TITLE 4 CULTURAL
RESOURCES
CHAPTER 10 CULTURAL PROPERTIES AND HISTORIC
PRESERVATION
PART 8 PERMITS TO CONDUCT
ARCHAEOLOGICAL INVESTIGATIONS ON STATE LAND
4.10.8.1 ISSUING AGENCY:
Cultural Properties Review Committee.
Contact State Historic Preservation Division, Department of Cultural
Affairs.
[4.10.8.1 NMAC - Rp,
4 NMAC 10.8.1, 10/01/05]
4.10.8.2 SCOPE: This
rule applies to all public and private entities, including but not limited to,
individuals, corporations, partnerships, trusts, associations, educational
institutions, foundations, museums and any agency of the federal government
conducting or proposing to conduct archaeological investigations on any lands
owned, controlled or operated by the state of New Mexico.
[4.10.8.2 NMAC - Rp,
4 NMAC 10.8.2, 10/01/05]
4.10.8.3 STATUTORY AUTHORITY:
Section 18-6-5 (NMSA 1978) of the Cultural Properties Act.
[4.10.8.3 NMAC - Rp,
4 NMAC 10.8.3, 10/01/05]
4.10.8.4 DURATION: Permanent.
[4.10.8.4 NMAC - Rp,
4 NMAC 10.8.4, 10/01/05]
4.10.8.5 EFFECTIVE DATE:
October 1, 2005 unless a later date is cited at the end of a section.
[4.10.8.5 NMAC - Rp,
4 NMAC 10.8.5, 10/01/05]
4.10.8.6 OBJECTIVE: This
rule describes the procedures used to review and issue a permit for
archaeological investigations on lands owned, controlled or operated by a
department, agency, institution or political subdivision of the state. Additionally, this rule establishes
professional and quality standards for a permittee's performance and sets forth
causes for non-renewal of permits.
[4.10.8.6 NMAC - Rp,
4 NMAC 10.8.6, 10/01/05]
4.10.8.7 DEFINITIONS:
A. "Archaeological investigation" means the study of archaeological sites,
isolates and other cultural properties and areas of historic and scientific
interest including without limitation survey and inventory, examination,
collection, limited tests, test excavation, excavation and monitoring.
B. “Archaeological records management section" or "ARMS" means the entity within the historic
preservation division that maintains, in cooperation with the museum of Indian
arts and culture-laboratory of anthropology (MIAC), the statewide
archaeological and cultural properties databases and associated records and
documents pursuant to Section 18-6-7A of the Cultural Properties Act.
C. "Archaeological site” or "site" means a location where there exists
material evidence of the past life and culture of human beings in the
state. A significant archaeological site
typically is 50 or more years old. Examples of archaeological sites include
without limitation campsites, pueblos, homesteads, artifact scatters, resource
procurement or processing areas, agricultural fields, locales with one or more
features in association with other cultural materials, and locales that have
the potential for subsurface features or cultural deposits.
D. "Area of potential effect" or "APE"
means the geographic area or areas within which an undertaking may directly or
indirectly cause changes in the character or use of a cultural property. The APE is influenced by the scale and nature
of an undertaking and is different for different kinds of effects caused by the
undertaking. For archaeological sites
the APE typically includes all areas involving ground disturbance but may also
include areas adjacent to the disturbance that may be indirectly affected as a
consequence of the undertaking. For
aboveground historic buildings, structures and other cultural properties, the
APE often extends beyond the limits of ground disturbance and includes visual,
vibratory and noise impacts to a building, structure, site, district, or
cultural landscape and its setting and viewshed. Variation in topography, vegetation, and
contemporary land use influences the visual impact on cultural properties.
E. "Areas of historic and scientific interest"
means areas lacking surface evidence of cultural properties but where there is
a high probability of finding subsurface material remains and cultural deposits
or areas suitable for geomorphological or paleoenvironmental study.
F. "Collection" means the removal of material remains from state land, whether or not
the remains are located within an archaeological site or isolate as defined
herein.
G. "Commissioner of public lands" or "commissioner" means the executive officer of the
state land office, who shall have jurisdiction over all state trust lands and
shall have the management, care, custody, control and disposition thereof in
accordance with the provisions of state statutes and the law or laws under
which such lands have been or may be acquired.
H. "Committee" or "CPRC" means
the cultural properties review committee, created pursuant to Section
18-6-9 of the Cultural Properties Act.
I. "Cultural property" or "cultural resource"
means a structure, place, site or object having historic, archaeological,
scientific, architectural or other cultural significance.
J. "Easement" means a right or privilege granted by the commissioner of public lands
for state trust lands or by the state agency on lands under their jurisdiction
to use a defined area for a prescribed purpose and time.
K. "Excavation" means displacing, disturbing or moving earth, soil, dirt, other
deposits or material remains from their current contexts or significant
orientation in, or on, the ground within the boundaries of an archaeological site,
isolate or area of historic and scientific interest using hand tools or
mechanical earth-moving equipment.
L. "Historic preservation division" or "HPD" means the division
within the department of cultural affairs created pursuant to Section 18-6-8A of
the Cultural Properties Act.
M. "Historic structures and buildings" means buildings or structures that are 50 or
more years old or properties less that 50 years old that either meet the
requirements of national register criteria consideration G (properties that
have achieve significance within the past 50 years) or properties that are
likely to meet the integrity and significance criteria in 30 CFR 60.4 within 5
years of the date of recording.
(1) A historic structure is an engineered
construction created principally for the conveyance of water, natural
resources, railroad stock or automobiles and trucks; or an engineered
construction created principally for the extraction, refinement and
distribution of natural resources; or an engineered construction created
principally to support a function other than human shelter. Structures include
but are not limited to vehicular bridges, railroad bridges, engineered roads
and highway, tunnels, dams, canals, turbines, pipelines, refineries, stamp
mills, smelters, dams, power plants, silos, grain elevators and locomotives.
(2) A historic building is a construction created
principally to shelter any form of sustained or temporary human activity; or a
functional construction created principally to provide shelter for goods,
animals, machinery or instrumentation.
Buildings include but are not limited to houses barns, stables, sheds,
garages, warehouses, courthouses, city halls, social halls, commercial
buildings, libraries, factories, mills, train depots, motels, theaters,
schools, stores and churches.
N. "Human burial" or "unmarked human burial"
means a human body or human skeletal remains and includes any funerary object,
material object or artifact buried, entombed or sepulchered with that human
body or skeletal remains.
O. "Intensive survey" means a visual inspection conducted on foot
that examines, identifies, records, evaluates and interprets all
surface-visible cultural properties 50 or more years old located in an APE or
project area or located in an APE or project area.
P. "Isolate” means a single object or artifact or a few artifacts greater than 50
or more years old that lack clear association.
Examples of isolates include a single flake, projectile point, potsherd,
sherds from a single broken pottery vessel, pieces of glass from a single
bottle or a single feature that lacks integrity.
Q. "Limited tests" means the systematic placement of probes,
cores, shovel tests or similar tests using hand tools. Limited tests are conducted during survey to
augment survey-level information on an archaeological site or isolate without
substantially damaging or diminishing the integrity of the archaeological
site. The total surface disturbance
resulting from the limited tests shall not exceed five one-hundredths percent
(.05%) of the area of the site surface.
R. "Material remains" means any tangible evidence of past human
life or activities. Such evidence
includes without limitation:
(1)
naturally occurring objects or raw materials extracted for use in the
production of human-made objects or for other uses by humans that can be found
within an archaeological site, or another context from which intended or actual
human use can be reasonably inferred;
(2)
items manufactured or modified by humans, including whole or fragmentary
tools, implements, containers, and other objects such as pottery, ceramics,
basketry, cordage, weavings, textiles, glassware, flaked stone, ground stone,
pecked stone, worked bone, metal, wood, hide, feathers and pigments;
(3)
byproducts, waste products and debris resulting from the manufacture or
use of human-made items or from the human use of natural materials;
(4)
organic material deposited through human actions, organic material
remaining from the decay of perishable objects manufactured or modified by
humans, and organic material deposited through natural processes when found
within an archaeological site including without limitation soil or sediment
samples, botanical and animal remains and coprolites; or
(5)
human remains including without limitation bone, mummified flesh, teeth,
the remains of cremations, any associated artifacts and objects, and the soil,
sediments, or other matrix in which the human skeletal or mummified remains and
associated artifacts and objects were deposited or are now associated.
S. "Mechanical earth-moving equipment" means any motorized machine or device that is
capable of displacing, disturbing or moving earth, soil, dirt or other deposits
or materials from their current contexts or significant orientation in, or on,
the ground, including without limitation trenchers, backhoes, graders,
scrapers, bulldozers and front-end loaders.
T. "Monitoring" means the presence of and visual inspection by a supervisory
archaeologist on the ground immediately prior to and during ground-disturbing
actions to ensure site protection, avoidance of site deposits or recovery of
information from newly discovered cultural properties.
U. “Museum of Indian arts and culture-laboratory of
anthropology" or "MIAC" means the museum division within the
department of cultural affairs, museum of New Mexico, that serves as the
repository for archaeological materials and associated records and documents
taken or collected from state land.
