation Laws (Revised, January 2016), also known as the SHPO Survey Report Standards, for additional guidance and points of clarification, definitions, and terminology. Arizona State Museum (ASM) will accept SRSFs in lieu of negative survey technical reports for work conducted under Arizona Antiquities Act Blanket Permits. See Appendix A, this document, for instructions for completing the SRSF. CONDITIONS FOR USE OF THE SRSF 1. A list of agencies that have approved use of the SRSF for negative surveys is in Appendix B, this document. It is the consultant s responsibility to obtain approval, in writing, from any agency not listed, and provide the approval to SHPO. 2. TheSRSFmust be completed in its entirety to demonstrate that SHPO, ASM, or other agency reporting standards are met. Therequiredattachmentsmustbeincludedforthesubmittaltobe consideredcomplete. 3. TheSRSFmaybeusedfornonFcollectionsurveysoflessthan640acresorlessthan10linear milesresultinginnegativefindings,andforwhicharecommendationof NoHistoric PropertiesAffected isappropriate. a. Asurveyresultsina negativefinding ifnosites,structures,buildings,objects,or districtsarepresentintheareaofpotentialeffects.
b. Anegativesurveymayincludeisolatedoccurrences(IOs)ofartifactsorfeatures, providedtheiosaresufficientlydocumentedtodemonstratelackofsignificanceand researchpotential. c. For additional policy information regarding eligibility evaluations of IOs, refer to Appendix B in the SHPO Survey Report Standards cited above. d. Any Register-eligible IO requires preparation of a technical inventory report. If in doubt about the recommended eligibility status of an IO, contact SHPO or the appropriate land managing or reviewing agency. e. Regardless of findings, a technical report, including a research design, must be submitted for surveys involving more than 640 acres or 10 linear miles. 4. The SRSF may be used to report the results of Class I inventories not requiring detailed cultural histories. SUMMARY Pursuant to 36 CFR 800.11(a), the SHPO is resolved to improve the quality of those reports that are below or barely meeting expectations for professional adequacy. Thus, we strongly encourage use of the SRSF and SHPO Survey Report Standards, which have been recently updated (2015) with information pertaining to background research, ARHP/NRHP eligibility requirements, and important definitions of key terms. We believe that use of these resources should reduce SHPO requests for additional information (often resulting in the need for report revisions), and thus potentially reduce the time needed for consultation (the mandated 30-day SHPO review period starts over with each new submittal). As such, these tools are intended to help balance the business of archaeology with the requirements for historic preservation compliance. Prepared by SHPO archaeological compliance staff/mew Approved by James W. Garrison, State Historic Preservation Office 2
