5 TH EDITION JANUARY 1 ST, Guidelines for ARCHAEOLOGICAL INTERVENTIONS

Transcription

1 5 TH EDITION JANUARY 1 ST, 2018 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

2 INTRODUCTION Archaeological interventions are often irreversible encroachments upon our surviving archaeological heritage. In the aftermath of an archaeological excavation, for example, earthbound remains of original, authentic archaeological monuments are only occasionally left behind; an archaeological excavation on the other hand usually brings portable monuments (= archaeological finds and/or samples) to light, while creating a site record. These earthbound and portable objects together with the site record represent thereafter the through the archaeological intervention changed or destroyed archaeological monument (= archaeological find site) and fulfil its function as a historical source. They should therefore continue to be seen as an integrated part of the archaeological heritage and be preserved as such. The Guidelines for Archaeological Interventions aim to assist the planning and execution of archaeological interventions (=archaeological prospections and excavations) and allude to organisational and heritage law necessities. Certain requirements in these Guidelines for Archaeological Interventions will first become legally valid on being accepted as a requirement in the notification of approval by the Federal Monuments Authority in accordance with 11 Heritage Protection Law (Denkmalschutzgesetz, DMSG) of September 25 th, 1923, BGBl. Nr. 533/1923, in the present version BGBl. I Nr. 92/2013. These requirements constitute a general formulation of the restrictions, requirements and special provisions [ ] to do with the [ ] the implementation, compulsory notification, supervision etc. of archaeological interventions and determine among other things which information should be collected and how it is to be recorded, which documents are to be prepared, and also the correct procedure in dealing with the material remains of archaeological sites. Deviations from these Guidelines for Archaeological Interventions may be appropriate due to particular framework conditions, finds situations or project aims or become necessary due to exterior conditions. In the case of 2 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

3 archaeological interventions requiring a permit, the applicant should explain in full the professional reasons for deviations from these Guidelines for Archaeological Interventions in the concept accompanying the application for a permit according to 11 DMSG, in as far as these reasons are known before the beginning of the project. This edition of the Guidelines for Archaeological Interventions, which becomes valid on January 1 st, 2018, is based on repeated evaluation of the Guidelines for Archaeological Excavations in Austria, which were introduced in early 2010, and draws upon the discussion results and text suggestions of the Working Party Guidelines for Archaeological Excavations in Austria, which met between 2010 and 2013 and which was coordinated by the Federal Monuments Authority, but consisted almost entirely of external specialists, and also upon later internal and external evaluations. The continuous development of science and technology necessitates a regular updating of these guidelines and for this reason suggestions for future editions are welcome and should be submitted to the Department of Archaeology of the Federal Monuments Authority (archaeo@bda.gv.at). The Federal Monuments Authority is as a government department responsible only for the application of Heritage Protection Law and these guidelines therefore include no instructions regarding other legal regulations to do with the planning and execution of archaeological interventions, which may have to be taken into account. The project manager is therefore personally responsible for taking into account civil law (e.g. the permission of the landowner) and administrative law (e.g. concerning health and safety, building sites coordination, proof of specialist qualification, forestry law, environmental protection) regulations. Permission under Heritage Protection Law does not replace the agreement to be reached under civil law (e.g. with landowners) or the permits necessary from other official bodies. Guidelines for ARCHAEOLOGICAL INTERVENTIONS 3

4 TABLE OF CONTENTS 1 Application for the issue of a permit according to 11 DMSG Necessary accompanying documents (concept, intervention area, extracts from the land register) Title of the intervention and intervention number 7 2 Definition of the intervention and compulsory notifications Archaeological prospection Prospection methods not requiring a permit Archive research Aerial photography Airborne Laser Scanning Archaeological-topographic area survey Prospection methods demanding a permit Archaeological survey Geophysical prospection Core sampling and drilling Archaeological Excavation Topsoil excavation and test trenches Anthropology Bio- und Geosciences Palaeolithic and Mesolithic periods Buildings Archaeology Underwater and wetland archaeology Mining archaeology and excavations below ground Compulsory notifications Start of fieldwork End of fieldwork Completion of the intervention Unexpected or outstanding features or finds 20 3 Surveying 21 4 Site Record as required Plans Written documentation Photographic documentation Data backup 31 4 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

5 5 Finds processing and recording Labelling and packing Recovery Organic materials Block excavation 35 6 Required reports and the site record Reports Site record 39 7 File formats 42 8 Folder structure 43 9 Abbreviations Forms, protocol sheets and lists (Appendix) 45 Application for the issue of a permit according to 11 DMSG 46 Prospection concept 48 Excavation concept 50 Cover page 52 Surveying protocol (conventional) 53 Surveying protocol (GPS) 54 Context list 55 Context recording sheet 56 Timber recording sheet 57 Masonry recording sheet 58 Human remains recording sheet 60 Object list 62 Object group list 63 Metadata protocol 64 Handover protocol excavation 65 Handover protocol prospection 66 Closing remarks 68 Guidelines for ARCHAEOLOGICAL INTERVENTIONS 5