V. "New Mexico cultural resource information
system" or "NMCRIS" means the statewide database
maintained by ARMS.
W. "Permit" means the written authorization required for all public and private
entities to conduct archaeological investigations of a particular kind, within
a defined geographic location and for a specified period of time, all of which
are specified in the written authorization.
X. "Project area" means the geographic area or areas of study
for an archaeological investigation conducted for research purposes.
Y. "Qualified institution" means public and private entities including
without limitation individuals, corporations, partnerships, trusts,
associations, educational institutions, foundations, museums and any agency of
the federal government with staff that include individuals listed in the SHPO
directory and who demonstrate capability to accomplish the type and scope of
archaeological investigation proposed in the permit application.
Z. "Registered cultural property" means a cultural property that the CPRC
placed in the state register individually or as a contributing property within
a district on either a permanent or temporary basis.
AA. "Right of way" means
a right or privilege granted by the commissioner of public lands for a
prescribed purpose and time to pass over, upon, through, or across a defined
area of state trust lands granted by the commissioner of public lands or by the
head of another state agency for lands under its jurisdiction for a prescribed
purpose and time.
BB. "Sample survey" means
a pedestrian survey that identifies all surface-visible cultural properties
within defined sample units of a larger whole.
CC. "Secretary" means the individual appointed as secretary pursuant to Section 9-4A-5
of the Department of Cultural Affairs Act.
DD. "State agency" means a department, agency, institution or political subdivision of
the state.
EE. "State archaeologist" means the archaeologist designated pursuant
to Section 18-6-15 of the Cultural Properties Act.
FF. "State historian" means the historian designated pursuant to
Section 18-6-14 of the Cultural Properties Act.
GG. "State historic preservation officer" or "SHPO" means the
individual appointed pursuant to Section 18-6-8 of the Cultural Properties
Act. The SHPO administers the Cultural
Properties Act.
HH. "State land" means property owned, controlled, or operated by a department, agency,
institution or political subdivision of the state. Examples of state land, include but are not
limited to: state trust lands managed by
the commissioner of public lands; New Mexico department of transportation rights
of way and easements; state parks; state monuments; state game and fish lands;
county and municipal property including open space areas, leased lands, and
rights of way; and lands owned or managed by public schools and state colleges
and universities.
II. "State register" or "official register"
means the New Mexico register of cultural properties maintained by the CPRC for
the purpose of recording cultural properties deemed worthy of preservation.
JJ. "State trust land"” means lands, their natural products and all
rights, privileges, or assets, which are derived from them, and which are under
the care, custody, and control of the commissioner of public lands. State lands also include state trust lands.
KK. "Survey" means a visual inspection of land to examine, identify, record,
evaluate and interpret cultural properties and may include limited tests but
shall not include excavation or test excavation.
LL. "Test excavation" means the systematic placement of probes,
cores, shovel tests or test pits using hand tools, and test trenches excavated
by hand or with mechanical earth-moving equipment to expose geomorphological
soils and buried cultural deposits to determine the research potential and
nature and extent of cultural deposits at an archaeological site without
substantially damaging or diminishing the integrity of the archaeological
site. The total surface disturbance
resulting from test excavation shall not exceed 5 percent of the surface area
of the site area or 5 percent of the portion of the site that may be affected
by an undertaking or project, whichever is less.
MM. "Thematic survey" means
a pedestrian survey that identifies selected types of cultural properties and
may be performed with written concurrence of the state agency.
NN. "Written and photographic records" means original or legible duplicate site
data, such as site forms, artifact forms, notes, drawings, tables, maps, plans,
charts and other written materials, and prints, slides and other photographic
records.
[4.10.8.7 NMAC - Rp,
4 NMAC 10.8.7, 10/01/05]
4.10.8.8 ARCHAEOLOGICAL INVESTIGATIONS
UNDER A GENERAL PERMIT: The CPRC with the concurrence of the state
archaeologist and the SHPO issues a general permit to qualified institutions to
conduct selected types of archaeological investigations on state land. The applicant indicates on the application
form the types of archaeological investigations requested at the time of the
application. Archaeological investigations conducted under a general permit on
state trust land are limited to investigations conducted under contract to an
individual, organization or company undertaking exploration, construction,
development or other ground-disturbing activities authorized by rights of way,
easements, leases or other written permission to enter state trust land issued
by the commissioner of public lands.
A. Survey and inventory. Surveys may be conducted
under a general permit when applicants propose to identify, record, evaluate
and interpret cultural properties and relocate, update records and evaluate
previously identified cultural properties in accordance with the standards for
intensive survey in 4.10.15 NMAC.
B. Test excavation. Test excavation may be
conducted under a general permit when the applicant proposes to implement the
test excavations in accordance with an approved test excavation plan prepared
in conformance with 4.10.16 NMAC.
C. Monitoring. Monitoring may be conducted under a
general permit when applicants propose to:
(1) supervise implementation of site avoidance
or protection measures pursuant to 4.10.17 NMAC; or
(2) oversee land-disturbing projects when a
monitoring plan is prepared in conformance with 4.10.17 NMAC.
D. Unmarked human burial excavation. Applicants
may excavate unmarked human burials on state or private land only in
conformance with a permit issued under 4.10.11 NMAC.
[4.10.8.8 NMAC - Rp,
4 NMAC 10.8.8 & 4 NMAC 10.8.10, 10/01/05]
4.10.8.9 ARCHAEOLOGICAL INVESTIGATIONS
UNDER A PROJECT-SPECIFIC PERMIT: The CPRC, with the concurrence
of the state archaeologist and the SHPO, the commissioner of public lands for
archaeological investigations on state trust lands and the representative of
the state agency with jurisdiction for other state lands, issues
project-specific permits for different types of archaeological investigations.
A. Survey and inventory. The CPRC issues project-specific permits for
applicants who propose to:
(1) conduct sample survey, thematic survey or
other research surveys;
(2) substitute alternate field methods for the
standards in 4.10.15 NMAC; or
(3) perform surveys of state trust land other
than surveys performed pursuant to a general permit.
B. Test excavation. The CPRC issues project-specific permits for
test excavation in accordance with an approved research design prepared
pursuant to 4.10.16 NMAC when applicants:
(1) propose to substitute alternate test
excavation methods for the standards in 4.10.16 NMAC; or
(2) do not have a general permit that includes
authorization for test excavation.
C. Excavation. The CPRC issues
project-specific permits for applicants who propose to conduct scientific
investigation of an archaeological site or other areas of historic and
scientific interest utilizing ground-disturbing techniques in accordance with
an approved research design prepared pursuant to 4.10.16 NMAC. Excavation involves disturbance of the ground
within an archaeological site in excess of limited tests and test excavation as
defined herein. Excavation may be
performed as part of a data recovery program designed to mitigate adverse
effects of projects.
D. Monitoring. The CPRC issues project-specific
permits for monitoring to applicants who:
(1) do not have a general permit that includes
authorization for monitoring; or
(2) propose to substitute alternate methods
for the standards in 4.10.17 NMAC.
E. Unmarked human burial excavation. The
CPRC issues project-specific permits for applicants who propose to excavate
unmarked human burials on state or private land. Permits for these investigations are issued
under rule 4.10.11 NMAC.
F. Mechanical excavation of archaeological sites. The
CPRC issues project-specific permits for applicants who propose to excavate an
archaeological site using mechanical earth-moving equipment on private
land. Mechanical excavation permits are
issued under rule 4.10.14 NMAC.
[4.10.8.9 NMAC - Rp,
4 NMAC 10.8.8 & 4 NMAC 10.8.9, 10/01/05]
4.10.8.10 QUALIFIED PERSONNEL: Applicants
for any permit issued by the CPRC shall employ qualified supervisory personnel
who have the academic background and professional experience to apply the
theories, methods and practices of the appropriate discipline to enable
professional judgments to be made about the identification, evaluation,
documentation, registration and treatment of cultural properties in New Mexico.
A. Archaeology.
(1) Archaeologists serving as principal
investigators or project directors shall meet the following minimum
qualifications:
(a) a graduate degree in archaeology or
anthropology with a specialization in archaeology, or a graduate degree in a
closely related field; and
(b) a minimum of 30 months of full-time
professional experience in applying the theories, methods and practices of
archaeology that enable professional judgments to be made about the
identification, evaluation, documentation, registration, or treatment of
archaeological sites as demonstrated by timely completion of acceptable
technical reports, research reports, theses, dissertations, publications or
professional meeting papers; the 30-month minimum experience shall be
demonstrated by a showing of 12 months of experience in the study of cultural
resources of New Mexico or experience relevant to understanding the cultural
resources of New Mexico at the supervisory archaeologist or crew chief level
and 18 months of experience under the supervision of a professional
archaeologist in the performance of field and analytical activities; supervised
field or analytical experience as a graduate student may be counted as part of
the 30 months of professional experience; and
(c) for individuals without a graduate degree
in anthropology or archaeology or a closely related field, who submit their
qualifications as a principal investigator or project director prior to the
year 2010, the CPRC shall consider equivalent training and experience in lieu
of the academic requirement.
