SHOVEL AND TROWEL TESTING

Fernando Ramirez -Cotto

Introduction
Shovel testing and trowel testing are key methods used by archaeologists to determine the
presence or absence of subsurface cultural resources. Often informed by pedestrian survey,
ground-penetrating radar, LiDAR, probability models, and/or literature research, shovel/trowel
testing is often our first chance to ground truth and shed light on what lies beneath the surface.
When done well, shovel/trowel-testing provides valuable data on the presence or absence of
subsurface resources, which we and our clients rely upon to make informed project and
resource management decisions.
Whereas shovel/trowel testing may be physically taxing, it is far from simple and requires
discipline to perform at a high level. The ability to hit the field and perform efficient shovel-
testing requires a wide set of skills and knowledge, including but not limited to the following:
• Ergonomics
• Soil description
• Electronic data entry
• Photography
• Orienteering
• Time management
• Fatigue management
• Artifact identification
Trowel testing is similar to shovel testing in many ways, but it is an informal method used
exclusively when a site has already been identified and more information is needed to make
resource management decisions.

Shovel Testing
Shovel testing may be employed either during the survey phase or during testing. Survey phase
testing depends on the type of survey conducted. As well, testing phase shovel-testing depends
on the goals of testing, for example whether the primary goal is evaluation for NRHP eligibility or
to determine the nature and extent of the site in question. The project workplan will detail the
specific goals and strategies to be employed in the field for both survey-level and testing phase
shovel testing.

TYPES OF SURVEY
There are three main types of shovel testing survey: Regular Grid, Irregular Grid, and
Targeted/Judgmental. The descriptions are as follows:
• Regular Grid
In which project area coverage is provided by a pre-plotted cartesian coordinate system,
where transects and shovel tests along transects are spaced at regular intervals. A grid
spacing of 15 m × 15 m is common, though 20- and 25-m grids are often seen, as well.
In rarer cases, transects and tests along transects can be spaced differently (i.e.,
transects 15 m apart with tests 20 m apart along the transect). State guidelines will,
more often than not, dictate grid spacing.
• Irregular Grid
In which project area coverage is provided by pre-plotted, seemingly haphazardly
placed, tests. This strategy is typically employed where landscape or parcel shape
restrictions make a regular grid difficult.
• Targeted/Judgmental
In which project area coverage is provided by identifying high potential landforms, such
as river terraces or paleo shorelines, and strategically testing those areas accordingly.
Testing in this manner will usually involve setting up a regular grid in-field (compass and
pacing), when two or more transects are necessary for coverage. When a single transect
is enough, you may employ regularly spaced shovel tests along a curved transect path
that follows topography rather than a compass bearing.

SURVEY STRATEGY
Each of the survey types above require different treatment when developing an efficient survey
strategy.

• Regular Grid
Individuals/teams should be assigned a transect to begin with and given clear directions
on where to proceed once their transect is completed. The entire survey team should
move unidirectionally, east to west or north to south, depending on project area
restrictions. Where possible, set teams on the longest transects with the least amount of
space in between completing a transect and starting a new one. In the example below,
Teams A and B are testing north-south, while the survey is proceeding from west to east
(Figure 1).
 N

Figure 1. Example Regular Grid testing strategy.

• Irregular Grid
Teams should be assigned portions of a parcel based on how many tests they can
complete in a day. It’s important to understand your team members here and to assign
areas fairly. If you assign a team to an area they cannot complete, this will leave stray
tests that need to be revisited, an inefficiency that, if not checked, can affect overall
progress. Similar to Regular Grid survey, teams will want to test in one direction,
choosing wisely which path will be most effective. Depending on where the extraction
point is, or where the team will be heading next, you will want to test in either a
boomerang or unidirectional movement. Communication is key to all methods of survey,
but, for Irregular Grid testing, we should be very careful that all teams know which areas
they are assigned and what the plan is once they have completed that area (Figure 2).
Note: You’ll notice “individual” has been left out of this strategy so far. Testing in this manner
means that teams may be spaced apart at distances beyond line of sight. Due to this factor, we
cannot send individuals to survey parcel portions, as it will leave them alone for possibly the
entire day, creating a safety hazard.

Figure 2. Example Irregular Grid testing strategy, with wetlands as environmental restriction.
 • Targeted/Judgmental
Individuals/teams will either be assigned their own transect or “leap frog” a single
transect with other team members, depending on how many transects the landform
being tested will allow. This type of survey involves a good amount of walking and is
often done with pedestrian survey of a parcel in search of above ground historic
resources. Under ideal conditions, one would be able to look over a 24K topographic
map, identify landforms that require survey, then target those landforms in a way that
limits dead-walking. It may make good sense, as well, to split up the survey crew into
shovel testing and pedestrian crews, dividing and conquering the parcel. There is no one
appropriate way to tackle targeted/judgmental shovel testing, but be sure to keep the
above considerations in mind (Figure 3).

