NORTH CAROLINA ADMINISTRATIVE CODE SECTION .0700 - ARCHAEOLOGICAL
RESOURCES PROTECTION ACT

.0701 PURPOSE History Note: Statutory Authority G.S. 70-10 through 70-20;
Eff. February 1, 1985;
Repeated Eff. June 1, 1989.

.0702 DEFINITIONS The definitions of G.S. 70-12 apply in this Section. In addition the following terms are defined:

(1) "Emergency archaeological investigation" means any surface collection, subsurface test, excavation, or other activity that results in the disturbance or removal of archaeological resources undertaken because of:

(a) the accidental discovery of archaeological resources during construction or other ground disturbing activities; or

(b) immediate danger of damage or destruction to archaeological resources due to vandalism, erosion, or other causes.

(2) "Interim progress report" means a brief summary of archaeological work accomplished during the reporting period.

(3) "Land controlling agency" means the state agency with management responsibilities for state land.

(4) "Permit" means authorization under law to conduct archaeological investigation on state lands.

(5) "Preliminary field report" means a brief summary of the results of the fieldwork undertaken during the permit period, including, but not limited to:

(a) a map showing the area of the permit location;

(b) a brief summary of the purpose, methods, and results; and

(c) recommendations concerning future work at the site or sites.

(6) "Report" means a formal written account of the goals, methods, and results of archaeological investigations conducted under the terms of a permit.

(a) A draft report is subject to review and comment by the Secretary of the Department of Administration or his designee, the Secretary of the Department of Cultural Resources or his designee, and the head of the land controlling agency or his designee.

(b) A final report is complete and incorporates the comments resulting from review of the draft.

(7) "Risk of harm" means any disclosure of the nature or location of any archaeological resource that results, or may result, in the loss or destruction of archaeological context, or archaeological information.

History Note: Statutory Authority G.S. 70-12; 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0703 ARCHAEOLOGICAL INVESTIGATIONS ON STATE LANDS

(a) Permits are required for persons wishing to conduct archaeological investigations on state lands. Permits are issued by the Secretary of the Department of Administration or his designee. The mailing address is:

(b) Two types of permits shall be issued:

(1) General Permits shall be issued to those land controlling agencies that employ qualified archaeologists on a full time permanent basis to conduct archaeological investigations on state lands directly under the agency's control.

(2) All other permits shall be Specific Permits.

History Note: Statutory Authority G.S. 70-13; 70-15(a);
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0704 EMERGENCY ARCHAEOLOGICAL INVESTIGATIONS

(a) A Specific Permit is not required for emergency archaeological investigations on state lands if the person conducting the investigation meets the minimum qualifications stated in Rule .0706 of this Section and the land controlling agency has notified the Secretary of the Department of Administration or his designee and the Secretary of the Department of Cultural Resources or his designee. Reporting requirements for emergency archaeological investigations are the same as those specified in Rule .0712 of this Section unless the investigations are conducted under a General Permit. General Permit reporting requirements are specified in Rule .0713 of this Section.

(b) A permittee may conduct emergency archaeological investigations beyond the terms of an existing Specific Permit. However, terms of the Specific Permit shall remain in effect, including those terms pertaining to reporting schedules.

(c) A General Permit allows emergency archaeological investigations to be conducted by the principal investigator in whose name it was issued, and only on those state lands directly under the control of the land controlling agency by whom the principal investigator is employed. Terms of the General Permit will remain in effect, including terms pertaining to reporting schedules.

History Note: Statutory Authority G.S. 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0705 APPLICATION FOR ARCHAEOLOGICAL PERMITS

(a) Persons wishing to apply for a permit to conduct archaeological investigations on state lands shall obtain application forms from the office of the Secretary of the Department of Administration and submit completed permit applications to the same office. After receiving an application, that office will forward copies to the State Property Office, Department of Administration; the Secretary of the Department of Cultural Resources or his designee; and the appropriate land controlling agency.