6 1 APPLICATION FOR THE ISSUE OF A PERMIT ACCORDING TO 11 DMSG A precondition for archaeological activities requiring a permit is a notification of approval from the Federal Monuments Authority according to 11 Section 1 DMSG. The project manager (applicant following the DMSG) is responsible, following these Guidelines for Archaeological Interventions, for ensuring that all tasks before, during and after an archaeological intervention requiring a permit (excavations and other on-site researches aimed at discovering and analysing earthbound and portable monuments beneath the service of the ground or underwater according to 11 Section 1 DMSG) are planned and guaranteed in terms of time, staff and finances. All work should concur with up-to-date technical standards and be appropriate to the state of research. This should be made clear among other places in the intervention concept accompanying the application for the issue of a permit according to 11 DMSG. An application for the issue of a permit according to 11 DMSG (= excavation permit, prospection permit ) should be submitted punctually (i.e. in almost all cases at least six weeks before the begin of the intervention) in German to the Federal Monuments Authority. To ensure the prompt processing of the application the form Application for the issue of a permit according to 11 DMSG should be used (available from the website: The application can be submitted by , post or as a fax. In order to ensure its speedy processing the application should be sent directly to the staff member of the Department of Archaeology responsible for the federal region in which the intervention is to take place. 1.1 Necessary accompanying documents Concept A concept (= a project description) for the implementation of the intervention is to be submitted with the application in each case. This should lay out the aims of the project, the methods to be employed in the intervention and during documentation, the position and dimensions of the invasive measures planned (e.g. of the topsoil excavation, test-trenching or the maximum intended excavation depth), the logging and conservation/restoration of finds and features and also the preparation of a report on the basis of the current Guidelines for Archaeological Interventions. If the applicant intends to deviate from of the current Guidelines for Archaeological Interventions, then the professional reasons for this should be explained in full. Scrutiny of the application by the Federal Monuments Authority will take account of the concept, among other factors, and any conditions attached to the permit will be adjusted accordingly. The forms (excavation concept and prospection concept) provided must be used (available from the website: If the archaeological monument affected by the excavation is listed under the law, then the concept must deal in detail with the necessity for the encroachment and with planned conservation/presentation/restoration measures. This is because the Federal Monuments Authority is required to consider the public interest in the preservation of archaeological and other monuments on one hand and the interests/concerns of the applicant on the other, and is then required to approve changes in an additional permit (according to 5 DMSG), with specific conditions if necessary. 6 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

7 In as far as the Federal Monuments Authority is not already aware of his/her qualification or experience, the applicant should include in the concept proof of his/her professional qualification according to 11 Section 1 DMSG (i.e. a degree in a relevant subject such as Pre- and Early History, Provincial Roman or Classical Archaeology, Medieval Archaeology) and also sufficient evidence of their practical experience in the implementation of relevant archaeological interventions. If the intervention as proposed requires specialist knowledge (see the relevant regulations in this edition of the Guidelines for Archaeological Interventions, Chapters 2.2.2, 2.2.3, 2.2.4, 2.2.5, 2.2.6, 2.2.7, 5), then proof of this should also be included in the form of an up-to-date reference list for the last five years, outlining projects, project length and role/activity, from the applicant or failing that from staff members taking part in the intervention. If possible, details of an agreement with the owner of the finds about the planned future whereabouts of the funds (according to 399 and 400 ABGB) should be included. Plan of the intervention area(s) A plan of the intervention area(s) on the basis of the cadastral plan must be submitted with the application in every case. In the case of prospections covering a particularly large area an extract of a map showing the prospection area may replace the cadastral plan. Extracts from the land register Up-to-date extracts from the land register must be included for all plots affected by the proposed intervention. If extensive prospections (see Chapter 2.1.2) covering more than 15 adjoining plots are involved, then the inclusion of extracts for the land register may be waived in order to avoid unnecessarily extensive administration. 1.2 Title of the intervention and intervention number In the application for the issue of a permit according to 11 Section 1 DMSG the applicant must suggest a clear and brief title of the intervention to the Federal Monuments Authority. Titles of sites and archaeological and other monuments which are common in the relevant literature, in specialist circles or in the publications of the Federal Monuments Authority should be given priority. Following this the Federal Monuments Authority will inform the applicant in the approval notification of an intervention number for the intervention concerned, consisting of the number of the cadastral community, the calendar year and a consecutive number. Prospection, topsoil excavation and a possible following excavation are separate interventions, which are therefore allocated separate numbers. The intervention number and title should afterwards be included in or on all documents prepared (protocol sheets, plans, photo board, finds labels, finds packaging, site reports etc.). Guidelines for ARCHAEOLOGICAL INTERVENTIONS 7