APPENDIXA INSTRUCTIONSFORCOMPLETINGTHE SHPOSURVEYREPORTFORM(SRSF) TheSRSFisastandKalonedocumenttobesubmittedforClassIsurveys,orClassIIorClassIII surveysresultinginnegativefindings.refertoshpoguidancepointno.10(revised2016)forthe definitionofanegativesurveyandotherapplicableconditions. Regardlessoffindings,atechnicalreport,includingaresearchdesign,mustbesubmittedforall surveysthataremorethan640acresor10linearmiles. WhenfillingouttheSRSF,expandfieldsasnecessary. 1.REPORTTITLE 1a.ReportTitle:Includefulltitle. 1b.ReportAuthor(s):Firstandlastnames. 1c.Date:Reportdate.Identifyas Revised,withdate,ifappropriate. 1d.ReportNumber:Internalreportnumber. 2.PROJECTREGISTRATION/PERMITS 2a.ASMAccessionNumber:ObtainedfromtheArizonaStateMuseum(ASM). 2b.AAAPermitNumber:ObtainedfromtheASM. 2c.ASLDLeaseApplicationNumber(s):ObtainedfromtheArizonaStateLandDepartment. 2d.OtherPermitNumber(s):Listallagencypermitnumbers. 3.ORGANIZATION/CONSULTINGFIRM 3a.Name:Nameoforganizationorconsultingfirmconductingthesurvey. 3b.InternalProjectNumber:Organization/consultingfirmprojectFspecificprojectnumber(s). 3c.InternalProjectName:Organization/consultingfirmprojectname. 3d.ContactName:Nameofthepartyresponsibleforensuringthecompletenessandaccuracyofthe report,generallyprincipalinvestigatororculturalresourcesdirector/manager. 3e.ContactAddress:Localoffice/streetaddressassociatedwithsubmittal. 3f.ContactPhone:refersto3d. 3g.ContactEmail:refers3d. 4.SPONSOR/LEADAGENCY 4a.Sponsor:Theprojectproponent. 4b.LeadAgency:AgencyresponsibleforconsultationundertheStateorNationalHistoricPreservation Acts(SHPA,NHPA). 4c.AgencyProjectNumber(s):Providedbysponsororleadagency.ForADOT,includeboththefederal projectnumberandthetracsnumber. 4d.AgencyProjectName:Asprovidedbysponsororleadagency. 4e.FundingSource(s):Federal,stateorprivate.Includeallfundingsources(e.g.,FWSFWSFR,ASPFRTP, AGFDFHeritageGrant)ifknown. 4f.OtherAgenciesInvolved:Listallotheragencies/reviewingentitiesinvolvedintheproject.Include ASMifappropriate.DonotincludeSHPO. 1
APPENDIXA INSTRUCTIONSFORCOMPLETINGTHE SHPOSURVEYREPORTFORM(SRSF) 4g:ApplicableRegulations:Listallregulationsthatpertaintothecurrentproject(e.g.,SHPA,NHPA, ArizonaAntiquitiesAct(AAA),Section404oftheCleanWaterAct,etc 5.DESCRIPTIONOFPROJECTORUNDERTAKING Brieflydescribethepurposeoftheprojectorundertaking(e.g.,roadwidening,housingdevelopment, landtransfer).describethenatureandextent/limitsofgrounddisturbingactivities,includingthedepth ofthedisturbance,aswellasthetypesofequipmentthatmaybeutilized.includeancillaryfacilitiessuch asutilityeasements,accessroads,stagingareas,etc. 6.PROJECTAREA/AREAOFPOTENTIALEFFECTS(APE) Whatistheextentoftheprojectarea(forstateprojects)orAPE(forfederalundertakings)?Provide descriptionanddimensions.includeaprojectlocationmapwithallelementsoftheprojectdepicted(i.e., rightfoffwaylimits,areasurveyedifdifferentfromtheape,etc.).attachlocationmaps. 7.PROJECTLOCATION 7a.Address:Providestreetaddressifcelltowersurveyorbuildinginventory. 7b.Route:ForADOTprojects. 7c.MilepostLimits:ForADOTprojects. 7d.NearestCity/Town:Indicatethedistanceanddirectiontonearestcityortown. 7e.County:Identify. 7f.ProjectLocatorUTM:ProvidetheUTMcoordinates(E,N)forprojectasawhole.Thisdoesnotneed tobeidentifiedonthemap.thisinformationiscriticalforshpoandasmtocrossfreferenceprojects. 7g.NAD:NAD83(convertallotherstoNAD83) 7h.Zone:11or12 7i:Baseline&Meridian:Gila&SaltRiverBaselineandMeridian(G&SRB&M),SanBernadinoB&M,or NavajoB&M. 7j.USGSQuadrangle(s):Includeallrepresented. 7k:LegalDescription.Township,Range,andQuarterSection:Includeall. 