Orwell Dam Cultural Survey

PHASE I CULTURAL RESOURCE INVESTIGATION, OF EXPOSED SHORELINES, ASSESSMENT OF PREVIOULSY IDENTIFIED CULTURAL SITES AND PHASE II EVALUATION OF SITE 21OT80 AT ORWELL RESERVOIR, OTTER TAIL COUNTY, MINNESOTA - 1.0 INTRODUCTION - 1.1 The Contractor will undertake a cultural resource investigation consisting of three parts: a Phase I cultural resource survey of exposed shoreline; assessment of previously identified sites; and a Phase II evaluation of previously identified site 21OT80 at Orwell Reservoir located in Otter Tail County, Minnesota. - 1.2 This cultural resources investigation partially fulfills the obligations of the Corps regarding cultural resources, as set forth in the National Historic Preservation Act of 1966 (Public Law [PL] 89-665), as amended; the National Environmental Policy Act of 1969 (PL 91-190); the Archeological and Historical Preservation Act of 1974 (PL 93-291); the Advisory Council on Historic Preservation "Regulation for the Protection of Historic Properties" (36 CFR Part 800); and the applicable Corps regulations. Curation of recovered materials and associated records will be at a facility meeting the requirements of 36 CFR Part 79, Curation of Federally-owned and Administered Archeological Collections. - 1.3 The cultural resource investigations fulfill the guidelines of the Corps in which the "identification, evaluation, and preservation of historic properties must be the fundamental goal of any Federal agency preservation program set by [Sec 110(a)(1), Sec. 110(a)(2), Sec. 110(c), and Sec. 110(d)]. These guidelines establish the important role the Corps plays locating and preserving cultural resources in project areas. Specific steps taken by the Corps to comply with these laws "... assure that Federal plans and programs contribute to the preservation and enhancement of non-federally owned sites, structures, and objects of historical, architectural, or archaeological significance." A part of that responsibility is to locate, inventory, and nominate to the Secretary of the Interior all such sites in the project area that appear to qualify for listing on the National Register of Historic Places. - 1.4 This cultural resources investigation will serve several functions. The report will be a planning tool to aid the Corps in meeting its obligations to preserve and protect our cultural heritage. It will be a comprehensive, scholarly document that not only fulfills federally mandated requirements, but also serves as a scientific reference for future professional studies. It will identify resources that may require additional investigations and that may have potential for public-use development. Thus, the report must be analytical, not just descriptive. - 2.0 PROJECT DESCRIPTION - 2.1 Orwell Lake and Dam became operational in 1953 in accordance with Flood Control Acts of 1948 and 1950 and is primarily used today for flood control and water supply with the Corps storing excess water from spring runoff in the reservoir. - 2.2 The cultural resource investigation at Orwell Lake and Dam consists of three parts: 2.2a The Phase I investigation includes a surface survey of exposed shoreline areas to relocate previously identified sites, identify new sites, and assess the current condition of these sites (Figure 1). One previous investigation, completed by Hudak in 1981, encompassed the entire Orwell Lake and Dam boundaries and resulted in the identification of four sites. One site, mound group 21OT82 was relocated in Strachan & Roetzel's 1986 report but was partially inundated and could only be reached by boat. Since these investigations, no further investigation of site 21OT82 or other sites has been conducted. 2.2b The current condition of previously identified sites along the reservoir need to be assessed. This Phase I investigation is dependent upon water level since some previously recorded sites were identified as being impacted by erosion as well as some sites being identified as inundated. 2.2c The Phase II evaluation includes a more intensive testing of the previously identified site 21OT80 at Orwell Lake and Dam to determine whether the site is eligible for inclusion on the National Register of Historic Places (NRHP). Site 21OT80 was first identified in a Phase I field investigation conducted by Hudak in 1981and is located on a peninsula approximately 1.6 miles west of Orwell Dam. It includes the NW , SE - of Section 25, Township 132 north, Range 44 west, Otter Tail County, Minnesota (Figure 2 & 3). The Phase II investigation will include shovel testing and a minimum of four 1x1 m test units in order to potentially identify the site boundaries and determine its eligibility for the NRHP. If conditions at 21OT80 are such that a Phase II is not practicable (e.g., the site is no longer extant), the Contractor will consult with the Contracting Officer and a new site at the reservoir will be selected for a Phase II evaluation. - 3.0 DEFINITIONS - 3.1 Cultural Resources