8 2 DEFINITION OF THE INTERVENTION AND COMPULSORY NOTIFICATIONS 2.1 Archaeological prospection Archaeological prospection, as the wide-ranging recording of the material remains of humans and of the paleo-environment, serves to discover and identify potential find sites and areas and to determine their archaeological relevance and potential. All methods of archaeological prospection are only able to demonstrate the presence of archaeological structures. There is at the moment no accepted prospection method, which can prove the absence of archaeological structures with certainty. In most cases, a prospection appropriate to the project concerned should be carried out before every archaeological excavation Prospection methods not requiring a permit Archive research Archive research is basic research, which should be carried out to an appropriate extent according to the circumstances involved. This includes not only the standard archaeological archives (Federal Monuments Authority, federal and regional museums, Austrian Academy of Sciences, Austrian Archaeological Institute, universities, local museums etc.), but also historic and specialist archives (above all the regional archives, the lagerstatten archive of the Geological Survey of Austria), mining office archives, collections of maps, for example at the Federal office for Meteorology and Surveying (BEV), data bases of the Geological Survey (mining and slag heap inventory, Central List of Mining Maps in Austria) and others. Buildings archaeological investigations include the accessing of written (e.g. house records, historic documents) and pictorial sources (e.g. cadastral plans, building plans, historic pictures, photos) Aerial photography Examination of orthogonal and angled pictures in relevant aerial photography archives (e.g. departments of the regional governments, Federal Office for Meteorology and Surveying (BEV), Aerial Photography Archive, Google Earth, Bing-Maps), overflying at an appropriate time in order to take orthogonal or angled pictures. Suitable, high-quality cameras are employed. The flight route is recorded with a GPS tool. All available aerial photos should be archaeologically evaluated. The collection of the following meta data is recommended when examining aerial photos: number of flights; aerial photos used; 8 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

9 distinct cipher of each picture; archive/provider; date; orthogonal/angled; scale (for orthogonal pictures); flying machine (aeroplane/drone/kite/other); sensor (camera/ahs/other); data carrier (b/w film, colour slides, digital-raw etc.); specifically taken for the project (yes/no) Airborne Laser Scanning Generation, evaluation and archaeological interpretation of terrain models on the basis of airborne laser scanning. If in a wooded or alpine area no data are available, then a laser scan should be carried out by an suitably qualified company. The data should be evaluated with the help of terrain models and methods deriving from them (shading from different directions, slope gradient, local relief model etc.). It is recommended that the following meta date are collected when evaluating airborne laser scans: archive/provider; resolution; shooting date (optional); sensor (conventional/full form); streak adaptation (if available or known); filtering (general filtering/special archaeological filtering); terrain model (point cloud yes/no); visualisations (shading/slope/local relief model/openness/other) Archaeological-topographic survey Archaeological-topographic survey aims to portray interpretatively all terrain features artificial and natural in their physiographical environment with the help of geodetically determined measure points. Recording accuracy Guidelines for ARCHAEOLOGICAL INTERVENTIONS 9

10 should be no less than 0.5 m. The scale of analogue plans produced should be no less than 1: Prospection methods demanding a permit Invasive i.e. prospections which involve the disturbance of the ground, and also systematic prospections as on-site researches aimed at discovering and analysing earthbound and portable monuments beneath the service of the ground or underwater require a permit under 11 DMSG. In the case of an archaeological monument listed under heritage law, even the removal of portable components (archaeological finds) from the surface of the monument needs a permit under 5 DMSG. For prospections requiring a permit the methods chosen and the intended course of the intervention should be laid out in the prospection concept (see Chapter 1.1). Prospection always takes place in a specific area; the depiction of the results geo-referenced in the Austrian reference system MGI (Military-Geographical Institute) with Gauß-Krüger coordinates is obligatory. All available metadata for each of the different prospection methods should be recorded and submitted. The significance of the results should be represented in one of four grades (1 very good, 2 good, 3 not very good, 4 bad) and form the final part of the reports to be submitted. The evaluation parameters for this view should be explained in the text. The following prospection methods requiring a permit are possible according to the circumstances in each particular project: Archaeological survey Everything which indicates archaeological features or the paleo-environment (vegetation, colourations of the soil, concentrations of finds, non-local stone, embankments, terracing, paths etc.) should be logged. Morphology, visible structures, sites suitable for settlement and the modern use of the land should be depicted, photographically documented and verbally described, and field conditions (vegetation, accessibility, weather, light, plough depth and direction etc.) also noted, as should any pits or cuttings showing the structure of the ground. The position of finds objects, collected during prospection or by the use of a metal detector, for example, should be recorded. Work below water surfaces should follow the same general principles. The planned use of metal detectors is an excavation under heritage law and should be included in the prospection concept (=project description). Surveys should take place at an appropriate time (soil moisture, weather, crops etc.). The documentation of the metadata should be taken very seriously, with both the accuracy of the survey and the survey method being recorded. 10 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

