Chapter 1 - General Information

The consideration of cultural resources is a critical part of all phases of project development, construction, permitting, right of way, and maintenance activities. The California Department of Transportation (Caltrans) must comply with federal and state environmental laws and regulations designed to protect cultural resources significant in American archaeology, architecture, history, culture, and engineering.

To meet legal requirements for cultural resources management, Caltrans personnel must follow the guidelines outlined in the Environmental Handbook, Volume 2. Following is a synopsis of this handbook.

The first chapter introduces Volume 2. It summarizes federal and state historic preservation laws and provides general background information on cultural resources management. This chapter identifies Caltrans' cultural resources policies and directs all units of Caltrans to follow these policies. Chapter 1 also describes the organization, roles and responsibilities, and staffing requirements that Caltrans uses to manage cultural resources.

The chapter discusses in detail the Section 106 Programmatic Agreement that governs Caltrans cultural resources actions on federally-assisted state and local projects: the Programmatic Agreement Among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, and the California Department of Transportation Regarding Compliance with Section 106 of the National Historic Preservation Act as it Pertains to the Administration of the Federal-Aid Highway Program in California (Section 106 PA). This agreement is included as Exhibit 1.1 of the handbook. All actions taken under the Section 106 PA must be conducted by or under the supervision of Caltrans Professionally Qualified Staff (PQS). 

Chapter 2 contains instructions for processing cultural resources documents in compliance with federal and state laws. It specifically discusses compliance requirements of Section 106 of the National Historic Preservation Act and its relationship to Section 4(f) of the Department of Transportation Act, and at the state level, the California Environmental Quality Act and the Public Resources Code. Parallel segments for federal projects and for state-only projects describe pertinent legislation and compliance procedures, including identification, evaluation, and mitigation. The chapter discusses the types of reports required to document that cultural resources have been considered in Caltrans project planning.

Chapter 3 presents Caltrans policy and procedures for coordination with Native Americans regarding cultural resources. It describes pertinent legislation and regulations that address Native American concerns and resources, including the federal and state Native American Graves Protection and Repatriation Act. The chapter sets forth the policy and procedures for obtaining a Native American Monitor, the roles of Monitors and Most Likely Descendants, and the issue of confidentiality relative to Native American cultural resources. It also defines Caltrans' relationship with the California Native American Heritage Commission (NAHC).

Chapter 4 discusses the process and procedures for identifying cultural resources within the project area. The chapter describes the types of cultural resources that Caltrans is expected to identify and the appropriate sequence of steps to follow for determining whether recordation and evaluation would be necessary. It covers such topics as defining an Area of Potential Effects, background (or pre-field) research, initial archaeological and reconnaissance surveys. The final section in the chapter offers guidance for requesting the appropriate specialists to evaluate cultural resources that were identified in the initial steps as warranting evaluation.

Caltrans’ methods and procedures for the evaluation and treatment of prehistoric archaeological resources are discussed in Chapter 5. There are sections that summarize Caltrans archaeological policies and describe Caltrans procedures to define and evaluate archaeological sites, conduct data recovery, and prepare the pertinent technical reports. Guidance is offered for field safety, preparing Archaeological Survey Reports (ASR), Excavation Proposals, Extended Phase I reports, Archaeological Evaluation Reports (AER), Phase III proposals and reports, and Data Recovery Plans. The chapter provides information on construction monitoring, environmentally sensitive areas, archaeological permits, and archaeological procedures to follow in the event of post-review discoveries or for activities not related to projects.

Chapter 6 details Caltrans' methods and procedures for evaluating and treating archaeological sites from California’s historic period. There are sections that summarize Caltrans archaeological policies and that describe Caltrans procedures to define and evaluate historical archaeological sites, conduct archival research and interviews, evaluate sites without excavation, prepare excavation proposals, conduct data recovery, and prepare pertinent technical reports. Guidance is offered for preparing Historical Resources Evaluation Reports (HRER) that evaluate historical archaeological sites, as well as Excavation Proposals, Extended Phase I and Phase II Reports, Treatment Plans, and Data Recovery Plans. There is also a section on field safety with particular emphasis on hazardous materials that may be encountered in historical archaeological sites.