include any building, site, district, structure, object, data, or other material relating to the history, architecture, archaeology, or culture of an area. - 3.2 An Assessment pertains to the relocating and recording of site conditions to evaluate threats acting upon cultural resources (e.g. erosion, vegetation, fluvial processes) and involves recommendations for future site management and protection. If desired, soil probes, may be used to help assess a sites condition. Subsurface testing is not considered a component of an assessment. - 3.3 A Phase I cultural Resources Investigation is an intensive, on-the-ground study of an area sufficient to determine the number and extent of the resources present and their relationships to project features. It will provide (1) data adequate to assess the general nature of the sites present: (2) recommendations for additional testing and/or archival research of those resources that may provide important cultural and scientific information; and (3) detailed time and cost estimates for Phase II testing and evaluation. - 3.4 Phase II Testing and Evaluation is the intensive testing of and/or archival research on a resource that may provide important cultural or scientific information. This testing and archival research will result in (1) potential identification of site boundary (2) information adequate to determine whether the resource is eligible for inclusion on the National Register of Historic Places; (3) a Phase III mitigation plan for any eligible resources that will undergo a direct or indirect impact; and (4) detailed time and cost estimates for the mitigation. - 4.0 ASSESSMENT AND SURVEY REQUIRMENTS - 4.1 The Contractor will conduct a two part cultural resource investigation: the first being a Phase I cultural resource survey of exposed shoreline and assessment of previously identified sites, and the second being a Phase II cultural resource investigation of previously identified site 21OT80 at Orwell Lake and Dam in accordance with sections 2.1 and 2.2 above. - 4.2 The Contractor's work will be subject to the review of the Corps' Technical Representative. The Corps' Technical Representative for this contract is Brad Perkl, St. Paul District archaeologist, at +1 (555) 000-0000. - 4.3 If the Contractor has questions regarding any aspect of the required work, conditions or provisions of this scope of work, the Contractor will contact the Corps' Contracting Officer and resolve the confusion before proceeding. The Contractor will not proceed with work that is or appears to be beyond this scope of work without written approval for such work from the Corps' Contracting Officer. . - 4.4 The Contractor's key personnel working on this project must meet the Secretary of the Interior's professional qualification standards for prehistoric archeologists, historic archeologists, and historians as given in Appendix A of 36 CFR Part 61. Key personnel include the Contractor's principal investigator, field and laboratory supervisors, and field crew chiefs. - 4.5 The Contractor will employ a systematic, interdisciplinary approach in conducting the study, using techniques and methods that represent the current state of knowledge for the appropriate disciplines. The Contractor will provide specialized knowledge and skills as needed, including expertise in archeology, history and other social and natural sciences, particularly geomorphology. - 4.6 The Contractor will provide all materials and equipment necessary to perform the required services expeditiously. - 4.7 The Contractor's investigation will include identifying cultural sites and documenting in detail the general condition of those sites. This includes the potential impact in which complex mechanisms may be affecting cultural resources such as shoreline erosion, notably caused by fluvial processes associated with streamflow, fluctuating water levels of the pool, and wave action from wind and commercial and recreational boat traffic. The Contractor will make recommendations for site management and protection of each site, including time and cost estimates for additional archaeological investigations. - 4.8 The Contractor's testing and archival research will be sufficient to determine whether the resources present meet the NRHP eligibility criteria listed in 36 CFR Part 60 and to complete documentation required in 36 CFR Part 63. - 4.9 The Phase II testing must include excavation of formal 1 meter by 1 meter test units, which may be supplemented by other techniques such as shovel testing, soil coring, and controlled surface collection. A minimum of four (4) formal test units must be excavated by natural stratigraphic layers or arbitrary 10-centimeter levels. The general testing approach must be coordinated with the Corps' Technical Representative prior to the start of field work. - 4.10 The Contractor will screen all subsurface tests through -inch mesh or smaller hardware cloth. 