11 The technical master plan should show the surfaces analysed, the surfaces which could not be entered and also the destroyed areas. The intervention polygon should include all surfaces. The location of relevant topographic and morphological features should be recorded within the framework of the survey with a precision of at least 5 to 10 metres. Archaeologically relevant indicators (crop marks, colourations of the soil, signs of erosion and accumulation, non-local stone, conspicuous features, particular finds concentrations etc.) should be located with the same or greater accuracy. The following survey methods may be used, dependant on the questions being asked and the topographic situation: Free fieldwalking If linewalking or grid survey is neither technically or methodically appropriate, fieldwalking without an exact pre-planned route may be employed in alpine or wooded conditions and when special questions are being asked. The method employed and the type and methods of finds collection, should be documented, as is the case with linewalking or grid survey. The course of the survey should be recorded by GPS tracking. Linewalking When linewalking the search lines should be recorded by a hand-held GPS calibration device or more accurate systems, with line lengths, distance between lines, collections strategy, ground visibility (estimated in percent) and surface conditions (agricultural use/type of vegetation, wetness of the area surveyed etc.) also being documented. Mapping should take place with an accuracy of at least the half of the distance between the lines. The procedure employed in recording artefact distribution should be explained. Grid survey The intervention polygon and the number, position and size of the grid squares should be plotted exactly according to Chapter 3 of the Guidelines for Archaeological Interventions (in the edition valid at the time). The size of the grid squares used is dependent on the questions asked. The survey times, and the number of people employed per grid square, should also be recorded, as should the collections strategy, search procedure (movement), ground visibility (estimated in percent) and surface conditions. The procedure employed in recording artefact distribution should be explained Geophysical prospection Compilation and evaluation of all relevant information (archives, aerial photography, airborne laser scanning, surveys etc.) to select suitable survey areas and the survey method(s) should take place in advance. The surrey must take place at an appropriate time (ground condition, weather, crops etc.). It should be remembered that geophysical prospection is not possible when there is more than minimal disturbance from neighbouring electromagnetic transmitters (antenna, mobile telephone, radio transmitters etc.). Guidelines for ARCHAEOLOGICAL INTERVENTIONS 11

12 The surfaces surveyed should be portrayed in the Austrian reference system MGI (Military-Geographical Institute) with Gauß-Krüger coordinates (see Chapter 3). Accurate graphics, which include and interprets all archeologically relevant material from the survey data should be prepared and included in the technical master plan. Geomagnetics and ground radar should employ or follow closely in content the form Metadata protocol (Chapter 10) when recording metadata. Geomagnetic survey In appropriate conditions (sufficient measurable contrast between an archaeological structure and its surroundings, relatively undisturbed geology and not too great a depth of stratification) magnetic archaeological survey of open areas can be used to record efficiently archaeological structures such as ditches (fortifications, borders), pits (sunken-featured buildings, graves, postholes), walls (foundations), drainage, hearths and ovens. Archaeological geomagnetic survey in urban areas, which are magnetically heavily contaminated or affected by modern structures, installations, earthbound fixtures or traffic, is rarely appropriate and should therefore be justified at length. Modern magnetometers with an effective resolution of no more than 0.3 nt are a prerequisite of geomagnetic prospection for archaeological purposes. The distance between the measuring points should be no more than 16 cm in the profile line and 50 cm in depth. If a differential Global Navigation Satellite System (GNSS) or a robotic total station with centimetre accuracy cannot be used for positioning of the measurements (and not only the surface measured!), then the measurements should be taken along lines laid out on the ground, the exact position of which is known. So-called scanning methods, as sometimes still used in the Anglo-Saxon area and in which the data are not recorded for mapping purposes, are not modern or professional methods of measurement and should not be employed as the results are not reproducible. Archaeological magnetometer survey should be carried out in a gradiometer or variometer configuration. Non-compensated total survey or field component measurement are not sufficient for exact archaeological prospection; if used, this should be explained. The recommended minimum area for a magnetic prospection is a hectare (10,000 m²). If smaller areas are magnetically surveyed, then this too should be justified, as magnetic survey data from a small area can only be used to delineate and interpret typical archaeological structures with difficulty. Magnetometer data should be displayed in grey-scale illustrations. Gradation in 254 grey scales is sufficient. Contour lines or colour illustrations are only suitable, if specific data areas are to be emphasised or marked in colour. The reasons for their use should be given. The data should be visualised in several grey-scale images with the help of suitable thresholds (e.g. -2/+4 nt, -6/+8 nt, -12/+16 nt for black-and-white cut-off limits), so that the amplitude range can be shown comprehensively and understandably. Inverted grey-scale images 12 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