8.SURVEYAREA Includeinformationforareassurveyedandnotsurveyedseparately.ForClassIsurveys,indicate acresbylandjurisdictiononly. 8a.TotalAcres:Identifythenumberoftotalacres,surveyedandunsurveyedcombined,regardlessof landjurisdiction. 8b.1.LandJurisdiction:Identifytheunderlyinglandowner/landmanager.Also,indicatewhetherrightF offway(owned)oreasement. 8b.2.TotalAcresSurveyed:Bylandjurisdiction. 8c.3.TotalAcresNotSurveyed:Totalbylandjurisdiction.NotusedforClassIsurvey. 8c.4.JustificationforAreasNotSurveyed:Brieflyexplainwhytheareawasnotsurveyed(e.g.,steep slope,densevegetation,etc.);includetownship(t),range(r),andsection(s)onlyforareasexcluded fromsurvey.notusedforclassisurvey. 2
APPENDIXA INSTRUCTIONSFORCOMPLETINGTHE SHPOSURVEYREPORTFORM(SRSF) 9.ENVIRONMENTALCONTEXTS 9a.Landform:Identifythelandformthesurveyareaencompasses(e.g.,hilltoporslope,floodplain, alluvialfan;ridge,etc.). 9b.Elevation:Elevation,orelevationrange,inthesurveyarea. 9c.SurroundingTopographicFeatures:Identifythesurroundingmountainsandothernatural features. 9d.NearestDrainage:Directiontoandnameofnearestdrainage. 9e.LocalGeology:Eitherdescribetheformationorlisttheparentrocktypesthatwouldbeconsidered localtothesurveyarea.includetheappropriatecitationinthereferencessection. 9f.Vegetation:Identifythebioticcommunityanddescribeobservedvegetation.Includetheappropriate citationinthereferencessection. 9g.Soils/Deposition:DescribethesoilsintheprojectareausingNRCSsoildescriptions (seehttp://www.nrcs.usda.gov/wps/portal/nrcs/surveylist/soils/survey/state/?stateid=az)or commondescriptiveterms.noteifdesertpavementischaracteristic.estimateiferosionoraggradationis significantfactor,particularlyaroundsites. 9h.BuriedDeposits:Identifythepotentialforburieddepositsas LikelyPossible or NotLikely. 9i.Justification:Brieflydescribewhytheremayormaynotbeburieddeposits(e.g.,culturalfillevident fromanimalburrows,etc.). 10.BUILTENVIRONMENT Identifyallstructures,features,orobjects(buildings,fences,powerlines,utilitypoles,etc.)withinand immediatelyadjacenttotheprojectareaorape.statewhethertheyaremodernorhistoricanddescribe anypotentialimpacts,asapplicable. 11.INVENTORYCLASSCOMPLETED 11a.ClassIInventory:Checktheboxonlyifapedestriansurveywasnotperformed. 11b.Researcher(s):Identifytheresearcher(s)ifBox11aischecked. 11c.ClassIISurvey:ChecktheboxifaClassII(sample)surveywasconducted. 11d.SamplingStrategy:If11cischecked,describethesamplingstrategy,whichshouldhavebeen agreeduponinconsultationwithsponsor/leadagencyandshpo.ifthereisnotapreviousagreement, explainwhy. 11e.ClassIIIInventory:Checktheboxifbackgroundresearch(ClassIInventory)andasystematic/ intensivepedestriansurveywascompleted.surveymustmeetaaaorlandfmanagingagencystandards, asappropriate. 12.BACKGROUNDRESEARCHSOURCES Checkallsourcesutilized. 12a.AZSITE:ChecktheboxiftheconsultantreviewedrecordsonAZSITE(see http://azsite3.asurite.ad.asu.edu/azsite/).notethattheasmrecordsofficemayhaveadditional information. 12b.ASMArchaeologicalRecordsOffice:Checkthisboxiftheconsultantconductedarecordscheckat ASM,orifASMconductedarecordscheckfortheconsultant.ASMmayhaverecordsnotyetavailablein AZSITE. 3