(b) Applications for Specific Permits must be submitted to the Secretary of the Department of Administration or his designee at least 30 days prior to the proposed starting date of the archaeological investigations. east Specific Permit application shall include:

(1) a written description of the location of the proposed investigations, including the county and township;

(2) a 1: 24,000 or larger scale map clearly depicting the location of the proposed investigations;

(3) a description of the exact nature, objectives and scope of the proposed investigations, including the methods to be employed and the requirements for vegetation clearing;

(4) the schedule for the investigations, including hours of the day and days of the week, as well as beginning and completion dates. The schedule shall include 60 days for review and comment of the draft report by the Secretary of the Department of Cultural Resources or his designee and the land controlling agency and a maximum of 30 days for response, revisions and submittal of the final report by the applicant;

(5) the name, address, telephone number, institutional affiliation, if any, and qualifications of the principal investigator;

(6) the name, address, telephone number, and qualifications of the field director, if different from the principal investigator;

(7) the approximate number of people proposed to carry out the investigations;

(8) evidence of the applicant's capability to initiate, conduct and complete the proposed investigations;

(9) written criteria for evaluation of requests for access to records and artifacts at the facility where the records and artifacts are to be curated;

(10) the location proposed for curation of all artifacts, records, data, photographs, and other documents or information resulting from the investigations;

(11) written concurrence from the land controlling agency regarding the applicant's proposed curatorial arrangements;

(12) facilities and plans for stabilization and preservation of perishable or unstable artifacts;

(13) the person or position in the institution or agency with responsibility for curation of artifacts, records, and other documentation or information who will determine access to this material;

(14) a description of the type and timing of all access needs on state property, vehicular or otherwise, required to conduct the investigations;

(15) a description of how the project will be coordinated with the site specific land manager, including the applicant's documentation that initial contact has been made and the name of the specific person contacted;

(16) a description of the provisions to be made to secure the permit area to assure the safety of incidental non-project personnel who may visit the permit area during the after project hours;

(17) an indication of the length of time each excavation unit will be open and a description of a schedule for reclaiming all areas disturbed by any aspect of the archaeological investigations; and

(18) the applicant's plans, if any, for dissemination of the results of the investigations in addition to the reporting requirements noted in Rule .0712 of this Section. If additional information is required from the applicant by the land controlling agency during review of the Specific Permit application, the land controlling agency will contact the applicant directly. The information obtained will be added to the application permit file.

(c) A land controlling agency may be issued a General Permit to conduct archaeological investigations and emergency archaeological investigations on land directly controlled by that agency. East General Permit application for a land controlling agency shall include:

(1) a written description of the lands controlled by the agency, including the county and township;

(2) a general description of the nature ad objectives of potential investigations;

(3) the name, address, telephone number, and qualifications of the principal investigator;

(4) evidence that the requirements of Rule .0706 of this Section are met;

(5) written criteria for evaluation of requests for access to records and artifacts at the facility where the records and artifacts are to be curated;

(6) the location proposed for curation of all artifacts, records, data, photographs, and other documents or information resulting from the investigations;

(7) facilities and plans for stabilization and preservation of perishable or unstable artifacts;

(8) the person or position in the institution or agency with responsibility for curation of artifacts, records, and other documentation or information who will determine access to this material; and

(9) The principal investigator's plans, if any, for dissemination of the results of the investigation in addition to the reporting requirements in Rule .0713 of this Section.

History Note: Statutory Authority G.S. 70-13(a), (b); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0706 QUALIFICATIONS FOR PERMITS

Applicants for Specific or General Permits to conduct archaeological investigations must be qualified, as evidenced by training, education and experience, possess demonstrable competence in theoretical and methodological design, and in collecting, handling, analyzing, evaluating, and reporting archaeological data, relative to the type and scope of the investigations proposed, and meet the following minimum qualifications:

(1) Have a postgraduate degree, or equivalent training and experience, in archaeology, anthropology, and history or another related field with a specialization in archaeology; and

(2) Have a minimum of one year's experience in conducting basic archaeological field research.