Chapter 7 outlines Caltrans' methods and procedures for recording, evaluating, and treating buildings, bridges, structures, objects, non-archaeological sites, and districts composed of such built features. There are sections that summarize Caltrans history and architectural history policies and that describe Caltrans procedures to evaluate built cultural resources, the relationship between research and evaluation, and step-by-step procedures for processing HRERs. Chapter 7 offers mitigation options to be considered when historic properties may be affected by proposed transportation projects. Lastly, the chapter also explains Caltrans' legal responsibility for maintaining its historic buildings and structures.

District and Headquarters personnel responsible for identifying and evaluating cultural resources, processing cultural resources documents, and implementing all construction, right of way, maintenance- and encroachment permit-related activities shall consult and comply with the standards and procedures defined in this volume.

Situations in cultural resources management not covered in Volume 2 should be handled on a case-by-case basis. Districts are encouraged to take advantage of Cultural and Community Studies Office (CCSO) expertise by consulting with appropriate staff members when unusual situations occur. The CCSO is part of the Division of Environmental Analysis (DEA) located in Headquarters in Sacramento.

Volume 2 of the Environmental Handbook does not stand alone. It should be used with other project planning and development guides and references including the Standard Environmental Reference, Environmental Handbook Volume 1, and the Project Development Procedures Manual.

Periodic reviews and modifications will occur when necessary to ensure that the procedures comply with current federal and state historic preservation laws and regulations.

The purpose of this handbook is to promote consistency, uniformity, and effective handling of cultural resources in the project development process. It is an instruction manual that defines the functions performed by cultural resources staff, both in the Districts and at Headquarters. Key areas covered in Volume 2 include:

• Caltrans policies and procedures regarding cultural resources.
• Compliance with federal and state historic preservation laws and regulations.
• Cultural resources management roles and responsibilities.

Definitions of key terms can be found in Exhibit 1.2. Common acronyms and abbreviations are identified in Exhibit 1.3 and in various places within the text of the chapters.

Caltrans is required to comply with federal and state historic preservation laws and regulations. What follows is a summary of the evolution of historic preservation laws and Caltrans' involvement in managing cultural resources under its jurisdiction.

Early in the twentieth century, the federal government enacted the Antiquities Act of 1906 to protect important historic resources. The Historic Sites Act of 1935 followed. Subsequent legislation at both the federal and state levels expanded and strengthened requirements to protect significant cultural resources.

In 1956, Congress passed the first significant federal historic preservation act dealing directly with transportation programs and cultural resources. Called the Federal-Aid Highway Act of 1956, the law authorized the use of federal funds to salvage archaeological or paleontological sites affected by highway projects. For Caltrans, this act represented the earliest legislative mandate to protect archaeological resources.

In the mid-1960s, through "grass-roots" efforts, increased public concern and support for protection of significant cultural resources resulted in stronger and more comprehensive federal and state historic preservation legislation. The National Historic Preservation Act of 1966 (NHPA), the National Environmental Policy Act of 1969 (NEPA), and the California Environmental Quality Act of 1970 (CEQA) established environmental policy specifically addressing the impacts of human activities on the natural and built environment. These laws require public agencies to be more responsive to the effects of their actions on the environment, including significant cultural resources.

Additional cultural resources protection measures contain specific provisions and procedures for the preservation, protection, and enhancement of significant cultural resources in transportation planning and development. Section 1-2 summarizes the laws and regulations that govern the consideration and treatment of cultural resources. A more comprehensive summary is found in Exhibit 1.4. Succeeding chapters in this volume describe compliance and implementation procedures.

When Caltrans was created in 1973, succeeding the Division of Highways, its enabling legislation set forth key concepts and principles for Caltrans. The legislation emphasizes consideration of the environment, and requires that "environmental impacts of transportation should be taken into consideration.” The Director's Environmental Policy (1992) states "Caltrans protects and enhances the environment...” and “evaluates the environmental benefits and consequences of its activities and implements practices that minimize environmental impacts.”