(2) Archaeologists serving as supervisory
archaeologists or crew chiefs shall work under the direction of a principal
investigator; supervisory archaeologists or crew chiefs shall be in direct charge
of archaeological field crews and shall have:
(a) a bachelors degree in anthropology or
archaeology or a degree in a closely related field as determined by the CPRC;
(b) at least one archaeological field school
or equivalent experience acceptable to the CPRC; and
(c) 12 months of professional experience in
archaeological field research, laboratory research, administration or
management of cultural resources in New Mexico or experience relevant to
understanding the cultural resources of New Mexico; and
(d) for individuals without a bachelors degree
in anthropology or archaeology or a closely related field, who apply as a
supervisory archaeologist or crew chief prior to the year 2010, the CPRC shall
consider equivalent training and experience in lieu of the academic
requirement.
B. Architectural History. The minimum professional
qualifications in architectural history are:
(1) a graduate degree in architectural
history, historic preservation, public history or a closely related field
including a minimum of 12 hours of course work in architectural history,
historic preservation, cultural landscapes, southwestern history or
southwestern architecture and a minimum of 2 years of full-time professional
experience applying the theories, methods and practices of architectural
history that enable professional judgments to be made about the identification,
evaluation, documentation, registration, or treatment of historic resources in
New Mexico; the 2 years of minimum experience shall include 12 months of
experience in documenting historic resources of New Mexico; or
(2) a bachelors degree in architectural
history, historic preservation or a closely related field including a minimum
of 12 hours of course work in architectural history, historic preservation,
cultural landscapes, southwestern history or southwestern architecture and a minimum
of 4 years of full-time professional
experience applying the theories, methods and practices of architectural
history that enable professional judgments to be made about the identification,
evaluation, documentation, registration, or treatment of historic resources in
New Mexico; the 4 years of minimum experience shall include 12 months of
experience documenting historic resources of New Mexico; or
C. Historic Architecture. The minimum professional
qualifications in recording, researching, and working with the preservation of
historic architecture are:
(1) a current New Mexico architectural license
and a minimum of 2 years of full-time professional experience applying the
theories, methods and practices of architecture that enable professional
judgments to be made about the identification, evaluation, documentation,
registration, or treatment of historic properties in New Mexico with a minimum
of 12 hours of course work in architectural preservation, architectural
history, historic preservation and historic preservation planning; the 2 years
of minimum experience shall include 12 months of experience in documenting
historic resources of New Mexico;
(2) a masters of architecture with a minimum
of 12 hours of course work in architectural preservation, architectural
history, historic preservation and historic preservation planning and a minimum
of 2 years of full-time professional experience applying the theories, methods
and practices of historic architecture that enable professional judgments to be
made about the evaluation, documentation or treatment of historic structures in
New Mexico; the 2 years of minimum experience shall include 12 months of
experience in documenting historic resources of New Mexico; or
(3) a bachelors of architecture degree with a
minimum of 12 hours of course work in architectural preservation, architectural
history, historic preservation and historic preservation planning and a minimum
of 3 years of full-time professional experience applying the theories, methods
and practices of historic architecture that enable professional judgments to be
made about the evaluation, documentation or treatment of historic structures in
New Mexico; the 3 years of minimum experience shall include 12 months of
experience in documenting historic resources of New Mexico.
D. History. The minimum professional
qualifications in history are:
(1) a graduate degree in history, public
history or a closely related field including a minimum of 12 hours of course
work in architectural history, architectural history, historic preservation,
cultural landscapes, southwestern history or southwestern architecture and a
minimum of 2 years of full-time professional experience applying the theories,
methods and practices of history that enable professional judgments to be made
about the identification, evaluation, documentation, registration, or treatment
of historic resources in New Mexico; the 2 years of minimum experience shall
include 12 months of experience in documenting historic resources of New
Mexico;
(2) a bachelors degree in history, pubic
history or a closely related field including a minimum of 12 hours of course
work in architectural history, historic preservation, cultural landscapes,
southwestern history or southwestern architecture and a minimum of 4 years of
full-time professional experience applying the theories, methods and practices
of history that enable professional judgments to be made about the
identification, evaluation, documentation, registration, or treatment of
historic resources in New Mexico; the 4 years of minimum experience shall
include 12 months of experience in documenting historic resources of New
Mexico; or
(3) for archaeologists
listed in the SHPO directory of qualified supervisory personnel (4.10.8.11
NMAC) who submit their qualifications as a historian prior to the year 2010,
the CPRC shall consider equivalent training and experience that demonstrate
knowledge of the architectural styles of the southwest and southwestern
history, familiarity with the historic cultural properties inventory manual and
forms, national and state register eligibility criteria for historic structures
and national park services guidance on documentation of historic structures;
equivalent training and experience shall be demonstrated by:
(a) a minimum of 12 hours of course work in
architectural history, historic preservation, cultural landscapes, southwestern
history or southwestern architecture;
(b) a minimum of 12 months of full-time
professional experience researching and documenting historic buildings and
structures in the American southwest; and
(c) a sample of work which may include
historic structures reports, built-environment national and state register
nominations, historic cultural property inventory forms and cultural resources
reports documenting historic buildings and structures.
E. Cultural Anthropology. The minimum professional
qualifications in cultural anthropologists are:
(1) a graduate degree in anthropology with a
specialization in cultural anthropology or a closely related field and a
minimum of 2 years of full-time professional experience (including at least 6
months of field work supervised by a professional cultural anthropologist)
applying the theories, methods and practices of cultural anthropology that
enable professional judgments to be made about the identification, evaluation,
documentation, registration, or treatment of historic and ethnographic
resources in New Mexico; the 2 years of minimum experience shall include 12
months of experience relevant to the study of cultural resources of New Mexico;
or
(2) a bachelors degree in anthropology with a
specialization in cultural anthropology or a closely related field and a
minimum of 4 years of full-time professional experience (including at least 12
months of field work supervised by a professional cultural anthropologist)
applying the theories, methods and practices of cultural anthropology that
enable professional judgments to be made about the identification, evaluation,
documentation, registration, or treatment of historic and ethnographic
resources in New Mexico or relevant to the cultural resources of New Mexico;
the 4 years of minimum experience shall include 12 months of experience
relevant to the study of cultural resources of New Mexico.
F. The CPRC, SHPO and state archaeologist reserve the
right to consider the education, experience and training of any individual
applying for permits that deviate from any of the standards in this section in
exceptional situations and on a case-by-case basis.
[4.10.8.10 NMAC - N, 10/01/05]
4.10.8.11 SHPO
DIRECTORY OF QUALIFIED SUPERVISORY PERSONNEL: The SHPO shall maintain a directory of
qualified supervisory personnel including but not limited to individuals who
act in the capacity of principal investigator, project director, supervisory
archaeologist, crew chief, architectural historian, historic architect,
historian or cultural anthropologist.
A. In order to be listed in the SHPO directory, individuals
shall submit a curriculum vitae, chart and transcript as specified below to the
SHPO.
(1) Curriculum vitae. Curriculum vitae shall demonstrate the
qualifications and professional experience for all supervisory personnel. Curriculum vitae shall contain, at a minimum,
the following information:
(a) name, address and telephone number;
(b) education background (date of degree,
degree held, institution issuing the degree, and major and minor field of
study);
(c) professional
experience by month and year with exact dates, if possible; list experience by
employer and include position held and responsibilities, project name and
location, types of resources documented and type of activity including but not
limited to survey, testing, excavation, monitoring, excavation of burials,
historic structure reports and register nominations;
(d) publications and unpublished reports;
(e) papers presented;
(f) training; and
(g) references.
(2) Chart of experience. Prepare charts of experience for principal
investigators, project directors, supervisory archaeologists and crew chiefs.
Charts demonstrating experience shall summarize experience and shall be on file
with HPD. Charts shall only be submitted
once, at the time of the initial application under this rule, unless the
individual is changing supervisory position.
It shall be the responsibility of the individual to provide an updated
chart if applying for advancement in supervisory position after the initial
application is made under this rule.
Experience shall be demonstrated in number of days, with one day
equaling a minimum of 6 hours within a 24-hour work period until a minimum of 3
years full-time professional experience has been demonstrated. Individuals with more than 3 years of
full-time professional experience may report additional experience in number of
months where each month consists of 20 or more days with one day equaling a
minimum of 6 hours within a 24-hour time period. Charts shall contain the following columns of
information:
(a) project name;
(b) location by county and state;
(c) position held (crew member, crew chief,
project director, etc.);
(d) survey experience for each project listed;
(e) site excavation experience for each
project listed;
(f) human burial excavation experience for
each project listed;
(g) laboratory analysis for each project
listed;
(h) report preparation for each project
listed;
(i) total survey, excavation, analysis and
report preparation experience shall be listed in units (days, months, years, as
applicable) at the bottom of the chart.
(3) Transcripts. An official university or college transcript
or a notarized copy of all diplomas shall be on file with HPD. Transcripts shall be submitted only once and
at the time of the initial application under this rule, unless an individual is
updating their educational experience and degrees obtained. It shall be the responsibility of the
individual to provide a transcript or notarized copy of the diploma if a higher
degree is obtained after the initial application under this rule.