13 should also be generated. The value range displayed must be indicated. All maps should include a size scale and a north arrow. Ground radar In suitable conditions (usually sandy, humus-type soil without too much clay and not too damp) archaeological ground radar measurement and the use of professional ground radar systems with a frequency range appropriate to the questions asked (the frequency range of the radar pulse emitted has consequences for the penetration depth and the resolution capability of the ground radar procedure) can be successfully used for the non-destructive detection and charting of context borders (levels, borders between stratigraphic features such as ditches or pit fills, walls, foundations, cables and pipes, cavities). The effectivity of ground radar can be severely hampered by electrically conductive soils (clayey/silty, damp soils, salty subsoil) which limit the depth to which the radar signals can penetrate. Ground radar provides by far the greatest amount of evaluable data (per surface point) in comparison to other near-surface geophysical prospection methods and is the only procedure which allows a relatively exact measurement of the depth of the structures detected. Ground radar survey should be carried out exclusively with certified and officially authorised antenna systems. The choice of measuring system and of antennas (i.e. of frequency spectrum) should be explained with reference to the questions and problems being addressed. If a ground radar antenna with a middling frequency of 400 MHz or 500 MHz is used, then the distance between the parallel profile lines should not be more than 25 cm. Antenna systems with a higher frequency demand closer profile spacing. The use of greater distances between profiles should be justified. Surveys which use only single profile lines should only take place in exceptional cases and must be explained carefully, as such a procedure is generally insufficient for archaeological purposes. The recommended minimum area for ground radar survey at a profile distance of 25 cm is 2,500 m². The archaeological interpretation of data from smaller areas is often very difficult, as in such cases there is not sufficient space to correctly identify and classify anomalies and other structures. Ground radar data should be displayed in grey-scale illustrations (see above, display of magnetometer data). Map images of depth slices should include a size scale and a north arrow. Ground resistance measurement Measurement of apparent electric resistance can be used to separate areas of greater (e.g. masonry) from lesser resistance (e.g. relatively loosely compacted fills of ditches or large pits). So-called tomographic measurement of ground resistance with the help of multielectrode displays provides information about the depth of deposits and structures below ground. Guidelines for ARCHAEOLOGICAL INTERVENTIONS 13

14 If ground resistance measurement is used instead of the in most cases more efficient ground radar, then this should be argued plausibly (e.g. when ground radar cannot penetrate deeply enough because of the conductivity of the earth). The distance between electrodes in ground resistance measurement should not exceed 50 cm. Greater distances should be explained with reference to the structures to be measured. Electromagnetic Induction Measurement (EMI) Electromagnetic Induction Measurement (EMI) can supply archaeological projects with relevant information about apparent ground resistance and the magnetic susceptibility of the subsoil. The advantage of EMI is that the method does not necessarily need contact with the ground, and can therefore be applied efficiently, while at the same time delivering useful data in areas and environments in which ground radar cannot penetrate deeply enough for the radar pulse because of a high level of electric conductivity in the ground. New instruments make it possible to record several prospection depths at one time, thus allowing the generation 3D maps of the area below ground Core sampling and drilling Core sampling and drilling of every type should be carried out in sufficient density, as positive proof of a relevant layer confirms its existence, but a negative result does not rule out its presence. Every drilling profile should be recorded verbally, graphically and photo graphically. Its position should be shown in a cadastre-based map and in three dimensions. 2.2 Archaeological Excavation Excavation should take place exclusively within the permitted intervention area. All excavations should employ the stratigraphic method. The smallest organisational entity is the unit of stratification (stratigrafische Einheit, SE) or context. Each unit of stratification should be recorded and given its own consecutive number in Arabic numerals. The relationships between the contexts should be portrayed in a documentation system (e.g. matrix). Context numbers should appear on all records and forms, which document the units of stratification, and also on finds labels, finds lists, photo boards etc. If the intervention area is divided into smaller units during the course of the excavation, then such areas (trenches) should be numbered consecutively in Arabic numerals. In the course of preliminary interpretation on-site, several contexts may be united as an object. Affiliation to an object should also be recorded. Objects should be named according to their interpretation (e.g. Posthole, Pit, Grave, House etc.) and given a consecutive number in Arabic numerals within that category. The object title and number should appear on all documents in which the object is recorded, and also on finds labels, finds lists, photo 14 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