4.11 A ten percent soil sample from each excavation level and each feature will be processed through 1/16-inch mesh by water screening or flotation for light fraction (floatable) floral and faunal remains and small flaking debris and heavy fraction floral and faunal remains. - 4.12 The Contractor must keep standard records that include field notes, maps, photographs and GPS points. The Corps' GPS data format is UTM (Projection), NAD 83 (Horizontal Datum), and Meters (Units). 4.13 All maps must be at a scale sufficient to clearly illustrate all mapped features. Mapping shall be sufficient to easily relocate the site data. All maps must include a grid referenced to an established system(s) such as the Universal Transverse Mercator or the relevant State Plane Coordinate System. 4.14 Updates of Minnesota state site forms will be prepared. Data should be included on the present condition of the site, on the types and locations of testing at the site, and on the contents and locations of any collections from it. The Contractor will submit all site form updates to the appropriate State agency. - 4.15 State site forms will be prepared for all sites identified during the survey. Data will be included on the present condition of each site, possible cultural/temporal period associated with cultural material, and detail of the contents and locations of identified cultural material. The Contractor will also submit all site forms and updates to the appropriate State agency. In addition, the UTM location of the site shall be noted on all state site forms. 4.16 The Contractor will recommend any Phase III mitigation measures that are warranted, including time and cost estimates. 4.17 If materials suitable for radiocarbon dating are encountered, samples should be collected. The Corps' Technical Representative should be notified prior to processing them, since the costs for dating may be added as a modification to this contract at the Government's discretion. 4.18 The Contractor will return all tested areas as closely as practical to pre-survey conditions. 4.19 For safety reasons, the Contractor must place safety barriers around any open test units that have to be left unattended during the day or open overnight. In addition, the Office of Safety and Health Administration guidelines on trenching may apply. 4.20 The Contractor is required to obtain an Archaeological Resources Protection Act (16 USC 470aa-mm; 43CFR7) permit from the Corps' Technical Representative. - 4.21 Should the Contractor, in the course of conducting investigations under this contract, discover human remains, associated and/or unassociated funerary objects, sacred objects, or objects of cultural patrimony, activity in the vicinity of the discovery shall immediately cease. The Contractor shall take immediate steps to secure and protect these remains, including stabilization, covering or reburial. As soon as practicable after discovery, the Contractor shall notify the Corps' technical representative of the discovery, its location, and any information on the nature of the discovery, including items found and their apparent age and condition. No further activity shall be allowed in the area of the discovery until the Corps completes the consultation process with appropriate Indian tribes. - 5 GENERAL REQUIREMENTS 5.1 The Contractor will submit the following documents, described in this section: field notes, field reports, a draft contract report, and a final contract report. - 5.2 The Contractor's field reports will be a brief summary of the nature, extent and results of the field work conducted. It may be in the form of a letter to the Corps; Technical Representative. - 5.3 The Contractor's field notes will include legible copies of important notes and records kept during the investigation. Especially important are the daily field journals of the Principal Investigator or field director. One copy of these notes should be submitted to the Corps' Technical Representative with the draft contract report but should not be bound into the report. - 5.4 The draft contract report will detail the approach, methods, and results of the investigation and make recommendations for further work. The draft report will also contain the background sections, current condition, and possible disturbance or degradation. The draft contract report will be submitted to the Corps' Technical Representative, who will review it and forward it to other appropriate agencies for review. Comments will be returned to the Contractor, who will make the necessary revisions and submit the final contract report at no additional expense to the Government. - 5.5 The Contractor's draft and final reports will include at least the following sections, as appropriate to the study. The length of each section depends on the level of detail required of the study and the amount of information available. The reports should be as concise as possible, yet provide all the information needed for evaluating and managing the project and for future reference. a. Title page: The title