Choosing landforms to survey can appear daunting, and there can be many factors
considered here. In effect, we are asking crews to manually apply a probability model
over a project area, a task which does require significant background knowledge of
prehistoric and historic land use, not to mention basic geomorphological considerations.
This background knowledge can breakdown into local, regional, and general factors to
keep in mind when targeting landforms. While we all strive to build these knowledge
bases, here are few things to look out for to get you started:

o Proximity and ease of access to water (river, creek, lake, wetlands)

o Floodplains and terraces
o Elevated landforms within a wetland
o Confluences of rivers and streams
o Headwaters
o Well-drained landforms

Figure 3. Targeted/Judgmental testing example along a river terrace.

PERFORMING SURVEY
Now we get to the good part, putting shovel to ground. At the end of this guide, we’ll outline
some tips and things to keep in mind in order to perform well in the field. For now, we’ll focus on
the equipment and steps involved at the most basic level.
• Equipment
o Round or flat shovel with a sharpened edge (in exceptionally rocky soil, a razors
edge will prove counterproductive).
o Screen, ¼-inch mesh
▪ Standing screens are easier on the back and facilitate faster testing but
can be cumbersome to carry for long distances.
▪ Box screens are easier to carry long distances but may prolong testing a
bit due to smaller load capacity and higher physical exertion needed to
shake.
▪ Best practice is to have both options available in field vehicles, but, if not
possible, weigh the above factors and choose wisely. Ensure to use the
correct screen for the job.
o Tarp, cut to manageable size.
▪ Some prefer to not carry a tarp, but it will always make backfilling faster,
easier, and cleaner.
o Ruler, with centimeter and foot measurements.
o Munsell or Globe soil color book.
o Gloves, thick palm for screening.
o Trowel, primarily for profile cleaning and screening.
o Compass, with sighting mirror.

• Process
o Excavation
▪ Setup
Most surveys will employ the ArcGIS Collector mobile app, and you will
be able to simply walk to your target test using GPS location. While this is
no doubt convenient, it’s important to keep in mind the limitations of your
mobile GPS and to use it in conjunction with compass and pacing to spot
check. Once you reach your test location, it’s time to set up shop. If there
are many large trees in the area, use your shovel to test the ground for
any exceptionally large roots. Once you have a good spot, stretch out
your tarp and place your screen on top of it. Tarp location is key here,
ideally placed in such a way that backfill is quick and easy (Figure 11). Be
sure to place your backpack/bucket/electronics on the opposite side of
the test from where your tarp is to avoid getting things covered in debris
from screening. It’s generally good practice to keep electronics in a
backpack or bucket, out of the elements.

▪ Digging
Be confidant with your shovel and don’t rely too heavily on the upper body
or lower body to provide force, making sure to use body weight when you
 can. I always suggest starting by cutting your shovel test walls, plunging
the entire shovel head in all the way around when possible. This ensures
your shovel test is regulation size and eliminates many root obstructions
early on. At this point, it’s acceptable to remove a root/sod cap, just be
sure to not remove an excessive amount of soil, as artifacts can be found
close to the surface.

For the remainder of the test, you will be excavating by natural

stratigraphy or arbitrary level; be sure to know which method you’ll be
using. In either case, do not dote on accuracy. While ideally, we would
excavate mutually exclusive samples of natural horizons or arbitrary
levels, the realities of the field put everything under a strict timeline, and
there is an acceptable margin of error. As with every other methodology
in CRM, we must do the best work in the most efficient way possible. That
being said, it’s perfectly fine to dig a bit into a new stratum or level.
If/when you do so, clean up your walls and base of excavation (it’s okay
and inevitable to have some loose soil on your floor), then continue after
all soils for the stratum or level have been screened. Make sure to
straighten walls as you excavate to prevent “coning.” If you wait until the
end to straighten your walls, you’ll be introducing inefficiency to your
process and creating a mixed context with no vertical control.