15 boards etc. Several objects may be combined to form an object group (e.g. the object posthole can be part of the object group house ) Topsoil excavation and test trenches In some cases it may be beneficial to remove the topsoil before the begin of the actual archaeological excavation. Topsoil excavation allows the more exact delineation of the extent and the depth of the archaeological features. Topsoil excavation should be carried out on a scale sufficient to lead to meaningful information. At least 20 % of the area to be investigated should be affected. In stratigraphically complex situations it may also be appropriate to excavate one or more test trenches or test pits in advance of the actual archaeological excavation. Test trenches help to define the stratigraphic sequence of an archaeological site Anthropology Human dignity should always be borne in mind when dealing respectfully with cremated or non-cremated human remains. Every excavation should be accompanied anthropologically. If human remains are found unexpectedly during other excavations, then expert assistance should be arranged in agreement with the Federal Monuments Authority. Anthropological support can be provided by specialists, who have had relevant anthropological/anatomic/osteological training or can show proof of praxis in this area. The form Human remains recording sheet should be used or accepted in terms of content Bio- und Geosciences Archaeological and geo-archaeological finds and also scientific samples from an archaeological intervention are to treated as archaeological finds, particular with regard to their documentation and the record of their location on site. Recovery or sampling should take place in a fashion which ensures that the material can still be allocated to a unit if stratification. If an archaeological or geo-archaeological find cannot be salvaged in its entirety then a representative sample should be taken. The sampling strategy should be based on the scientific questions being asked and the particular characteristics of the finds site. Archaeobotanic samples should be processed promptly during the course of the intervention. Packaging and storage should not allow mould, secondary contamination is to be avoided. Guidelines for ARCHAEOLOGICAL INTERVENTIONS 15

16 Sediment analyses Whether or not sampling takes place, and if so of what type (e.g. sediment samples to investigate grain size or mineralogical composition, sediment thin sections etc.), should be decided on site. This is the responsibility of the permit holder. In case of doubt the Federal Monuments Authority and a geo-archaeologist should be consulted. Petrographic analysis All rock types encountered during the course of the intervention should be recorded and sampled with reference to the scientific questions being asked. Archaeozoology Larger remains should be cleansed with a soft brush and water and afterwards left to dry slowly (no direct sunlight). Care should be taken that they are properly dry before packing. Palaeolithic bone remains and bone artefacts from wetland settlements in particular need special treatment and/or hardening. Under no circumstances should incrustations and sintering be removed with acidic substances. The smallest finds and micro-remains cannot usually be spotted with the naked eye and have to be extracted from samples by sieving or wet sifting. Representative sample sizes are: in cases of low finds density at least 10 litres; by high finds density 1 litre. Archaeobotany Archaeobotanic support is recommend for settlement excavations, but for wetland excavations it is mandatory. Archaeobotanic support can be provided by specialists, who have had relevant botanic training or can show proof of praxis in this area. Archaeobotanic finds and samples should be stored in conditions which are similar to those in which they were in before they were salvaged. Finds should be kept in pressure-resistant packaging. Representative sample sizes are: for larger remains (e.g. seeds) 10 litres (if sufficient material is available) or the entire unit of excavation; micro-remains (e.g. pollen) 1 tablespoon (contamination with recent material should be avoided, sampling may take place with drill cores). Wood and charcoal analysis If the salvaging of an entire object (e.g. a well) is impossible or unnecessary, then in addition to sampling for wood type or dendrochronology, a sample should be taken at a constructively important point (e.g. corner joint). 16 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

17 Representative sample sizes are: Wood type: pieces at least 3 mm large from a representative number of archaeologically differentiable single parts (e.g. trunk, branches, beams etc.); Dendrochronology: a large number of large wood or charcoal fragments, no less than 50 growth rings per sample, sampling to take place at a point with as many growth rings a possible (preferably including the wane); radiocarbon analysis with AMS dating: < 20 mg; radiocarbon analysis (conventional): > 20 mg. Radiocarbon samples should ideally be held in vials, but can also be packed in aluminium foil. They should not packed in synthetic materials. Mortar and plaster analysis The extraction of a mortar or plaster/render sample from every construction context is recommended in principle. The necessity and type of sampling should be decided on site. This is the responsibility of the permit holder. In case of doubt the Federal Monuments Authority should be consulted Palaeolithic and Mesolithic periods Palaeolithic and Mesolithic sites are often marked by very selective find conservation. Sometimes only stone artefacts survive and features can only be identified during post-excavation analysis as latent structures (e.g. manufacturing sites). The same can apply to a finds layer, which is sometimes only definable by the positon of the artefacts, as differences in sediment, for example in colour, are absent. In such cases, the position of all finds above a certain size dependant on the research aims, type of site and the precise period should be recorded in three dimensions. This procedure must be precisely laid out and justified in the excavation concept. A raster of one-meter squares is strongly recommended for sites with massive geological covering or intermediate layers, control sections must be employed and recorded. The entire sediment removed from the vicinity of the finds layer should sieved with a predefined mesh size (c. 1-1,5 mm). Samples should be taken to establish environmental and climate parameters, but considerable attention should also be paid to acquiring sample material for different methods of absolute dating (e.g. thermo-luminescence, optically-stimulated luminescence, palaeomagnetics and other methods ); specialists should be consulted if necessary. The position of each sample should also be recorded in three dimensions. Guidelines for ARCHAEOLOGICAL INTERVENTIONS 17