APPENDIXA INSTRUCTIONSFORCOMPLETINGTHE SHPOSURVEYREPORTFORM(SRSF) 12c.SHPOInventories/SHPOLibrary:ChecktheboxiftheconsultantconductedresearchattheSHPO. 12d.NRHPDatabase:Required.Werecommendusingboththedatabaseanddownloadingspatialdata forgoogleearth.see:http://focus.nps.gov/nrhp/download/. 12e.ADOTPortal:RequiredbyADOTforallADOTprojects. 12f.GLOMaps:Required.Seehttp://www.glorecords.blm.gov/search/default.aspx. 12g.LandManagingAgencyFiles(e.g.,USFS,BLM):Recordsreviewrequiredforanypartofthestudy areainvolvingfederal(e.g.,usfs,blm)orotheragency(e.g.,srp,aps)land. 12h.TribalCulturalResourcesFiles:Recordsreviewrequiredforanypartofthestudyareainvolving Triballand.PermissionmustbeobtainedfromrespectiveTribes,notASMorSHPO. 12i.LocalGovernmentWebsites:Reviewrecommendedtoidentifyhistoricpropertiesandareasof archaeological/historicalsensitivity.notethatcertifiedlocalgovernments(clgs)generallyhave specificordinancesforidentifyingculturalresources.seehttp://azstateparks.com/shpo/local.htmlfora listofclgs. 12j.Other:!Listallothersourcesutilized(e.g.,SanbornFireInsuranceMaps,historictopographicmaps, historicroadmaps,etc.). 13.BACKGROUNDRESEARCHRESULTS Asappropriate,completeallTablesintheirentirety. 13a.PreviousProjectswithinStudyArea.A1Fmileradiussurroundtheprojectlocationisthestandard searchparameter.forlinearprojects,reducethesearchradiustoa½fmileradius.otherreasonsfor reducingthesearchradiusmustbejustified. 13a.1.ProjectReferenceNumber:ASMorAgencyreferencenumber,e.g.,1997F3.ASM 13a.2.ProjectName:!AsindicatedinAZSITEoronASMProjectRegistrationForms,orotheragency forms. 13.a.3.Author(s):Lastname(s)ofreportauthor(s);noteifeditor(s). 13.a.4.Year:Yearreportwritten. 13b.PreviouslyRecordedCulturalResourceswithinStudyArea:Identifyallarchaeologicalsites (includinglinearstructures)withinthestudyarea.see13.b.1through13.b.5. 13.b.1.SiteNumber/Name:Formalsitedesignation. 13.b.2.Cultural/TemporalAffiliation:Beasspecificaspossible,e.g.,Hohokam,Sedentaryperiod; EuroFAmerican,1917F1968. 13.b.3.SiteType:FollowingASMorlandFmanagingagencyguidelines. 13.b.4.EligibilityStatus:Criterion(criteria)ofsignificanceandwhether Recommended orpreviously Determined eligible/noteligible,orunevaluated. 13.b.5.Reference(s):Author(s)lastname(s)andyear. 13.c.HistoricBuildings/Districts/Neighborhoods.Identifyallwithinthestudyarea.See13.c.1 through13.c.4.! 13.c.1.PropertyNameorAddress:!Officialrecordofentrypreferred. 13.c.3.Year:Constructiondateoftheproperty. 13.c.4.EligibilityStatus:Sameas13.b.4. 4
APPENDIXA INSTRUCTIONSFORCOMPLETINGTHE SHPOSURVEYREPORTFORM(SRSF) 14.CULTURALCONTEXTS 14a.PrehistoricCulture:!Listallprehistoricgroupsaffiliatedwithsurveyareaanditsvicinity. 14b.ProtohistoricCulture:Listallprotohistoricgroupsaffiliatedwithsurveyareaanditsvicinity. 14c.IndigenousHistoricCulture:!IdentifyallhistoricNativeTribesaffiliatedwithsurveyareaandits vicinity. 14d.EuroKAmericanCulture:Providedaterange. 15.FIELDSURVEYPERSONNEL 15a.PrincipalInvestigator:Ifapermitisrequired,identifythepermittedarchaeologistsupervisingthe project. 15b.FieldSupervisor:Whetherapermitisrequiredornot,identifytheleadarchaeologistinthefield. 15c.Crew:!Listallcrewinvolvedinthefieldwork. 15d.FieldworkDate(s):Specificdate(s)ordaterange. 16.SURVEYMETHODS 16a.TransectIntervals:Distance(m)betweentransectintervals;stateifsingletransect. 16b.SurveyCoverage:100(surveysspacednomorethan20mapart),oridentifyothercoverage. 16c.SiteRecordingCriteria:SiteFrecordingcriteriaused(e.g.,ASM,NavajoNation).Thisisnecessary fornegativesurveyswithiosrecorded. 