page will provide the following information: the type of study; the types of cultural resources assessed (archeological, historical, and architectural); the project name and location (county and state); the date of the report; the Contractor's name; the contract number, the name of the author(s) and/or Principal Investigator; the signature of the Principal Investigator; and the agency for which the report is being prepared. b. Management summary: This section will provide a concise summary of the study, containing all the information needed for management of the project. This information will include the reason the work was undertaken, who the sponsor was, a brief summary of the scope of work and budget, a summary of the field work and lab analysis, the limitations of the study, the results, the significance of the results, recommendations for further work, and the repository for records and artifacts. c. Table of contents d. List of figures (includes plates) e. List of tables f. Introduction: This section will identify the sponsors (Corps of Engineers) and their reason for the study and present an overview of the study with each site located on USGS quad maps. It will also define the location and boundaries of the study area (using regional and area-specific maps); define the study area within its regional cultural and environmental context; reference the scope of work; identify the institution that did the work and the number of people and person-days/hours involved; give the dates when the various phases of the work were completed; identify the repository of records and artifacts; and provide a brief outline of the report and an overview of its major goals. g. Environmental background: This section will briefly describe the current and precontact environment of the study area, including its geology, vegetation, fauna, climate, topography, physiography, and soils. The relationship of the environmental setting to the area's precontact and current environment should be stressed. The level of detail in this section will be commensurate with that of the other report sections. h. Previous archeological and historical studies: This section will briefly summarize and evaluate previous archeological and historical research in the study area including the researchers, dates, extent, adequacy, and results of past work and any cultural/behavioral inferences derived from it. i. Cultural context: This section will develop the precontact and historic cultural contexts by synthesizing the latest information relevant to the study area. This will include a description of the nature and type of previously recorded precontact and historic cultural resource sites, chronological sequences, cultural characteristics (e.g., diagnostic artifacts, settlement patterns, site types, etc.), and other pertinent information. j. Theoretical and methodological overview: This section will state the goals of the sponsor and the researcher, the theoretical and methodological orientation of the study, and the research strategies that were applied to achieve the goals. k. Field methods: This section will describe all field methods, techniques, and strategies and the reasons for using them. It will also describe field conditions, relevant topographic and physiographic features, vegetation conditions, soil types, stratigraphy, general results, and the reasons for eliminating any uninvestigated areas. l. Laboratory and analysis methods: This section will explain the laboratory methods employed and the reasons for selecting them. It will reference accession or catalog numbers of any collections, photographs, or field notes obtained during the study and state where these materials are permanently housed. It will also describe and justify the specific analytical methods used, including any quantitative analysis of the data, and discuss limitations or problems with the analysis. m. Results: This section will describe the cultural resources studied. As background, it will include each site's description, location, environmental setting, and current condition. It will discuss in depth the quantity, types, and distribution of remains and features found during the testing. It will also present the information used to evaluate each site's significance. It is particularly important that adequate information be presented on sites that are argued not to be significant, as well as on those that are judged to be significant. n. Evaluation and conclusions: This section will formulate conclusions about the resources examined. It will assess the National Register eligibility of each resource, including information about its integrity, relationship to other known sites, anticipated data potential and limitations, and potential for answering important questions about past human behavior. It will also assess the reliability of the analysis, relate the results of the study to the stated goals, and discuss any cultural/behavioral patterns and processes that can be inferred