18 2.2.5 Buildings archaeology Buildings archaeology serves the analysis and documentation of buildings, groups of buildings, remains of buildings and other built structures of different materials, whereby not only the original condition, but also subsequent changes (phases) should be recorded. A historic-functional classification of the structure should also take place if possible (functional and social history). In this way the record will provide a basis for decision-making about the further treatment of the object. The basis of every buildings archaeological analysis is archival research. Every analysis of built structures should take place in as non-destructive a fashion as possible. A plan record of the building which is accurate in detail and takes into account the object s peculiarities should be prepared as a basis for the record. It should be in scale of at least 1:50 (detail at least 1:20). The situation before the begin of the work should be recorded photographically. Each construction feature should be recorded as a unit of stratification. The forms Masonry recording sheet and Timber recording sheet should be used or adopted in terms of content. All protocol sheets in one room should be combined in a room protocol and the stratigraphic relationships between the contexts should be portrayed in a documentation system (e.g. matrix). Building contexts should be portrayed (by rectified photogrammetric pictures, drawings or laser scan) in front and top views including each individual stone/brick. Subfloors encountered during buildings archaeological interventions should be examined archaeologically in accordance with the guidelines This subject is dealt with in greater depth in the Guidelines for Buildings Analysis issued by the Federal Monuments Authority, which should also be consulted (Download Underwater and wetland archaeology Underwater archaeology refers to archaeological activity for which diving equipment (compressed air, mixed gas) has to be used. Wetland archaeology takes place on ground heavily saturated by water, for example below the water table, in flood plains and moorland. The intervention concept, which must accompany the application for the issue of a permit according to 11 Section 1 DMSG, should include not only the procedure planned for the underwater or wetland project, bur in particular the sampling strategy, the available (qualified) personnel and the available infrastructure, as well as evidence of the appropriate recovery, conservation and storage of finds objects. Exposed areas including occupation layers and/ or organic structures (e.g. parts of ships) must not be allowed to dry out. This applies above all to excavations in wetland areas. All archaeological activity employing compressed air or mixed gas diving equipment must be carried out by appropriately trained individuals. 18 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

19 2.2.7 Mining archaeology and excavations below ground For mining archaeological excavations which analyse structures visible above ground (e.g. processing and smelting complexes, charcoal pits, cuts/sinkholes, slag/waste heaps, mining infrastructure), the up-to-date version of the Guidelines for Archaeological Excavations applies. Mining archaeological excavations below ground are subject to additional legal requirements, which can be provided by the mining office. Natural conservation requirements may be applicable and should be observed when working in caves. Obtaining a geological/mining assessment is strongly recommended for mining archaeological excavations below ground The minimum prerequisite for the survey is a ground plan and a vertical section on the basis of a polygon chain in the Austrian reference system MGI (Military-Geographical Institute). The photographic record must include additional information about the horizontal and vertical position of contexts and finds. The conservation and recovery of exceptional features and finds should be discussed with the Federal Monuments Authority from case to case. 2.3 Compulsory notifications All notifications should take place in German Start of fieldwork The Federal Monuments Authority is to be given three working days notice of the start of fieldwork by fax or End of fieldwork The permit holder is to inform the Federal Monuments Authority of the end of the fieldwork by fax or immediately before its completion. This notification should include an expert opinion about whether or not further heritage protection interventions are necessary at that site; if necessary, this should by demonstrated through the use of pertinent plans and photos Completion of the intervention The submission of the site record and report to the area representative of the Department of Archaeology marks the end of the intervention. The handover protocol (Chapter 10) is to be completed and submitted alongside the site record and report. Guidelines for ARCHAEOLOGICAL INTERVENTIONS 19

20 2.3.4 Unexpected or outstanding features or finds Features or finds which are fully unexpected i.e. not part of the prognosis before the excavation, or are outstanding, for example, in their quality, singularity or in the challenge which they represent to conservation/restoration, must be reported under the terms of 8 DMSG. 20 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

21 3 SURVEYING Under the legal norm valid in Austria (Ordinance of the Federal Minister for Science, Research and the Economy concerning Surveying and Plans Surveying Ordinance 2016 VermV, BGB. II Nr. 307/2016) position and height should be established in the Austrian reference system MGI (Military-Geographical Institute) in sub decimetre range (< 10 cm) and recorded in a measurement log. The forms Surveying protocol (conventional) and Surveying protocol (GPS) should be used. The coordinates of the survey points derived from the network of control points and used to record the intervention should be given in the Gauß-Krüger system (reference meridians 28, 31 und 34 east of Ferro). Coordinates in the ETRS 89 system can also be given if wished. Heights must always be given as heights above Adria. The BEV point maps used, surveying certificates (references) and all other surveying documents should be enclosed with the excavation record. All reference points and derived survey points used for the measurement of position and height should be depicted in a network plan (see VermV Section 20). Guidelines for ARCHAEOLOGICAL INTERVENTIONS 21