The majority of Caltrans projects uses federal funds or requires federal licenses or permits and is therefore subject to federal environmental laws and regulations. Caltrans projects are also subject to the requirements of state environmental law. Caltrans' environmental process is designed to meet both NEPA and CEQA requirements. When projects have no federal involvement, only state environmental laws and regulations apply. The evaluation and treatment standards are similar for both federal and state-only projects; however, there is no concurrence with federal agencies on state-only projects.

Both federal and state historic preservation legislation contain the same general policy: to preserve the quality of our historic and cultural environment by ensuring that cultural resources are given adequate consideration throughout the course of an undertaking and by providing significant cultural resources with the best protection possible. Because Caltrans must comply with federal and state laws and regulations regarding cultural resources, the same policy also forms the core of Caltrans general cultural resources policy. This general policy is more fully described in Section 1-2.4.

Understanding key historic preservation legislation can ensure compliance with the law and facilitate timely delivery of projects. Federal and state laws, their implementing regulations, and Caltrans policies direct the consideration of cultural resources in transportation planning, development, construction, permit issuance, right of way, and maintenance activities.

Statutes are laws enacted by Congress or a state legislature. Regulations are rules and procedures that are established by a government commission, board, agency, or department to implement and carry out the intent of statutes. The authority to promulgate regulations is provided in the legislation creating the statute. Regulations have the force of law, but they cannot exceed the scope and intent of the legislation. Policies are statements of broad intention issued by government agencies to direct agency actions and activities.

The following briefly summarizes the primary historic preservation laws and regulations and policies governing Caltrans' treatment of cultural resources.

[42 U.S.C. 4321 et seq.]

The National Environmental Policy Act (NEPA) is the nation's broadest environmental law. NEPA applies to all federal agencies and most of the activities they manage, regulate, or fund that affect the environment.

NEPA includes cultural resources preservation within its general policy for environmental protection. It requires the preservation of important historic, cultural, and natural aspects of our national heritage and maintenance, wherever possible, of an environment that supports diversity and a variety of individual choices. Cultural resources are considered in the preparation of all NEPA documents.

The Council on Environmental Quality established NEPA regulations, which can be found at 40 CFR §1500-1508.28.

[16 U.S.C. 470 et seq.]

The National Historic Preservation Act, as amended (NHPA) sets forth national policy for protecting historic properties. Under Section 106 of NHPA, federal agencies are mandated to take into account the effect of federal undertakings on historic properties owned by federal agencies or affected by federally funded or federally approved undertakings. The NHPA also established the National Register of Historic Places, state historic preservation programs administered by a State Historic Preservation Officer, and tribal historic preservation programs administered by a Tribal Historic Preservation Officer. It established the Advisory Council on Historic Preservation, an independent agency that is responsible for implementing Section 106.

The Advisory Council’s Section 106 regulations are found at 36 CFR §800-800.16. National Register Regulations are published in 36 CFR §60, and Determination of Eligibility Regulations are published in 36 CFR §63.

On January 1, 2004 the Programmatic Agreement Among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, and the California Department of Transportation Regarding Compliance with Section 106 of the National Historic Preservation Act as it Pertains to the Administration of the Federal-Aid Highway Program in California (Section 106 PA) went into effect. It streamlines the Section 106 process for FHWA-assisted state and local projects in California. This agreement is included as Exhibit 1.1 of the handbook. All actions taken under the Section 106 PA must be conducted by or under the supervision of Caltrans Professionally Qualified Staff.   

[49 U.S.C. 303 Section 4(f)]

The Department of Transportation Act specifically protects public park and recreation lands, wildlife and waterfowl refuges, and historic sites. Under its provisions, a federally assisted highway project cannot adversely take properties of these types unless it can be shown that there is no prudent and feasible alternative to doing so. Section 4(f) applies only when there is an actual taking of land from, or constructive use of, a historic property. Section 4(f) evaluation requires documentation of completion of the Section 106 process.

Section 4(f) Regulations are found at 23 CFR §771.