B. HPD shall review the documentation for sufficiency,
accuracy and consistency with the minimum standards in this section and in
4.10.8.10 NMAC. A submission that does
not contain the required documentation will be considered incomplete. HPD shall inform the applicant of omissions
or clarifications necessary to complete the request.
C. If the documentation is sufficient, accurate and
consistent with the minimum standards, HPD shall forward the request to the
CPRC at the next meeting for approval or denial with the concurrence of the
SHPO and state archaeologist. If
approved the individual's name will be listed in the SHPO directory for the
position or positions approved.
D. It shall be the responsibility of the individual listed
as qualified supervisory personnel to update their curriculum vitae at least
every 3 years on or before October 15.
The updated curriculum vitae shall present a listing of professional experience,
professional training and development, publications, unpublished reports and
papers presented since the last submittal or a new, comprehensive curriculum
vitae to replace the curriculum vitae on file with HPD.
E. Individuals listed in the SHPO directory shall continue
to develop their educational, professional and technical skills. The individuals who are listed in the
directory shall complete a minimum of 24 hours of professional development or
training every 3 years in order to maintain their listing in the SHPO
directory. Individuals may acquire
professional training and development through courses and workshops offered by
the CPRC, the SHPO, professional archaeological and historical societies or
associations, museums and other entities including classes at universities and
colleges. Professional development
includes presentations at professional conferences. One presentation will
fulfill the 24-hour requirement.
Evidence of training or professional development shall be included in
the documentation provided to HPD with the updated curriculum vitae.
F. Individuals shall continue to be listed in the SHPO
directory for the position or positions approved as long as the individual
provides an updated curriculum vitae every 3 years, meets the minimum 24-hours
of professional training every 3 years, and has not been removed from the SHPO
directory pursuant to 4.10.8.24 NMAC.
Individuals may request that their name be removed from the SHPO
directory.
[4.10.8.11 NMAC - N, 10/01/05]
4.10.8.12 GENERAL PERMIT APPLICATION: The
applicant may obtain general permit application forms and instructions for
filing the application and attachments from HPD's website or may request them
from HPD.
A. A general permit application shall include the
following information:
(1) applicant name, mailing address, telephone
number and email address;
(2) the type(s) of archaeological
investigations proposed to be performed under the permit (survey, test
excavations, monitoring, excavation of unmarked human burials or any
combination thereof);
(3) a staff roster indicating the following
information:
(a) supervisory personnel who will be acting
or expected to act in a supervisory capacity during permitted archaeological
investigations and who are in the SHPO directory (4.10.8.11 NMAC);
(b) a list of supervisory personnel who are
not in the SHPO directory that the applicant proposes to use in a supervisory
capacity during the permitted archaeological investigations and a request that
these individuals be added to the SHPO directory along with supporting
documentation of their qualifications consistent with 4.10.8.10 NMAC; and
(c) other staff, such as crew members and
laboratory personnel; and
(4) applicant's signature, title and date,
which may be submitted with original signature or signature transmitted by
facsimile; if the forms are sent by electronic mail, the applicant's electronic
mail address shall serve as the signature; by virtue of the submission of the
application, the applicant certifies agreement to abide by all the rules, terms
and conditions of the permit.
B. The applicant shall complete the application consistent
with this rule and include the following attachments with the initial
application or whenever a substantial change in the applicant's organization
occurs.
(1) A summary of organizational experience. This summary shall demonstrate the
applicant’s capability to accomplish the type and scope of archaeological
investigations proposed to be conducted under the permit and shall include but
not be limited to: descriptions of organizational structure and staffing; the
location(s) and descriptions of facilities and equipment; specifications of
which and to what extent, facilities, equipment and staff listed in the
application will be involved in the proposed work; demonstrated
ability to complete similar projects as evidenced by the timely completion of
reports or other documents; a list of projects, contract reports and
publications resulting from similar past projects.
(2) Forms. Copies of field, laboratory and analysis
forms to be used during the permitted work.
(3) Test excavation standards. For applications that request authorization
to conduct test excavations, the applicant shall include discussion of standard
field and laboratory procedures consistent with the standards in 4.10.16 NMAC
that the applicant proposes to use on test excavation projects under the
general permit. The applicant's standard
test excavation procedures will be placed on file at HPD and may be referenced
in test excavation plans submitted in activation of the permit for test
excavation projects.
(4) Current permits. The applicant shall provide a list of permits
for archaeological investigations currently held by the applicant including
permit number and agency.
C. ARMS agreement.
The applicant shall have an account with ARMS for access to NMCRIS on or
before submittal of the permit application.
D. Curation agreement. The applicant shall provide a current
curation agreement, if one is not already on file with MIAC.
E. An approved application may have special stipulations
imposed by the CPRC.
F. An approved application shall have the signature of the
chair of the CPRC indicating approval of the permit and signatures of the state
archaeologist and the SHPO indicating their concurrence with the issuance of
the permit.
G. The term on an approved permit shall be from the date of
approval by the CPRC through December 31 of the year in which it is approved by
the CPRC.
[4.10.8.12 NMAC -
Rp, 4 NMAC 10.8.8 & 4 NMAC 10.8.10, 10/01/05]
4.10.8.13 PROJECT-SPECIFIC PERMIT
APPLICATION: The applicant may obtain project-specific permit application forms and
instructions for filing the application and attachments from HPD's website or
may request them from HPD. Each
archaeological investigation conducted for a different firm or for a different
research project requires a separate project-specific permit.
A. For
project-specific archaeological investigations on state trust lands, an
applicant shall apply simultaneously for a project-specific permit from the
CPRC and an associated easement or other written permission from the
commissioner of public lands to enter state trust land.
(1) The application for an easement or other
permission to enter state trust lands and instructions is available on HPD's
website, on the state land office website or from the state land office in
person or by mail.
(2) Information regarding requirements for
receiving an easement or other permission to enter state trust lands such as
application fees, bonding fees and requirements and reclamation requirements
shall appear on the state land office application or in accompanying
instructions.
(3) Upon completion of the project-specific
permit application and the application for an easement or other written
permission to enter state trust lands, the applicant shall submit both
applications to HPD and state land office so that HPD and the state land office
may proceed to process the applications simultaneously.
(4) Applicants shall not submit to HPD any
application fee, bonding, fee or other payments associated with obtaining an
easement or other written permission to enter state trust lands. Once the state land office has received its
copy of the application package, it shall notify the applicant of the fees due
and request payment to be submitted directly to the state land office.
B. For project-specific archaeological investigations on
other state lands, an applicant shall obtain written approval of the work
proposed from the state agency and include the approval with the permit
application. Approval may be provided by the signature of the representative of
the state agency on the permit or by a letter signed by the representative of
the state agency indicating approval of the proposed work.
C. The
project-specific permit application shall include the following information:
(1) applicant name, mailing address, telephone
number and email address;
(2)
the type(s) of permits for archaeological investigations requested
(sample, thematic or other surveys, excavation including test excavation,
monitoring, excavation of unmarked human burials or any combination thereof);
(3) a staff roster indicating the following
information:
(a) supervisory personnel who will be acting
or expected to act in a supervisory capacity during permitted archaeological
investigations and who are in the (4.10.8.11 NMAC);
(b) a list of supervisory personnel who are
not in the that the applicant proposes to use in a supervisory capacity during
the permitted archaeological investigations and a request that these
individuals be added to the SHPO directory along with supporting documentation
of their qualifications consistent with 4.10.8.10 NMAC; and
(c) other staff, such as crew members and
laboratory personnel; and
(4) the applicant's signature, title and date,
which may be submitted with original signature, signature transmitted by
facsimile, or if the forms are sent by electronic mail, the applicant's
electronic mail address shall serve as the signature; by virtue of the submission
of the application, the applicant certifies agreement to abide by all the
rules, terms and conditions of the permit.
D. The applicant shall complete the application consistent
with this rule and include the attachments required for the project-specific application
as specified below.
(1) Surveys and inventories. Prepare a research design that adheres to
4.10.15 NMAC. The research design may
adopt the survey standards detailed in 4.10.15 or may propose alternate
standards that shall be fully detailed, discussed and justified in the research
design. For thematic, reconnaissance or
other types of research surveys, the research design shall specify the purpose
and rationale supporting the survey strategy and approach.
(2) Excavation projects including test
excavation. Prepare a research
design that adheres to 4.10.16 NMAC. The
research design may adopt the excavation standards detailed in 4.10.16 NMAC or
may propose alternate standards that shall be fully detailed, discussed and
justified in the research design.
(3) Monitoring Prepare a monitoring plan that adheres to
4.10.17 NMAC.
(4) A summary of organizational experience.
If this summary is not already on file
at HPD, the applicant shall provide a discussion that demonstrates the
applicant’s capability to accomplish the type and scope of archaeological
investigations proposed to be completed under the permit and shall include but
not be limited to: descriptions of organizational structure and staffing; the
location(s) and descriptions of facilities and equipment; specifications of
which and to what extent, facilities, equipment and staff listed in the
application will be involved in the proposed work; demonstrated ability to
complete similar projects as evidenced by the timely completion of reports or
other documents; a list of projects, contract reports and publications
resulting from similar past projects; and a list of permits currently held by
the applicant including permit number and agency.