As you load the screen with soil, do not overfill. Overfilling a screen
makes it more difficult to sort through soil and increases the risk of screen
mesh breaking. Your final depth of excavation will depend on which state
you’re in and which agency you’re working for, but, in most cases, you will
be excavating until you reach sterile subsoil or 1 m, whichever comes
first.

o Screening
▪ Start by shaking the soil through the wire mesh as much as possible
before you get your hand or trowel in there to break things apart. Keep an
eye and ear out for artifacts as you shake the screen. Artifacts, especially
lithics and historics, will generally appear visually and sonically distinct
from the soil matrix as you agitate and should be collected as you go.
Once enough of the soil has been shaken through, use your hand or
trowel to break larger clumps apart and push them through the mesh.
There should be no clumps of soil larger than 1 square inch remaining in
the screen when you clear it. Any artifacts recovered should be
immediately bagged to prevent loss. If you have questionable material
that may not be cultural, it’s always better to save it and ask for a second
opinion.

o Data Entry
▪ When filling out shovel test forms, fill out all applicable fields and take
measurements in approved units. Approved units are typically
meters/centimeters, but, in some cases, imperial measurements are
necessary. Shovel test excavator and date information is important on the
back-end for quality control purposes.
Soil descriptions required on survey are based on color and texture only,
no need to worry about horizon designation. For color, take a small
sample of the stratum, hold it against a Munsell or Globe soil color page,
then go with the closest approximation, listing color page first (e.g.,
10YR), followed by value number/chroma number (e.g., 10YR 4/3).
For texture, take a small sample of the stratum and rub it between your
fingers. You’ll be feeling for a general sense of the particle ratio between
clay (smallest particle size), silt (middle particle size), and sand (largest
particle size). Sand particles will feel gritty, silt particles will spread
between your fingers smoothly but won’t ribbon or roll, and clay particles
will ribbon and roll between your fingers. Based on this ratio, you will
identify the soil as silt, clay, sand, or loam (roughly even combination of
the three particle sizes), or some combination of those four. See the “Soil
Description” section at the end of this guide for more detailed information.
Below (Figures 4–8), you’ll find examples of completed shovel test forms
on Collector and FileMaker GO.
Figure 4. Example shovel test form on Collector. Figure 5. Example shovel test form on Collector.
Figure 6. Example shovel test form on Collector. Figure 7. Example photo point on Collector.
 Figure 8. Example shovel test form on FileMaker Go mobile app.

▪ Shovel test photographs for Collector must be attached to a separate

“photo” point, as opposed to the shovel test point itself (Figure 9).
▪ Shovel test photographs for FileMaker can be attached to the shovel test
form in the appropriate location.
▪ All shovel test photographs should be taken as close to perpendicular to
your subject as possible, in landscape view, showing all relevant strata or
otherwise important features (Figure 10). Each photograph must also
have a measuring tape or scale. A north arrow is good practice, but
lighting conditions can make it difficult to use one.
 Figure 9. Example shovel test profile on Collector mobile app.

Figure 10. Ideal photography angles.

o Backfill
▪ Once all data has been collected, pull the front end of the tarp over to
your shovel test, then lift the back end to deposit soil back where it came
from. If the ground surface must be returned to its initial state, be sure to
tamp down the dirt in the hole and place the removed root/sod cap back
on top (Figure 11).
 Figure 11. Example of a good shovel testing set up for backfill.

o Artifact collection
▪ Below (Figure 12) is an example artifact bag filled out with all relevant
information. At minimum, your artifact bags should be labeled with:

✓ Project number
✓ Project name
✓ Shovel test number
✓ Stratum/depth
✓ Date
✓ Excavator initials

Figure 12. Example artifact bag.

• Delineating Positive Shovel Tests

o Under ideal conditions, one should complete excavation of the pre-plotted grid
before beginning to delineate positive tests. Once the pre-plotted grid has been
tested, you will have a better idea of the limits of your site and can better develop
a testing strategy for bounding.
 o Each state has different delineation requirements, but, in general you can expect
to excavate at least two tests in each cardinal direction (total of eight tests)
around positive shovel tests. In most cases, positive delineation tests will also
require additional testing in each positive direction. Delineation between two
positive tests at grid spacing is not necessary, except in certain cases where the
state or regulatory agency requires it (Figure 13).

o Consult with your crew-chief/field-director for proper numbering protocol when

labeling delineation tests. While there are many sensible ways to number
delineation tests, it’s important to keep things consistent.

Figure 13. Example Delineations, where red signifies positive tests, white signifies negative tests,
and green signifies delineation tests yet to be excavated.