History Note: Statutory Authority G.S. 70-13(a); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0707 ISSUANCE OF PERMITS

(a) The Secretary of the Department of Administration or his designee, after consultation with the Secretary of the Department of Cultural Resources or his designee and the land controlling agency, has decision-making authority concerning the issuance of a Specific Permit. The Specific Permit will be issued or denied within 30 days after submission of the completed application.

(b) Specific Permits will not be issued to persons who have conducted emergency archaeological investigations until receipt and acceptance of a final report pursuant to Rules .0712 and .0714 of this Section.

(c) General Permits will be issued to a land controlling agency within 30 days following submission of the completed application provided the terms and requirements of these rules pertaining to General Permits are fulfilled.

History Note: Statutory Authority G.S. 70-13(b); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0708 TIME LIMITS OF PERMITS

(a) The Secretary of the Department of Administration or his designee will issue General Permits for five years from the date of issuance. Specific Permits shall be for an appropriate period not to exceed three years.

(b) A permittee may apply for permit renewal by following procedures under Rule .0705 of this Section.

(c) The Secretary of the Department of Administration or his designee, after consultation with the Secretary of the Department of Cultural Resources or his designee, and the head of the land controlling agency or his designee, may extend Specific Permits for up to six months, renew Specific Permits for up to three additional years, or renew General Permits for a period of five years, after review of extension requests or renewal applications and evaluation of past performance of the applicant.

(d) The Secretary of the Department of Administration or his designee may extend a Specific Permit only once, but may renew a Specific Permit any number of times.

(e) The Secretary of the Department of Administration or his designee, in consultation with the Secretary of the Department of Cultural Resources or his designee and the land controlling agency, shall review, at least annually, the permittee's performance under any permit issued for a period greater than one year:

(1) For Specific Permits, the review is made through interim reports submitted by the permittee or through inspections at the locations of the investigations. (2) For General Permits, the review is made through annual reports prepared by the land controlling agency's principal investigator.

History Note: Statutory Authority G.S. 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0709 TERMS AND CONDITIONS OF PERMITS

(a) In all permits, the Secretary of the Department of Administration or his designee shall specify:

(1) the exact nature and extent of the investigations allowed under the permit, including the time, duration, scope, location, and purpose of the investigations;

(2) the name of the individual responsible for conducting the investigations and, if different, the name of the individual responsible for carrying out the terms and conditions of the permit;

(3) the name of the land controlling agency, university, museum or other scientific or educational institution in which any collected materials and data will be deposited; and

(4) the reporting requirements and schedule according to Rules .0712 or .0713 of this Section.

(b) The Secretary of the Department of Administration or his designee may specify terms and conditions necessary to ensure public safety and to protect other resources, both natural and cultural, to safeguard other legitimate land uses, and to limit activities incidental to investigations authorized under a permit.

(c) State Officials from the Department of Administration, Department of Cultural Resources, the land controlling agency and any other agencies involved in consultation or approval of a permit may make inspections at the permit location as necessary to ensure that the terms and conditions of the permit are fulfilled.

(d) After receipt of an approved permit, the permittee must notify the Secretary of the Department of Administration or his designee in writing within 15 days of his acceptance of the terms and conditions of the permit.

(e) The permittee will be responsible for securing the project area and will hold the Department of Administration, the Department of Cultural Resources and the land controlling agency harmless for any and all claims arising out of the project.

(f) The Department of Administration, the Department of Cultural Resources, and the land controlling agency will be held harmless for any trespass of or damage to adjacent private property caused by the permittee under the permit.

(g) The permittee shall sign a waiver of all claims against the Department of Administration, the Department of Cultural Resources, and the land controlling agency.

(h) The permittee will be held responsible for any damage to state property resulting from the permitted investigations.

(i) The permittee shall submit evidence of liability insurance upon acceptance of the terms and conditions of a permit.

(j) Archaeological investigations conducted under the auspices of a permit shall comply with all applicable state, federal, or local regulations of the land controlling agency. All such investigations shall conform with the management plans and operation practices of the land controlling agency.