(5) Forms. Copies of field, laboratory and analysis
forms expected to be used during the permitted work.
E. ARMS agreement. The applicant shall have an
account with ARMS for access to NMCRIS on or before submittal of the permit
application.
F. Curation
agreement. The applicant shall
provide a current curation agreement along with the project-specific permit
application if a current agreement is not on file with MIAC.
G. An approved application may have special stipulations
imposed by the CPRC, the commissioner of public lands for state trust lands or
the representative of the state agency with jurisdiction.
H. An approved application shall have the signature of the
chair of the CPRC indicating approval of the permit and signatures of the state
archaeologist and the SHPO indicating concurrence with the issuance of the
permit, signature of the commissioner of public lands if state trust lands are
involved, and signature of the state land- holding agency representative or
written approval as provided in 4.10.8.13B NMAC, if other state lands are
involved, to indicate approval of issuance of the permit.
I. The
term on an approved application shall be one year from the date of approval by
the CPRC unless state trust lands are involved, in which case the term of the
permit shall be one year from the date of approval from the commissioner of
public lands.
[4.10.8.13 NMAC -
Rp, 4 NMAC 10.8.8 & 4 NMAC 10.8.9, 10/01/05]
4.10.8.14 PERMIT STIPULATIONS:
A. Permittees shall abide by all stipulations contained in
this rule and any special stipulations imposed by the CPRC, the state
archaeologist, the SHPO and the commissioner of public lands or the state
agency as appropriate. These additional
stipulations shall be set out in writing on the permit, or as an attachment to
it.
B. Stipulations for all permits issued by the CPRC are
described below.
(1) Permittees shall determine the land status
of the archaeological investigation to ensure the work will not be in trespass
and that they are in compliance with local, state or federal laws. The
permittee is responsible for obtaining an easement or other written permission
from the commissioner of public lands for archaeological investigations on
state trust land and complying with all rules and regulations of the state land
office relating to such easement or other permission.
(2) Permits are not exclusive in character.
The state land office or the state agency reserves the right to use the subject
tracts of land, or any part thereof, for any purpose within the administrative
and legal jurisdiction of the state agency or state land office. The CPRC, in cooperation with the state
agency and state land office, reserves the right to permit other archaeological
investigations within the permit or easement area.
(3) All costs incurred in the execution of the
activities conducted under a permit shall be borne by the permittee or the
permittee's client or sponsor.
(4) The permittee shall comply with all laws,
rules, ordinances and requirements in all matters and things affecting the
premises and operations therein pertaining to the permit, archaeological site
and the land where the site is located.
(5) All activities conducted under the permit
shall be carried out so as to prevent erosion of the land, pollution of water
resources and any other damage to the natural environment. Any sites or
locations that are disturbed in the course of the archaeological investigations
conducted under the permit shall be restored to their original condition
insofar as possible. The areas of limited tests, test excavations and
excavation shall be backfilled. All areas examined under the permit shall be
left in a state, which will not create hazard to life nor endanger livestock or
other property, nor contribute to the deterioration of the site or location or
adjacent lands by natural forces, unless other provisions are specifically
approved in the permit.
(6) If unmarked human burials are discovered
during the archaeological investigations, local law enforcement shall be
notified pursuant to 4.10.11 NMAC. If
the unmarked human burial cannot be left in place, excavations shall be carried
out in conformance with 4.10.11 NMAC.
(7) Title to any mined or processed precious
metals or treasure trove found on state trust land and in the area covered by
the permit or easement is held by the commissioner of public lands and such
materials shall not be disturbed or removed without specific written permission
from the CPRC and the state land office.
Such authorized removal shall be recorded and undertaken in the presence
of the state archaeologist, the state historian or their designates.
C. Failure by a permittee to comply with the standard or
special stipulations set forth in this rule and on the permit shall be cause
for the CPRC's denial of future permits to the permittee in conformance with
4.10.8.24 NMAC.
[4.10.8.14 NMAC -
Rp, 4 NMAC 10.8.8, 4 NMAC 10.8.9 & 4 NMAC.10.8.10, 10/01/05]
4.10.8.15 REVIEW AND APPROVAL OF PERMIT
APPLICATIONS:
A. HPD shall receive permit applications including
attachments and maintain current files for each permittee.
B. HPD shall review all information submitted in support of
the permit application for completeness, accuracy and conformance with all
requirements. The applicant shall remedy any inaccuracies or inadequacies
specified by HPD before further review or processing of the permit
application. HPD shall submit all
completed applications for consideration by the CPRC at the next scheduled CPRC
meeting. HPD may recommend to the CPRC
that an application be tabled or rejected if the application fails to meet
minimum qualifying criteria either upon initial receipt or through failure to
respond adequately to a request for information or correction of inaccuracies.
C. The CPRC shall review and consider all completed permit
applications for approval, approval with special stipulations or denial, with
the concurrence of the state archaeologist and the SHPO. The CPRC may table applications to be
discussed at a future meeting pending receipt of additional information necessary
to make a decision on the permit.
D. Any special stipulations attached to a permit by the
CPRC, the state archaeologist or the SHPO shall be specified in writing on or
in an attachment to the permit. The CPRC
may include additional special stipulations at the written request of a state agency
or commissioner of public lands if received prior to the CPRC's decision to
approve the permit.
E. Signature of the chair of the CPRC indicates approval of
the permit by the CPRC. Signatures of the state archaeologist and the SHPO
indicate concurrence with the approval of the permit. Signature of the state land holding agency
representative or signature of the commissioner of public lands, if state trust
lands are involved, indicates approval of the permit. The permit is not valid without all signatures.
F. If the application for a project-specific permit
involves state trust lands and the permit application has been signed by the
CPRC, the state archaeologist and the SHPO, HPD shall forward the permit and
easement application package to the commissioner of public lands for approval
or denial along with the applicant's application for an easement or other
permission to enter state trust lands.
The applicant shall be required to obtain an easement or other
written permission from the state land office as a condition of the
commissioner of public lands approving the permit. The state land office shall forward to HPD a
copy of the permit with any additional stipulations, along with the easement or
other written permission of the commissioner of public lands to enter the state
trust lands, once both have been approved by the commissioner of public
lands. If either the permit or the
application for an easement or other written permission to enter state trust
lands has been denied by the commissioner of public lands, he shall inform HPD
of this fact in writing.
G. For general permits HPD shall notify the applicant in
writing of the approval, approval with stipulations, or denial by the CPRC with
the concurrence of the state archaeologist and SHPO.
H. For project-specific permits HPD shall notify the
applicant in writing of the approval, approval with stipulations, or denial of
a project-specific permit by the CPRC with the concurrence of the state
archaeologist, the SHPO, the commissioner of public lands or the representative
of the state agency with jurisdiction for other state lands.
I. Any applicant who has been denied a permit by the CPRC,
the state archaeologist or the SHPO shall have the right to appeal the decision
pursuant to 4.10.8.25 NMAC.
[4.10.8.15 NMAC -
Rp, 4 NMAC 10.8.8, 4 NMAC 10.8.9 & 4 NMAC.10.8.10, 10/01/05]
4.10.8.16 MODIFICATION OF PERMITS:
A. A permittee may request, in writing to HPD, a
modification to a permit at any time.
The permittee shall request a permit modification whenever a change in
any essential condition of the permit is anticipated. Changes in essential condition require a
permit modification approved by the CPRC, with the concurrence of the state
archaeologist and the SHPO, the commissioner of public lands for permit
activities on state trust lands or the representative of the state agency with
jurisdiction for a permit for other state land.
The CPRC shall review all requests for modification at the next
scheduled meeting. Changes in any
essential condition without an approved permit modification shall constitute
cause for suspension of the permit.
Essential conditions include but are not limited to:
(1) individuals named in the permit, with the
exception of 4.10.8.16.B NMAC;
(2) type, scope or location of work;
(3) change in term of the permit;
(4) location and facilities of the permittee;
(5) repository; and
(6) other terms or conditions made part of the
permit.
B. If the modification to the permit involves adding
individuals who are listed in the SHPO directory in the same position as
proposed, HPD shall review and approve the request within 5 working days of
receipt of the request.
C. If the
archaeological investigation is delayed as a result of unforeseen circumstances
and cannot be completed within the permit period specified on the permit or
easement, if state trust land is involved, the permittee shall contact HPD in
writing to request an extension of the term of the permit. This request shall
be received by HPD within ten (10) working days prior to the expiration date of
the permit in order to be considered or if state trust lands are involved, ten
(10) working days prior to the expiration date of the written permission to
enter state trust lands issued by the commissioner of public lands, whichever
is earlier.
D. If the
archaeological investigation is discontinued and cannot be completed as a
result of unforeseen circumstances, the permittee shall notify HPD in writing
to request a cancellation of the permit.
Disposition of material remains collected under the permit and copies of
all written and photographic records resulting from a discontinued
investigation shall be in accordance with 4.10.8.19 NMAC and the provisions of
this section.
E. If
fieldwork has not been initiated within the permit period or an extension has
not been requested, the permit shall become void at the end of the permit
period.