• Time Management
o Bringing in projects on time and under budget requires planning and discipline.
For shovel test surveys, there should be a set number of shovel tests to be
completed per day/per team, and this information should be openly
communicated from the start. Experience is usually the best way to estimate how
many shovel tests a crew can complete in a day. When experience is lacking,
you can consult state regulations, soil survey information, and site file records
(potential for positive tests) to come up with a serviceable daily testing quota.

o Your testing quota should be comfortable for crews to meet but ambitious
enough to account for potential hurdles in the field that may slow progress at
times (weather, positive tests, overgrowth). It’s always better to be ahead than
behind.

o As an example, a good pace for a team (1–2 people) excavating 50 cm diameter,

1-m-deep tests in sandy soil at 15-m grid spacing is 15 to 20 minutes per test
which translates to roughly 24 tests per 8 hour day, accounting for breaks and
travel time.

o Individual teams should manage their own time accordingly, keeping track of how
many tests they have excavated throughout the day and making adjustments in
pace as they go. You don’t want to realize you’re behind on quota when there’s
only 30 minutes left of the workday. If caught early in the day, a team can easily
catch up and end the day with good numbers. If you do find yourself in a position
 where you need to make pace adjustments, think about the shovel testing
process as outlined above and figure out where in the process you can increase
efficiency. Thinking about shovel testing in an organized way is better than
simply trying to work harder across the board, which isn’t fun and can lead to
inconsistencies and data loss.

Testing-Phase Shovel Testing

In some regions, or for some clients such as the DOD, the testing phase of a project may
include shovel testing as a strategy to either evaluate a site for NRHP eligibility (i.e., the
presence of buried cultural deposits) or determine the nature and extent of a site ( i.e., the
distribution and depth of positive shovel test units across the site). The placement and number
of shovel test units to be excavated on a site will be outlined in the testing plan. The methods for
excavating the shovel test pits are the same as for survey (see above). The only difference may
be during evaluation testing, where it may appropriate to stop excavations once cultural
materials are encountered, i.e., when you have enough information to make an eligibility
recommendation. Read the plan carefully and follow the methods outlined in the plan.

Trowel Testing
Trowel testing is subject to many of the same considerations discussed above, though it is a
more informal way to investigate subsurface resources. As a testing strategy, it’s employed in a
judgmental manner when one has identified a site above ground surface and is seeking more
information to assess NRHP eligibility.
Trowel tests are not regulated by states or other government agencies and are smaller than
shovel tests, typically 15 cm 2 excavated down to a depth of 30 cm. Tests are laid out in relation
to surface features, with one test in the center and one to four tests along the outer margins or
laid out in a more systematic way across an established site. Soils are screened through ¼-inch
wire mesh, and the excavation proceeds until sterile subsoil has been reached.
During excavation, we keep an eye out for artifacts, feature fill, charcoal, or any other sign that
the site in question maintains subsurface integrity. If, in the process of excavation, we come
across deflated soils or lack of cultural material, we may conclude that much of the site has
been eroded and is therefore ineligible NRHP inclusion. Trowel testing is not a primary resource
to assess site integrity but rather a supplemental one when additional data is needed.

State Regulations
This is a non-exhaustive list of State Guidelines:

State Testing Guidelines

Connecticut No methods specified, note scope and justify field methods.
Delaware None specified. The intervals between the shovel tests units (STPs) can
vary, but should not exceed 50 feet.
Illinois 0.40 × 0.40–m STPs across, down to archaeologically sterile soil at 15-m
intervals; radial tests at 5 m
Maine None specified, note scope and justify field methods.

Massachusetts None specified, note scope and justify field methods.

Michigan None specified, note scope and justify field methods.

Minnesota It is the responsibility of the archaeological contractor to honestly re-

assess the need for detailed survey based on a visual examination of the
project area. In general, soils that are usually inundated or are located on
slopes greater than 20 degrees, need not be examined by pedestrian
survey or shovel testing. Areas of bedrock exposure should be examined
for pictographs, petroglyphs, rockshelters, and caves. Submerged sites
present special discovery problems and are discussed at the end of this
section. If STPs cannot go deep enough to sample the entire Holocene
soil column, such as areas where modern fill has buried soils, deep testing
may be necessary. STPs should be between 30 and 40 cm in diameter.
When shovel testing encounters archaeological materials, field notes
should record the approximate depths of the materials and their
stratigraphic context. Shovel test spacing along a transect should not
exceed 15 m (50 feet) in areas of high- to medium-site potential. If an area
has particularly high site potential, based on the literature search,
informant reports, or regional predictive models, STP spacing of 5 or 10 m
may be appropriate. In areas of dense woods, intermittent bedrock or
other features that prevent regular shovel test spacing, irregular spacing is
acceptable, as long as overall total numbers of units remain about the
same.