from the results. Further, this section will formulate conclusions about the conditions of the sites in regard to present and past erosion, effects of inundation and other factors. o. Recommendations: This section will recommend any further work deemed necessary. It will summarize Phase II evaluation measures that would be needed to determine if specific resources are eligible for listing on the National Register of Historic Places, as well as a time and cost estimate for this work. It will also describe any areas that were inaccessible and recommend future treatment of them. If the Contractor concludes that no further work is needed at any site, the evidence and reasoning supporting this recommendation will be presented. In addition, this section will assess the reliability of the analysis and discuss goals for future research. p. References: This section will provide bibliographic references (in American Antiquity format) for every publication cited in the report. References not cited in the report may be listed in a separate "Additional References" section. q. Appendices: This section will include the Scope of Work, resumes of project personnel; copies of all correspondence relating to the study; state site forms for all sites evaluated, artifact catalog sheets, and any other pertinent information referenced in the text. r. Figures: The locations of all sites and other features discussed in the text will be shown on legibly photocopied USGS 7.5' topographic quadrangle maps bound into the report. Other recommended figures are regional and project maps, photographs of the project area, and line drawings or photographs of diagnostic artifacts, structures, and unit or feature profiles. s. Tables: The report should include tables of cultural materials by site. Information that may require more detailed tabulation includes lithic tool types and raw materials, ceramic attributes, and floral and faunal remains. - 5.6 The Contractor will submit to the Corps; Technical Representative the negatives for all photographs that appear in the final report. - 6 FORMAT SPECIFICATIONS - 6.2 There are no specific format requirements for the field report. A letter report is usually sufficient. - 6.3 There are no format requirements for the field notes; however, they must be legible. If the original handwritten notes are illegible, they should be typed. - 6.4 Formats for both the draft and final contract reports are as follows: a. The Contractor will present information in whatever textual, tabular, or graphic forms are most effective for communicating it. b. The draft and final reports will be divided into easily discernible chapters, with appropriate page separations and headings. c. The final report text will be typed, single-spaced (the draft report should be space-and-one-half or double-spaced), on good quality bond paper, 8.5 inches by 11.0 inches, with 1.5-inch binding and bottom margins and 1-inch top and outer margins, and may be printed on both sides of the paper. All pages will be numbered consecutively, including plates, figures, tables, and appendices. d. All illustrations must be clear, legible, self-explanatory, and of sufficiently high quality to be reproduced easily by standard xerographic equipment, and will have margins as defined above. All maps must be labeled with a caption/description, a north arrow, a scale bar, township and range, map size and dates, and map source (e.g., the USGS quad name or published source). All photographs or drawings should be clear, distinct prints or copies with captions and a bar scale. e. The draft and final reports will follow the Society for American Archaeology Style Guide. - 7 MATERIALS PROVIDED - 7.2 The Corps' Technical Representative will furnish the Contractor with access to any publications, records, maps, or photographs that are on file at the St. Paul District headquarters that are appropriate to the study being undertaken. - 7.3 At the Contractor's request, the Corps' GIS coordinator (Mr. Keith LeClaire, phone: +1 (555) 000-0000) will provide a Metadata generation package (CORPSMET) to generate the required metadata file. - 8 PROJECT SCHEDULE AND SUBMITTALS - 8.2 The Contractor will submit reports according to the following schedules: PROJECT SCHEDULE Tasks Calendar Day of Date Monthly Progress Reports Monthly following contract award Fieldwork Completion June 2012 Draft Report Submittal August 2012 Final Report Submittal October 2012 PAYMENT SCHEDULE Tasks 50% Field Work Completion 100% Field Work Completion Draft Reports Submittal Fulfillment of Curation Requirements a. Field reports: Brief letter reports summarizing the field work and its results will be submitted to the Corps' Technical Representative at the end of each month following reward of the contract. b. Draft contract report: Four (4) copies of the draft contract report will be submitted no later than 30 days after completion of the field work. The Corps of Engineers, the State Historic Preservation Office, and