F. The CPRC may modify a permit at any time to address
performance issues. The SHPO shall
provide written notice of permit modification to the permittee, in person or by
mail with a copy to the state agency or the commissioner of public lands if
state trust land is involved, setting out the reasons for the modification
pursuant to 4.10.8.22 NMAC. When
possible, oral notice and discussion will precede written notice from the SHPO.
[4.10.8.16 NMAC - N, 10/01/05]
4.10.8.17 INITIATING WORK UNDER GENERAL
PERMITS:
A. Prior to initiating any activity authorized under a
general permit, the permittee shall activate the permit in accordance with the
requirements of this section.
B. Archaeological investigations authorized by a general
permit on state trust lands shall be limited to investigations conducted under
contract to an individual, organization or company undertaking exploration,
construction, development or other land-disturbing activities authorized by
rights of way, easements, leases or other written authorization to enter state
trust land. In order to activate a
general permit, the permittee shall submit as part of its notification to the
commissioner of public lands for investigations on state trust lands, a copy of
its contract with the individual, organization or company undertaking
exploration, construction, development or other land-disturbing activities on
state trust lands and a copy of the applicable right of way, easement, lease or
other written authorization to enter state trust land. It is the responsibility of the permittee to
determine the ownership of any land on which archeological investigations are
to take place and to ensure that any such investigations on state trust lands
are undertaken in conjunction with authorized activities.
C. Survey and Inventory.
(1) The permittee shall follow all standards
set forth in 4.10.15 NMAC.
(2) The permittee shall notify the state
agency in writing of the proposed project.
If the agency has an archaeologist on staff, the permittee shall notify
the agency archaeologist. If the state
agency is the project sponsor or has directed the permittee to conduct the
work, no notification of the agency is required.
(3) The notification shall state for whom the
survey is being conducted, why the survey is necessary, the legal description
and a map of the APE or project area and the dates on which the survey is
expected to begin and to be completed.
For surveys on state trust land, the legal description shall be to the
nearest 40-acre parcel.
D. Test excavation.
(1) The permittee shall prepare and submit a
test excavation plan to the state agency consistent with the standards in
4.10.16 NMAC. If the state agency does
not have an archaeologist on staff, the permittee shall submit the plan to HPD
with a letter from the state agency approving the work.
(2) The state agency shall review the test
excavation plan and when approved submit the plan to HPD.
(3) HPD will review the plan for conformance
with the standards within 30 calendar days of receipt of a complete plan. If HPD's review finds that that test
excavation plan conforms to the standards outlined in 4.10.16 NMAC, HPD shall
notify the permittee in writing, with a copy to the state agency, that the
general permit has been activated for the project and the permittee may conduct
test excavations in conformance with the approved plan for the project.
(4) If HPD's review finds that the test
excavation plan does not conform to the standards, if there are any questions
or concerns that cannot be resolved through written or oral discussions with
the permittee, or if HPD requests CPRC review, HPD shall notify the state
agency and permittee in writing and forward the plan to the CPRC for review at
the next scheduled meeting.
(5) If the permittee does not have a general
permit for test excavation, or the test excavations are not being undertaken in
conjunction with authorized activities on state trust land in conformance with
4.10.8.16B NMAC, the permittee shall apply for a project-specific permit in
conformance with 4.10.8.13 NMAC.
E. Monitoring.
(1) When the purpose of the monitoring is to
ensure site avoidance or protection, the permittee shall implement avoidance
and protection measures at the direction of the state agency consistent with
4.10.17.9 NMAC.
(2) When the purpose of the monitoring is to
observe ground-disturbing activities through an archaeological site or other
cultural property or in an area of historic and scientific interest, the
permittee shall develop a monitoring plan consistent with 4.10.17 NMAC and
shall submit the plan to the state agency for review and approval. If the state
agency does not have an archaeologist on staff, the permittee shall submit the
plan to HPD with a letter from the state agency approving the work.
(a) The state agency shall review the
monitoring plan and when approved notify HPD in writing.
(b) HPD will review and provide comments on
the plan for conformance with 4.10.17 NMAC within 10 working days of receipt of
the plan. If HPD finds that the plan
conforms to 4.10.17 NMAC, HPD shall notify the permittee in writing, with a
copy to the state agency, that the general permit has been activated for the
project and the permittee may conduct monitoring as described in the plan.
(c) If HPD finds that the monitoring plan does
not conform to the standards, or if there are any questions or concerns that
cannot be resolved through written and oral discussions with the permittee, HPD
shall notify the state agency and permittee in writing and forward the plan to
the CPRC for review at the next regularly scheduled meeting.
(3) If the permittee does not have a general
permit for monitoring, the permittee shall apply for a project-specific
monitoring permit in conformance with 4.10.8.13 NMAC.
[4.10.8.17 NMAC - N, 10/01/05]
4.10.8.18 REVIEW OF REPORTS. All
permittees are required to submit a final written report following the
conclusion of the fieldwork. The CPRC,
state archaeologist and the SHPO may review these reports. In all cases the reports shall first be
submitted to the state agency or agencies for review and approval. For archaeological investigations conducted
on state trust lands, the commissioner of public lands may condition release of
the permittee's bond upon the commissioner's approval of the final report.
A. Reports on the archaeological investigations shall be
prepared and submitted consistent with the standards set forth as appropriate
in 4.10.15 NMAC, 4.10.16 NMAC and 4.10.14.17 NMAC. The state agency may establish additional
reporting requirements.
(1) Reports on survey.
(a) The permittee shall prepare and submit at
least one copy of the final report including site forms, appendices and
attachments to the state agency. If
collections were made during the survey, the permittee shall curate the
collections in accordance with their current curation agreement for the
repository approved in their permit application pursuant to 4.10.8 NMAC. The permittee shall obtain a receipt showing
that the collections have been submitted to the repository and shall provide a
copy of the receipt along with the final report to the state agency.
(b) The state agency will review the
report. When the report is approved, the
state agency will submit one copy of the final report, including all site
forms, appendices and attachments to HPD for purposes of discussion, review and
comment. Action on a final report by a
state agency does not signify approval or disapproval by HPD or the CPRC.
(c) If HPD has not received a copy of the
final report within 6 months of the permittee obtaining the NMCRIS
investigation number, HPD shall contact the permittee to determine the status
of the report and project. HPD may request the permittee to submit one copy of
the final report to HPD, or if the final report cannot be submitted within this
time period, the permittee shall submit one copy of the NMCRIS investigation
abstract to HPD with a request to extend the completion date for the final
report and a proposed completion date for the final report. The CPRC, in consultation with the state
agency, shall establish a new deadline for submittal at the next scheduled
meeting.
(d) If the report has been submitted to the
state agency, HPD will make arrangements with the agency to obtain a copy of
the report.
(e) Additional copies of the report and
attachments may be requested by the state agency.
(2) Reports on test excavations or
excavations.
(a) The permittee may prepare a preliminary
report and submit one copy of the report to the state agency pursuant to
4.10.16 NMAC within 60 days of completing the field studies.
(b) The permittee shall prepare and submit one
copy of a draft final report to the state agency for review. When the report is approved, the state agency
will notify the permittee and direct the permittee to submit the collections to
the repository within a specified timeframe. The repository will provide the
permittee with a receipt showing that the collections have been submitted and
the permittee shall submit a copy of the receipt along with at least one copy
of a final report, including all site forms, appendices and attachments to the
state agency.
(c) The state agency will review the
report. When the report is approved, the
state agency will submit one copy of the final report, including all site
forms, appendices and attachments to HPD for purposes of discussion, review and
comment. Action on a final report by a
state agency does not signify approval or disapproval by HPD or the CPRC.
(d) If HPD has not received a copy of the
final report within one year of the permittee obtaining the NMCRIS
investigation number, HPD shall notify the permittee. HPD may request the permittee to submit one
copy of the final report to HPD, or if the final report cannot be submitted
within this time period, the permittee shall submit a draft NMCRIS
investigation abstract to HPD with a request to extend the completion date for
the final report and a proposed completion date for the final report. The CPRC, in consultation with the state
agency, shall establish a new deadline for submittal at the next scheduled
meeting.
(e) Additional copies of the report and
attachments may be requested by the state agency.
(3) Reports on monitoring activities.
(a) The permittee shall prepare and submit one
copy of the monitoring report including all site forms and attachments pursuant
to 4.10.17 NMAC to the state agency. The
state agency will review the report and shall approve, request changes to or
disapprove the report for the agency's purposes. Action on a final report by a state agency
does not signify approval or disapproval by HPD or the CPRC. When the report is
reviewed and approved by the state agency, the state agency will submit one
copy of the final monitoring report, including all site forms, appendices and
attachments to HPD for purposes of discussion, review and comment.
(b) If collections were made during
monitoring, the permittee shall prepare and submit one copy of a draft final
report to the state agency for review.
When the report is approved, the state agency will notify the permittee
and direct the permittee to submit the collections to the repository within a
specified timeframe. The repository will provide the permittee with a receipt
showing that the collections have been submitted and the permittee shall submit
a copy of the receipt along with at least one copy of a final report, including
all site forms, appendices and attachments to the state agency.