Missouri Visibility must equal 25 percent or greater of the ground surface area to
use pedestrian survey techniques. The appropriate transect interval for
pedestrian survey is 5 m. The appropriate transect interval for STPs is 15
m. Such shovel testing involves the excavation of holes at least 25 cm in
diameter down to archaeologically sterile soil (usually the B-horizon) if
possible. If it is not possible to get to archaeological sterile soil using the
standard method being employed, then every third test hole should be
augured to a sufficient depth. The excavated material from each shovel
probe should be screened through a minimum of ½-inch mesh. Where
cultural materials are encountered, the grid interval should be close to 5 m
to more accurately delineate the actual site boundaries (i.e. do not “Swiss
cheese” the entire site, just locate an accurate boundary).
 New Hampshire Pedestrian survey at 5-m intervals; STPs at 8-m intervals, radials at 2 m,
0.5 × 0.5–m STPs.
New Jersey Phase I should use 1-foot-diameter subsurface probes per acre,
equivalent to probing on a 50-foot rectilinear grid. Probes should penetrate
the full depth of intact Holocene sediments in natural strata.

Ohio No set standards, justify methodology based on sensitivity. Suggests

surface survey intervals of 5 to l0 m, STPs at no more than 15 m, 0.5 × 0
.5 m in natural strats, at least 50 cm deep.
Pennsylvania 0.5 × 0.5–m STPs at 15-m intervals (or 16 units per acre). Medium and
low probability at 25 or 30 m, provided testing strategy can be justified.
Location in low probability is judgmentally selected. Dug to sterile subsoils.
Maximum depth of 1 m. Radials at 5 m.
Vermont 0.5 × 0.5–m STPs at 10-m intervals (or site appropriate interval).
Excavated to sterile subsoils.
Virginia Cylindrical STPs (not smaller than 15 inches in diameter). As a general
rule, STPs are to be excavated at intervals no greater than 50 feet and will
continue to sterile subsoil, if possible. It is recognized that different site
types, as well as soils and topography, may justify a larger STP interval.
Justification for an STP interval greater than 50 feet shall be clearly
presented in the report. Similarly, a tighter interval is to be considered if
small, low-density sites are anticipated.
West Virginia Pedestrian survey at 10- to 15-m intervals, 0.5 × 0.5–m STPs at 10 to 15
m, 10 cm into sterile subsoil, 5-m radials off positives
Maryland 35-cm circular STPs to sterile subsoil in natural strata, at least 10 cm
deep. Interval should be based on sensitivity.
Indiana Pedestrian survey at 5 m, 10 m, and 15 m, depending on sensitivity. STPs
at 15-m intervals, 30-cm round to sterile subsoil or 50 cm deep. Radials at
5-m intervals until two sequential negatives.

Rhode Island None specified, note scope and justify field methods.
Wisconsin None specified, note scope and justify field methods.

Soil Description
Below (Figure 15) is the NCRS textural triangle, showing the percentages of clay, silt, and sand
in the 12 basic texture classes.
 Figure 15. Soil textural triangle (source: USDA, NRCS).

Below (Figure 16) is the NCRS flow chart for determining soil texture.
Figure 14. Soil texture flow chart (source: USDA, NRCS).
Tips-and-Tricks
• Mind Your Body
o Shovel testing is physically demanding and, though it’s important to perform at a
high level, you may find yourself unable to if the proper precautions aren’t taken.

▪ Make sure you drink water regularly throughout the day; if you’re thirsty,
you’re already dehydrated.

▪ Watch your back! Whether you’re digging or screening, don’t round your
back. This can lead to consistent back pain or, in more serious cases,
debilitating back injury.

▪ If your digging as a pair, switch off between digging and screening for
each test. Choosing to do one activity for the entire day can lead to
repetitive motion injuries (RMIs), which can put you out of commission or
just make the workday harder than it needs to be.

▪ Get a good pair of boots, with thick soles. Your feet will thank you after a
day of stomping on a shovel.

▪ Stretching, getting good sleep, and keeping fit go a long way in mitigating
bodily wear and tear that comes with shovel testing.

- Resist the urge to cut corners on data entry as a time-saving mechanism. Though it may
appear like your saving time by choosing to fill out certain data fields later, it’s more of a
headache than anything else, and it can lead to inconsistencies and bad data, which end
up costing more time than you’ve saved.

- A sharp shovel will be able to handle most roots, but, for larger ones, a folding saw can
be a lifesaver.

- When describing soils, it’s not necessary to use a Munsell/Globe book or closely assess
texture each time. As a rule of thumb, only take those steps for your first test and then
again if you come across a major change in stratigraphy.