(k) All physical access to state-owned lands during permitted investigations shall be controlled by and coordinated with the land controlling agency and the site specific land manager.

(l) All project lands will be restored to their pre-project condition by the permittee by the conclusion of the field investigations.

(m) The land controlling agency shall report simultaneously in writing to the Secretary of the Department of Administration and the Secretary of the Department of Cultural Resources any change in the status of either the principal investigator or the field director for which a General Permit was issued within ten days of that change.

History Note: Statutory Authority G.S. 70-13(a), (b); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0710 PERMIT DENIAL: SUSPENSION AND REVOCATION

(a) A permit shall be denied if the Department of Administration, in consultation with the Department of Cultural Resources and the land controlling agency, finds that:

(1) the proposed investigations would represent a significant adverse effect to a unique or fragile natural resource;

(2) the proposed investigations would interfere with the operation and management of an area;

(3) the proposed investigations would pose a threat to the safety of visitors to an area;

(4) the criteria set forth in G.S. 70-13 (b)(1) through G.S. 70-13 (7) have not been met by the applicant;

(5) the applicant, pursuant to a previous permit, has not met the purposes of the law as set forth in G.S. 70-11

(b) or G.S. 70-18; or

(6) the applicant has not completed the terms and conditions of a previous permit.

(c) A permit may be suspended or revoked if the Department of Administration, in consultation with the Department of Cultural Resources and the land controlling agency, finds that;

(1) the terms and conditions of the permit have been or are being violated; or

(2) the confidentiality of information relating to the nature and location of the archaeological resources is not maintained in accordance with the provisions of G.S. 70-18.

History Note: Statutory Authority G.S. 70-13(b), (e); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0711 APPEALS RELATING TO PERMITS Any person may appeal permit issuance, denial, suspension or revocation through appeals procedures established in Article 3 of G.S. 150B.

History Note: Statutory Authority G.S. 70-14; 150A-23 through 150A-37;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0712 REPORTING REQUIREMENTS FOR SPECIFIC PERMITS

(a) Reports are required for all archaeological investigations conducted under Specific Permits. All reports are to be submitted simultaneously to the Secretary of the Department of Administration, the Secretary of the Department of Cultural Resources and the head of the land controlling agency.

(b) The permittee must submit a preliminary field report within 60 days after completion of the on-site archaeological investigation. Preliminary field reports resulting from emergency archaeological investigations shall specify a date for submission of the draft report.

(c) Final reports concerning archaeological investigations and emergency archaeological investigations shall be submitted by the end of the calendar year that immediately follows the year in which the archaeological investigations were conducted.

(d) The principal investigator, in consultation with the Secretary of the Department of Administration or his designee and the Secretary of the Department of Cultural Resources or his designee, may delay the submission of a final report until an agreed upon date.

(e) The principal investigator shall:

(1) provide information concerning the permanent physical location of artifacts, records, and all other documentation for all archaeological investigations;

(2) maintain an itemized list of all recovered archaeological resources by type, variety, material or other appropriate description, and a list of accession numbers or other permanent identifiers applied to the recovered resources; and

(3) maintain an itemized list of records, photographs and other documents, and a list of accession numbers or other permanent identifiers applied to the records and data.

(f) As a condition of renewing a General Permit, the Secretary of the Department of Cultural Resources or his designee may require an inspection of the record and resource repository or management system.

History Note: Statutory Authority G.S. 70-13(c); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0714 REPORT REVIEW FOR SPECIFIC PERMITS

(a) The Secretary of the Department of Cultural Resources or his designee and the land controlling agency shall review all draft and final reports for Specific Permits to ensure that the investigations serve the public interest and the reports meet professional standards. The Secretary of the Department of Cultural Resources or his designee may request revisions of the draft or final reports. Terms and conditions of a Specific Permit are considered satisfied only after revisions have been completed and the report accepted.

(b) The Secretary of the Department of Cultural Resources or his designee and the land controlling agency have 60 days after receipt to review and comment on draft reports and return written comments to the Secretary of the Department of Administration or his designee and the permittee.