(c) If HPD has not received a copy of the
report within 6 months of the permittee obtaining the NMCRIS investigation
number, HPD shall contact the permittee.
(d) Additional copies of the report and
attachments may be requested by the state agency.
B. All reports shall be reviewed by HPD for technical
accuracy and completeness.
(1) If HPD review identifies that the proposed
investigations were not completed according to the standards contained in
4.10.15 NMAC, 4.10.16 NMAC and 4.10.17 NMAC or not completed consistent with
the stipulations contained on the approved permit, HPD will notify the state
agency and permittee of the deficiencies and request that the permittee amend
the report to correct the deficiencies and resubmit the report to the state
agency.
(2) The state agency will review the
resubmitted report and work with the permittee to resolve any problems. Once
accepted by the state agency, the report shall be resubmitted to HPD.
(3) Failure by the permittee to conduct the
permitted investigation according to standards or stipulations shall be
documented as unacceptable performance pursuant to 4.10.8.21 NMAC.
C. Repeated failure by a permittee to submit required
reports in a timely manner or in conformance with 4.10.15 NMAC, 4.10.16 NMAC or
4.10.14.17 NMAC shall be documented as unacceptable performance pursuant to
4.10.8.21 NMAC.
[4.10.8.18 NMAC - N, 10/01/05]
4.10.8.19 CURATION OF COLLECTIONS AND
RECORDS: All material remains collected during
archaeological investigations conducted under a permit and written and
photographic records resulting from an archaeological investigation, regardless
of whether or not all of the work specified in the permit was completed, shall
be curated consistent with this section.
A. Collection of material remains. Title to all material remains recovered from
state land is held by the state of New Mexico unless the material remains are
recovered from state trust land. The
commissioner of public lands holds title in trust to all material remains
located on state trust lands for the designated beneficiaries of the land. The commissioner has designated the museum of
New Mexico as the custodian of all material remains found on lands under the
jurisdiction of the state land office.
(1) The museum of New Mexico is the custodian
of material remains and associated records and documents recovered as a result
of archaeological investigations on state land and state trust land unless the
CPRC and the commissioner of public lands, for material remains removed from
state trust lands, approves another institution as a repository.
(2) The MIAC serves as the repository for the
museum of New Mexico. If the applicant
proposes another repository, the applicant shall append a copy of the curation
agreement with that facility to the application along with an explanation of
the purpose of using a facility other than the museum of New Mexico as a
repository. This request shall be
reviewed by the CPRC and if approved by the CPRC and the commissioner of public
lands if state trust lands are involved, shall be specified in writing on the
permit as a stipulation.
(3) In order to qualify to be a custodian of
material remains and associated records and documents, the repository shall
meet the U.S. secretary of interior standards in 36 CFR 79.
(4) If the institution that has been
designated the appropriate repository for material remains and associated
records from state land ceases to exist, the material remains and associated
records shall be delivered to the MIAC for permanent curation.
(5) All material remains and records
pertaining to the collections to be received by the MIAC or the approved repository
shall be submitted in accordance with the conditions stipulated by the
permittee's current curation agreement with that facility. The permittee shall submit collections to the
repository prior to submitting a final report to the state agency pursuant to
4.10.8.18 NMAC. If the collections are
not submitted in accordance with the curation agreement or an account is in
arrears with the repository, the repository may notify the CPRC. This failure shall be documented as
unacceptable performance pursuant to 4.10.8.21 NMAC.
B. Written and photographic records. ARMS
is the custodian of all investigation records, LA archaeological site records,
including site updates resulting from survey, excavation, test excavation or
monitoring and associated reporting and photographic materials.
[4.10.8.19 NMAC - Rp, 4 NMAC 10.8.8,
10/01/05]
4.10.8.20 POST-REVIEW DISCOVERIES: If
cultural properties are discovered after the permitted field investigations
have concluded or unanticipated effects on cultural properties occur during
construction or other ground-disturbing activities, all construction or other
ground-disturbing activities in the vicinity of the discovery shall immediately
cease and a buffer of at least 50 feet shall be established around the
discovery. The state agency shall notify
HPD within 24 hours of the discovery.
A. The agency shall evaluate the property's significance and
determine appropriate actions to avoid the cultural property or recover
significant information.
(1) If the discovery is in an area covered
under a current permit that authorizes excavation of similar types of cultural
properties, the discovery may be treated in accordance with the standards and
methods outlined in the research design for the permit and the results shall
either be included in the report for the permitted activity as an addendum or
as a separate report.
(2) If the discovery is in an area covered by
a permit that has expired or in an area that was not subject to an archaeological
investigation prior to the commencement of construction, the state agency may
request that a permittee with a valid general permit that authorizes test
excavation develop a plan to protect or minimize damage to the discoveries or
to excavate the features or cultural deposits that will be affected by the
construction.
B. The state agency will review the plan and when approved
shall forward it to HPD. HPD shall
review the plan within 48 hours of receipt of the plan. If there are any questions or concerns, HPD
will work closely with the state agency and permittee to develop a plan
acceptable to the state agency and HPD.
HPD shall notify the state agency and the permittee in writing when it
has approved the plan.
C. If human burials are discovered, the permittee shall notify local law enforcement pursuant to
4.10.11 NMAC. If the unmarked human
burial cannot be left in place, excavations shall be carried out in conformance
with 4.10.11 NMAC.
[4.10.8.20 NMAC - N, 10/01/05]
4.10.8.21 DOCUMENTATION OF PERMITTEE
PERFORMANCE:
A. The CPRC, the state archaeologist, the SHPO and the
state agency may assess the quality of archaeological or research work
conducted or completed by a permittee.
B. The
CPRC, the state archaeologist, the SHPO and the archaeologist with the state
agency may conduct field visits to evaluate permittee performance at any time.
C. In
addition to maintaining permit files pursuant to 4.10.8 NMAC, HPD shall
maintain records that document a permittee's technical performance and compliance
with permit terms and conditions. HPD
shall notify the permittee and document unacceptable permittee performance by
maintaining case files containing, but not limited to the following kinds of
documentation:
(1) correspondence between HPD, the permittee
and the state agency documenting deficiencies;
(2) documentation of report reviews conducted
by HPD and the state agency;
(3) documentation of field visits conducted by
the CPRC, the state archaeologist, the SHPO or the state agency; and
(4) copies of reports, site records and other
site documentation, such as maps and photographs, that contain significant
errors.
D. Documentation of unacceptable or substandard performance
shall become part of a permittee’s file.
Unacceptable or substandard performance shall be documented as either a
minor or major deficiency.
(1) Minor deficiencies. Minor deficiencies in the report or site
documentation are errors that do not cause the basic findings of the report or
site documentation to be questioned but indicate that the permittee was
careless in assembling the report and site documentation. Minor deficiencies include, but are not
limited to minor or typographical mistakes in legal descriptions,
inconsequential mistakes regarding land ownership status, improperly labeled
maps, poor quality control in report preparation, failure to submit required
reports in a timely manner or in conformance with this rule and mistakes in the
pre-field check resulting in sites or registered cultural properties not being
reported within the one-mile buffer.
(a) HPD or state agency may request revisions
to the report and other documentation.
The permittee shall provide the requested revisions. If the permittee
does not provide the requested revisions, the failure shall be documented in
the permittee file.
(b) If the permittee’s reports continue to contain
inaccuracies or if the permittee fails to provide revisions, HPD shall provide
assistance to the permittee to help the permittee correct the deficiencies.
(c) If the permittee continues to make the
same errors even after assistance provided by HPD, the failure to improve shall
be documented in the permittee's file and may result in a warning letter
pursuant to 4.10.8.22 NMAC.
(2) Major deficiencies. Major deficiencies in reporting or fieldwork
may result in a warning letter pursuant to 4.10.8.22 NMAC. Major deficiencies include but are not
limited to:
(a) failure to identify registered cultural
properties and previously recorded archaeological sites, historic structures
and buildings and other cultural properties in the APE or project area during
the pre-field records check;
(b) a pattern of failure to identify or
recognize site(s) and registered cultural properties during survey;
(c) a pattern of recording a site as an
isolate;
(d) a pattern of incompletely recording a site
or drawing inaccurate site boundaries;
(e) actual on-the-ground survey coverage
varying from what is reported;
(f) use of unauthorized personnel to perform
fieldwork;
(g) providing false information;
(h) conducting fieldwork without obtaining the
appropriate permit;
(i) a pattern of failures to submit required
reports in a timely manner or in conformance with 4.10.8 NMAC;
(j) failure to make scheduled payments to ARMS
for access to NMCRIS and survey registration fees; the registrar at ARMS shall
notify HPD of accounts in arrears;
(k) failure to make payments to the curatorial
facility for collections that were accepted by the repository or for a pattern
of submitting collections that are not accepted owing to insufficient
preparation or for causing undue problems for the repository in processing the
collections for curation;
(l) failure to notify the state agency of the
archaeological investigation, or not obtaining an easement or other written
permission to enter state land trust lands; and
(m) substantial or material mistakes in legal
descriptions or regarding land ownership status.