possibly other reviewers will review the draft contract report. The draft contract report will be submitted according to the report and contract specifications outlined in this scope of work. c. Project field notes: One legible copy of all the project field notes will be submitted with the draft contract report. d. Final contract report: The original (on CD) and 6 hard copies (on paper) of the final report will be submitted no later than 30 days after the Contractor receives the Corps of Engineers comments on the draft contract report. The final report will incorporate all the comments made on the draft report. The original copy of the final report should be submitted to the Corps on a CD. The original copy will consist of the entire final report, including all text, figures, tables, plates, and appendices. A legible copy of the project field notes and any geospatial (GPS) data collected as part of the fieldwork should also be included on this CD. - 8.3 The Contractor will submit a metadata file at least minimally compliant with the Federal Geographic Data Committee (FGDC) Content Standards for Digital Geospatial Metadata. The Corps will provide a Metadata generation package (CORPSMET) to generate these files upon the request of the Contractor (see 6.2 above). This file shall be submitted as a separate document with the final contract report. - 8.4 All geospatial data including, but not limited to, archeological/architectural site boundaries, geomorphological tests, and archeological survey/testing limits shall be digitized with a resulting horizontal positional accuracy of > 12.19 m, the National Map Accuracy Standard (NMAS) for USGS 1:24,000 scale maps. All GIS data shall be complete and finalized when submitted and shall be compatible, either directly or in a recognized import format, with ESRI ARCGIS, ArcInfo coverage, and/or ArcView shapefile formats (current versions). All GIS submittals shall include an ArcView projection file or its equivalent. Geospatial coordinate information shall be provided in the local Universal Transverse Mercator (UTM) coordinate system, either Zone 15, NAD 1983, units in meters, or UTM Zone 16, NAD 1983, units in meters, as appropriate to the locations specified in the individual work orders. The Contractor shall prepare metadata that is compliant with Federal Geographic Data Committee (FGDC) standards and compatible with metadata software (Spatial GIS metadata/Data Manager, SMMS 3.11) currently used by the Corps. The FGDC standard is available to download off the internet at the following address: http://www.fgdc.gov/metadata/contstan.html. Metadata shall be included with all GIS submittals. - 8.5 A letter summarizing work accomplished since the last invoice shall accompany the invoice, which shall reference the Corps' contract number. Twenty (20) percent of the total contract award amount shall be retained until all curation requirements are fulfilled. - 9 COORDINATION - 9.2 The Contractor's work will be subject to the review of the Corps' Technical Representative. The Corps' Technical Representative for this contract is Bradley Perkl, St. Paul District archeologist, at +1 (555) 000-0000. - 9.3 The Contractor will contact the Corps' Technical Representative at least 7 days before the field work begins to discuss the field work schedule and plans and after the fieldwork has been completed. - 1.1 If the Contractor has questions regarding any aspect of the required work, conditions or provisions of this scope of work, the Contractor will contact the Corps' Contracting Officer and resolve the confusion before proceeding. The Contractor will not proceed with work that is or appears to be beyond this scope of work without written approval for such work from the Corps' Contracting Officer. 10.0 CONDITIONS 10.1 Neither the Contractor nor his representative shall release any sketch, photograph, report, or other materials of any nature obtained or prepared under this contract without specific written approval of the Corps' Technical Representative prior to the acceptance of the final report by the Government. Dissemination of investigation results through papers at professional meetings or publication in professional journals is encouraged. However, professional discretion should be used in releasing information on site locations where publication could result in damage to cultural resources. - 10.2 All materials, documents, collections, notes, forms, maps, etc., that have been produced or acquired in any manner for use in the completion of this contract shall be made available to the Corps' Technical Representative upon request. - 10.3 Principal investigators will be responsible for the validity of material presented in their reports. - 10.4 The Contractor will be responsible for adhering to all State laws and procedures regarding the treatment and disposition of human skeletal remains. Any human remains encountered will be treated with respect and will not be placed on public display.