22 4 SITE RECORD AS REQUIRED All plans and protocols which record the progress and execution of the intervention should be updated daily and are to be shown to the Federal Monuments Authority on-site if requested. All following requirements (see also Ch. 2.2.) should be fulfilled for archaeological excavations. For archaeological prospections (see Chapter. 1) that part of the record should be completed which is possible and appropriate to the character of the intervention, and which reflects the guidelines given in Chapter 2.1 (see the form handover protocol prospection ). All documents and records should be completed in German. 4.1 Plans Intervention polygon (mpoly) and intervention information note (minfo). The boundary or boundaries of the intervention area are known as the intervention polygon. The intervention polygon should be submitted digitally as an AutoCAD file (*.dxf) and as a text file (*.txt). In addition, submission may take place as a Shape file. The CAD file should consist exclusively of the boundary of the excavation in the form of closed 2D polylines (closed polygons) on a single layer. The name of the file should consist of the intervention number and the abbreviation mpoly (e.g _mpoly.dxf). The intervention information note should be submitted digitally as an EXCEL file (*.xls, *.xlsx) and a printed copy. The name of the file should consist of the intervention number and the abbreviation minfo (e.g _minfo.dxf). The form intervention information note (downloadable under must be used. The intervention information note should include the following information in the following order (see the example below): intervention number; intervention title; plot number(s) with features (separated by commas); plot number(s) without features (separated by commas); brief title of the site type and date (multiple answers possible, separated by a semicolon); size of the intervention area(s) in m²; number of context numbers (SE) allocated; archaeological features surviving after completion of the intervention (Y/N); N: 100% of the intervention area analysed, no archaeological features of any kind remaining; 22 Guidelines for ARCHAEOLOGICAL INTERVENTIONS

23 Y: features covered by slab foundations, limited analyses, surviving walls, wells etc. Example of an intervention information note: Intervention number Intervention title Plots with features Plots without Brief title Intervention SE Archaeological area m 2 features surviving features Mautern_ Wienerstraße 368, , 370/1 Bronze Age, cemetery; Imperial Roman period, vicus J Technical master plan The technical master plan should include the following components: up-to-date cadastral plan with plot boundaries and numbers; intervention polygon/excavation limits; all survey points used and derived benchmarks employed in recording the excavation; coordinate framework and/or network plan in the Austrian reference system MGI with Gauß-Krüger coordinates (reference meridians 28, 31 und 34 east of Ferro); legend: intervention number, intervention title, cadastral community, plan author, date of plan, key with signs/initials used in the plan. For archaeological excavations also: excavation area(s)/trench and sections with designation; all objects (and if necessary object groups) with designation; all contexts with SE numbers and levels; polylines are to be used if possible; units of stratification should be shown as closed surfaces, contours should be distinct; all reference points used for rectified photogrammetric images; all measuring points/measuring lines used for analogue detailed plans. Guidelines for ARCHAEOLOGICAL INTERVENTIONS 23

24 For prospections also (dependant on the method used): relevant topographic and morphological landmarks/features; search lines; definition of the surfaces involved (surveyed, non-accessible and destroyed); grid squares; drilling lines and drilling profiles; pattern of finds distribution; areas of potential concern and archaeological structures; interpretation of the features recorded (compulsory). For digital recording also: All required elements of the technical master plan (see above) and all units of stratification should be recorded in separate layers. The title of the layer should be easily understandable. Layer titles for context numbers should include their number and their abbreviated description. For analogue recording also: The technical master plan should include a scale bar and a north arrow. The scale must be appropriate to the record, but should not exceed 1:100. Several plans should be drawn up if necessary. Detailed plans Detailed plans are the graphic or photographic documentation of units of stratification, objects and if necessary object groups. Every unit of stratification should be recorded in in three dimensions; an appropriate number of levels should be taken for larger contexts. Units of stratification should be shown as closed surfaces, contours should be distinct. When documenting interfaces meaningful cross-sections should also be recorded. Contexts with an important internal structure (e.g. collapsed layers) should be recorded exactly. The location of finds relevant to the interpretation of the context should be recorded in in three dimensions. Measured plans produced by geophysical prospection (geo-referenced greyscale images) should be placed in a folder labelled Detailed plans. The title of the layer should be easily understandable. Digital documentation (photogrammetry) Photogrammetric pictures should be taken from an orthogonal position; the segment chosen should be as small and the photo length as free from distortion as possible. If photogrammetric pictures are used as detailed plans, then rectified pictures should be created based on the coordinate system used 24 Guidelines for ARCHAEOLOGICAL INTERVENTIONS