E. The permittee may write to the CPRC or request a meeting
with the CPRC to discuss concerns relating to HPD's documentation of the
permittee's performance at any time.
[4.10.8.21 NMAC - N, 10/01/05]
4.10.8.22 WARNING LETTERS: Major
deficiencies in reporting or fieldwork shall be documented in a warning letter
from the SHPO to the permittee with a copy to the client or project sponsor,
the state agency, the CPRC and the state archeologist. Up to three warning letters for similar
deficiencies may be issued to a permittee per 3-year cycle. The issuance of three warning letters for
similar deficiencies per 3-year cycle shall be a factor in the CPRC’s decision
to issue a permit in the future.
A. Upon receipt of a warning letter, the permittee shall
take immediate steps to correct the deficiencies noted in the letter.
(1) Warning letters may include, without
limitation:
(a) a statement that clearly identifies how
the permittee’s work fails to meet current rules and standards;
(b) clear direction regarding the actions
needed to rectify the situation, such as re-recording sites or other remedial
actions;
(c) a statement that sets forth the action the
CPRC will take to address the deficiencies; and
(d) a request that the supervisory personnel
and other personnel that conducted the work for the permittee confer with HPD
and the state agency, so that the nature of the deficiencies and required
remedial actions are clearly understood; HPD shall attend such meetings or
participate in conference calls and shall prepare a follow-up letter to the
permittee that documents what was discussed and the actions the parties agreed
appropriate to correct the performance problem.
(2) Technical assistance shall be available
from HPD to help resolve the permittee’s unacceptable performance.
B. First warning letter. The first warning letter may result in the
permittee being placed on probation for 3 consecutive months. A permittee who is placed on probation may
continue to work on state land.
(1) The permittee shall take immediate steps
to correct the deficiencies noted in the warning letter.
(2) During this period, the permittee’s
performance may be evaluated by the CPRC, the state archaeologist, the SHPO or
the state agency.
(3) Documentation of performance evaluation
shall be entered into the permittee’s case file and may be taken into account
by the CPRC when considering whether to issue permits to that permittee in the
future.
C. Second warning letter. The second warning letter may result in the
CPRC placing the permittee on probation for 6 consecutive months, or if the
permittee is already on probation, extending the probationary period an
additional 6 consecutive months.
(1) The permittee may continue to work on
state land but the permittee's name shall be removed from the list of
permittees maintained by HPD and provided to entities seeking qualified
institutions.
(2) The permittee shall take immediate steps
to correct the deficiencies noted in the warning letter.
(3) During this period, the CPRC, the state
archaeologist, the SHPO or the state agency may evaluate the permittee’s
performance.
(4) Documentation of performance monitoring
shall be entered into the permittee’s permanent file and may be taken into
account by the CPRC when considering whether to issue permits to that permittee
in the future.
(5) Upon successful completion of probation,
the permittee shall be added to the list of permittees maintained by HPD.
D. Third warning letter. The third warning letter may result in
suspension of the permittee's permit by the CPRC.
(1) The permittee shall be notified of the
permit suspension and that it is not authorized to continue or to conduct
archaeological investigations on state land.
(2) If the permittee is engaged in ongoing
projects, HPD shall notify the client or project sponsor and the state agency
of the permit suspension.
(3) A suspension shall not exceed 12
consecutive months.
(4) A new permit may be applied for after the
suspension period has expired.
E. Modification of permits to correct performance problems. The CPRC may modify a permit at any time when
needed to address performance issues and will notify the state agency or
agencies. The SHPO shall provide written
notice of permit modification to the permittee, in person or by mail, setting
out in full the reasons for the modification.
Whenever possible, oral notice and discussion will precede written
notice.
[4.10.8.22 NMAC - N, 10/01/05]
4.10.8.23 PROBATIONARY PERMITS: Permits
may be issued for one year or less on a probationary basis when the CPRC determines
that a permittee's performance requires evaluation based on documented
performance problems.
A. The CPRC, state archaeologist and the SHPO shall evaluate
the performance of the permittee closely during the time the permit is in
effect and document performance accurately through site recording, mapping,
photography and written reports of observations.
B. The state agency archaeologist may assist in evaluating
the performance of the permittee and provide documentation to the CPRC for
consideration.
C. Following expiration of the probationary period and based
upon performance during that period, a new permit may be issued or a new
probationary permit may be issued.
[4.10.8.23 NMAC - N, 10/01/05]
4.10.8.24 DENIAL
OF A PERMIT: The CPRC may deny an application
for a permit.
A. The decision to deny a permit application may be based
upon factors such as:
(1) a pattern of unacceptable performance by
the applicant;
(2) failure of the applicant to improve performance
while on probation or suspension;
(3) failure of the applicant to obtain the
necessary permits for archaeological investigations on state land;
(4) documentation of the applicant's work on
state land with a suspended permit;
(5) failure of the applicant to comply with
applicable rules or additional stipulations set forth on the permit, or
(6) falsification by the applicant of
information pertaining to qualifications or performance.
B. The CPRC shall inform the applicant, in writing, that a
permit application has been denied and shall specify the reason for the denial
and shall invite the applicant to attend the next scheduled CPRC meeting to
discuss the reasons for denial. If the
permit denied is a project specific permit, the CPRC shall notify the state
agency of its decision.
C. Supervisory personnel whose performance directly led to a
firm's deficient performance and subsequent loss of a permit shall be removed
from the SHPO directory of qualified supervisory personnel.
(1) An individual who has been removed from
the SHPO directory may resubmit the documentation specified in 4.10.8.11 NMAC
to HPD with a request to be added to the SHPO directory. The documentation shall demonstrate that the
individual has remedied performance deficiencies through additional training or
experience or through a minimum of three months of fieldwork under direct
supervision of an individual listed in the SHPO directory.
(2) HPD will review the documentation for
sufficiency and if it is complete forward the request to be considered at the
next regularly scheduled CPRC meeting.
D. Any applicant who has been denied a permit by the CPRC
shall have the right to appeal the decision pursuant to 4.10.8.25 NMAC.
[4.10.8.24 NMAC - N, 10/01/05]
4.10.8.25 PROCEDURES FOR APPEALING A
DECISION: Any applicant who has been denied a permit by
the CPRC, the state archaeologist, or the SHPO shall have the right to appeal
the decision.
A. All requests for an appeal shall include a statement of
the applicant's reason for requesting an appeal and contain any additional
information that the applicant believes will support the appeal.
B. Upon receipt of a written request for a hearing, the
chairman of the CPRC shall notify the secretary of the department of cultural
affairs, who shall convene a hearing panel consisting of three individuals.
C. Within
two weeks of receipt of a written request for a hearing, the secretary of the
department of cultural affairs shall inform the applicant in writing of the
date, time and place of the hearing at which the appeal will be heard. The notice of public hearing shall be published
pursuant to Section 9-4A-6 of the Department of Cultural Affairs Act.
(1) The secretary of the department of
cultural affairs or his designee shall serve as the chair of the hearing panel.
(2) The secretary shall appoint an agency
archaeologist or other professional archaeologist deemed qualified by the
secretary. The applicant may designate
an individual to sit on the hearing panel.
If the applicant chooses not to designate an individual, the secretary
shall designate another agency archaeologist.
(3) The chairman of the CPRC, the state
archaeologist and the SHPO shall provide testimony at the hearing. A written record shall be kept of the
proceedings.
D. Decisions
of the hearing panel shall be based on a simple majority vote of the members of
the panel.
E. The chair of the hearing panel shall inform the
applicant in writing of the decision of the hearing panel. Decisions of the hearing panel shall be
final.
[4.10.8.25 NMAC - N, 10/01/05]
4.10.8.26 DEVIATIONS: The
CPRC, SHPO and state archaeologist reserve the right to waive or deviate from
this rule or any parts of this rule under circumstances deemed necessary by the
CPRC, SHPO and state archaeologist. Any
waiver or deviance from this rule shall occur while maintaining the spirit,
intent and objective of this rule and the Cultural Properties Act.
[4.10.8.26 NMAC - N,
10/01/05]
HISTORY OF 4.10.8 NMAC:
Pre-NMAC History: The
material in this part was derived from that previously filed with the state
records center and archives under:
CPRC 82-R1,
Regulations Pertaining to the Issuance of Permits to Conduct Archaeological
Investigations, filed 5-28-82.
CPRC Rule 87-8,
Regulations Pertaining to the Issuance of Permits to Conduct Archaeological
Investigations, filed 3-26-87.
History of Repealed Material: 4
NMAC 10.8, Issuance of Permits to Conduct Archaeological Investigations (filed
11/03/97), repealed 10/01/05.
Other History:
CPRC Rule 87-8,
Regulations Pertaining to the Issuance of Permits to Conduct Archaeological
Investigations (filed 3-26-87) was renumbered and reformatted to 4 NMAC 10.8,
Regulations Pertaining to the Issuance of Permits to Conduct Archaeological
Investigations, effective 11/15/97.
4 NMAC 10.8,
Issuance of Permits to Conduct Archaeological Investigations (filed 11/03/97)
was renumbered, reformatted and replaced by 4.10.8 NMAC, Permits to Conduct
Archaeological Investigations on State Land, effective 10/01/05.