(c) The permittee has 30 days to revise the draft report before submission of the final report.

History Note: Statutory Authority G.S. 70-13(c); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0715 REPORT REVIEW FOR GENERAL PERMITS

(a) The Secretary of the Department of Cultural Resources or his designee shall review the final reports for General Permits to ensure that the reports meet professional standards. The Secretary of the Department of Cultural Resources or his designee may request revisions of the final report to ensure professional standards are maintained.

(b) The Secretary of the Department of Cultural Resources or his designee has 30 days after receipt to review and comment on reports and return written comments to the Secretary of the Department of Administration or his designee, the land controlling agency and the principal investigator.

(c) The principal investigator has 30 days to revise the final report.

History Note: Statutory Authority G.S. 70-13(c); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0716 CUSTODY OF RESOURCES UNDER THE TERMS OF A SPECIFIC PERMIT

(a) The archaeological resources and associated records and data which are collected, excavated or removed from state lands under the terms of a Specific Permit shall remain the property of the State of North Carolina. The location of all records, artifacts, or other materials cannot be changed from that approved in the permit without prior approval of the Secretary of the Department of Cultural Resources or his designee and the land controlling agency. This restriction does not apply to temporary removal and relocation of artifacts or records for the purposes of scientific, historical, or educational research, nor for purposes of public display or education, so long as the artifacts or records remain under the direct control of and within the physical boundaries of the museum, university, or scientific or educational institution approved in the permittee's application.

(b) All records and artifacts must be accessible for scientific, historical, or educational research, if access does not compromise the confidentiality of the nature and location of any archaeological resources or pose a risk of harm to the resources or site. Access shall be determined by that person identified in Rule .0705(b)(13) of this Section.

(c) Transfers or loans of records and artifacts between universities, museums, and scientific or educational institutions must be approved by the Secretary of the Department of Cultural Resources or his designee and the land controlling agency and must be preceded by demonstration that the receiving institution conforms to the conditions in this Rule. In addition, the Secretary must have been provided the information outlined in Rule .0712(f) of this Section.

History Note: Statutory Authority G.S. 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0717 CUSTODY/ARCHAEOLOGICAL RESOURCES UNDER/TERMS: GENERAL PERMIT

(a) Under the terms of a General Permit, the location of all records, artifacts or other materials cannot be changed from that approved in the permit without prior approval of the Secretary of the Department of Cultural Resources or his designee. This restriction does not apply to temporary removal and relocation of artifacts and records for the purposes of scientific, historical, or educational research, nor for purposes of public display or education, so long as the artifacts or records remain under the direct control of the principal investigator or the land controlling agency.

(b) All records and artifacts must be accessible for scientific, historical, or educational research, if access does not compromise the confidentiality of the nature and location of any archaeological resources or pose a risk of harm to the resources or site. Access shall be determined by that person identified in Rule .0705(c)(8) of this Section.

(c) Transfers or loans of records and artifacts between land controlling agencies, universities, museums, and scientific or educational institutions must be approved by the Secretary of the Department of Cultural Resources or his designee and must be preceded by demonstration that the receiving institution conforms to the conditions in this Rule. In addition, the Secretary must have been provided the information outlined in Rule .0713(c) of this Section. This condition does not apply to the movement of artifacts within a land controlling agency, as long as the artifacts remain under the direct control of the principal investigator and the land controlling agency.

History Note: Statutory Authority G.S. 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989.

.0718 CONFIDENTIALITY
Information concerning archaeological resources that is maintained by the Department of Cultural Resources has restricted distribution. Access to records, artifacts, or other materials may be denied if it is determined that access constitutes a risk of harm.

History Note: Statutory Authority G.S. 70-14; 70-18;
Eff. February 1, 1985;

.0719 ADDITIONAL REQUIREMENTS FOR A GENERAL PERMIT

History Note: Statutory Authority G.S. 70-13(c); 70-14;
Eff. February 1, 1985;
Amended Eff. June 1, 1989;
Repeated Eff. June 8, 1989.