16d.GroundSurfaceVisibility:Identifytheestimatedpercentofsurfacevisibilityatthetimeofsurvey. 16e.ObservedDisturbances:Listallnaturalandphysicalhindrancestosurvey(e.g.,fieldsin cultivation,densevegetation,constructiondebris,etc.). 17.FIELDSURVEYRESULTS 17a.NoCulturalResourcesIdentified:Checktheboxifsurveyresultedinnoculturalresources, includingisolatedoccurrences. 17b.IsolatedOccurrences(IOs)Only:ChecktheboxifsurveyresultedonlyintherecordingofIOs consideredineligibleforinclusioninthearizona/nationalregisterofhistoricplaces. 17c.NumberofIOsRecorded:TotalnumberofIOs,includingisolatedfeatures. 17d.TableofIOs.See17.d.1through17.d.4. 17.d.1.IONumber:Listinconsecutiveorder. 17d.2.Description:Number,class,typeofartifactsorfeature;ifmultipleartifactsarepresent,thearea mustbespecifiedtodemonstratethattheiodoesnotmeetthedefinitionofasite.thedescriptionofthe IOmustbesufficienttojustifythatthereisnofurtherdatapotential(CriterionD);beasspecificas possiblefortemporalandculturalaffiliation. 17d.3.DateRange:Providetheaccepteddaterange;ifthedaterangeisbasedondiagnosticartifacts, includetheappropriatereference. 17.d.4.UTMs(Easting,Northing):IdentifyingtheUTMcenterpointfornonFlinearIOs.IftheIOislinear, includethestartandendpointswithintheareasurveyed. 18.COMMENTS Notewhetherbackgroundresearchindicatesasitewaspreviouslyrecordedintheareasurveyed,butit wasnotidentifiedduringthefieldsurvey;providesitenumberandexplainmethodsusedtoreflocatethe site.includeothercomments. 5
APPENDIXA INSTRUCTIONSFORCOMPLETINGTHE SHPOSURVEYREPORTFORM(SRSF) SECTION19.ATTACHMENTS 19a.ProjectLocationMap:USGS1:24,000TopographicMap;scale1inch=2,000ft.Aerialorstreet mapsmaybeusedinadditiontotheusgstopographicmap 19b.LandJurisdictionMap:Maybecombinedwith19a;includeappropriatekey. 19c.BackgroundResearchMap:Showlocationsofprevioussurveysandpreviouslyrecordedcultural resources.azsitescreenshotisacceptableprovideditshowstheprojectlocationandislabeledand legible. 19d.GLOMap:Includeacopyoftherelevantmapordepictfeaturesonbackgroundresearchmap. 19e.References:UseAmericanAntiquityformat.Referencesarerequiredforallbackgroundresearch results,aswellassourceinformation(e.g.,bioticcommunities,geologicformations,soilcomposition, etc.). 20.CONSULTANTCERTIFICATION SignatureandTitleoftheResponsibleParty(CulturalResourcesDirector,PrincipalInvestigator,or ProjectDirector). 21.DISCOVERYCLAUSE 6
APPENDIX B List of Agencies Approving Use of the SRSF for Negative Surveys (Check periodically for updates) Arizona Department of Environmental Quality Arizona Department of Transportation Arizona Game and Fish Department Arizona State Land Department Arizona State Museum Arizona State Parks Bureau of Reclamation Bureau of Land Management City of Phoenix City of Scottsdale Coconino National Forest Customs and Border Patrol Environmental Protection Agency Federal Communications Commission Federal Highways Administration Kaibab National Forest Maricopa County Department of Transportation National Park Service Natural Resources Conservation Service Pima County Prescott National Forest Rural Development/Rural Utilities Service Salt River Project Tonto National Forest U.S. Army Corps of Engineers U.S. Fish & Wildlife Service U.S. Forest Service Region 3 Yuma Area Proving Ground 1