[PRC §5024.1]

Public Resources Code §5024.1 established the California Register of Historical Resources. The register is a listing of resources considered to be significant historic properties, that is, "historical resources," in the state. The California Register includes all properties listed or determined eligible for listing in the National Register, including properties evaluated under Section 106. Also, it may include, if nominated to the California Register and found to be significant by the State Historical Resources Commission, resources listed in local registers of historic resources or in local surveys. The criteria for listing are similar to those of the National Register. The California Register statute specifically provides that historical resources listed in, or that meet the criteria for listing in, the California Register, are historical resources that must be given consideration under CEQA (see above).

The State Historical Resources Commission adopted the implementing regulations for the California Register in 1998 (Title 14 CCR, §4850 et seq.).

[PRC §5024 and 5024.5]

Public Resources Code PRC §5024 requires each state agency to prepare inventories of state-owned historical resources under its jurisdiction and to "formulate policies to preserve and maintain, when prudent and feasible, all state-owned historical resources under its jurisdiction."

Under §5024.5, state agencies provide notice to, and confer with, the State Historic Preservation Officer before altering, transferring, relocating, or demolishing state-owned historical resources. All prudent and feasible measures must be adopted to avoid or mitigate adverse effects.

The State Historical Resources Commission has not adopted regulations for the implementation of these statutes.

[PRC §5028]

No historical resource that is damaged due to natural disaster and that is listed in the National or California Register or on a local public register can be demolished or destroyed unless it is an imminent threat to public safety or may damage an adjacent property and unless the State Office of Historic Preservation determines that it may be demolished.

The State Historical Resources Commission has not adopted regulations for this statute.

This order requires state executive branch agencies to take specific measures to preserve significant state-owned properties, to appoint agency preservation officers, to administer historic properties under their control, regardless of ownership, in a spirit of stewardship, and to report annually to the State Historic Preservation Officer on these activities. The Caltrans Preservation Officer is the Chief, Division of Environmental Analysis.

These laws are briefly described in Exhibit 1.4.

The Director's Policy states that Caltrans evaluates the environmental benefits and consequences of its activities and implements practices that minimize environmental impacts. The policy intent is to identify, resolve, and include environmental issues when planning transportation projects. It outlines the responsibilities of Caltrans executives and employees for promoting environmental awareness and carrying out Caltrans policy in the course of their duties.

Caltrans' position on the preservation and protection of important cultural resources is defined in the Project Development Procedures Manual. In the project development process, it is Caltrans philosophy to balance transportation needs with other societal values to ensure that economic, social, and environmental effects are fully considered along with technical issues when transportation projects are developed.

Caltrans cultural resources policy is set forth in this handbook, the Environmental Handbook, Volume 2. All Caltrans activities, from project development and planning through encroachment permit, construction, and maintenance activities, are subject to the policies and procedures outlined in this volume.

District Directors and functional managers shall implement Caltrans' cultural resources policies in encroachment permits, maintenance, construction, and all project planning and development activities. Construction, maintenance, and encroachment permit activities generally have the greatest potential for impact. They can affect historical resources, including historic bridges still on the system, state-owned historic buildings, archaeological sites within existing right of way, and other properties in or adjacent to a project area.

• Identify cultural resources early in the transportation planning and project development process.
• Coordinate and cooperate with Indian tribes, individuals, and organizations having a professional or cultural interest and with agencies charged with the responsibility of preserving or enhancing these resources.
• Evaluate the significance of cultural resources that may be affected by proposed projects.
• Assess potential effects of proposed transportation projects on significant cultural resources.
• Discuss conclusions in environmental documents regarding the significance of identified cultural resources and the effect of the proposed undertaking or project on them.
• Develop project plans to avoid significant cultural resources whenever possible.
• Develop and implement mitigation measures when avoidance is not practical.
  

The considerations listed above apply to normal project planning and implementation. There are two special circumstances that may require different considerations and procedures:

Three chapters of this volume contain provisions for the discovery of previously unidentified cultural resources. Chapter 2, Section 2-4.4 “Post-Review Discoveries,” offers guidance to assist Caltrans personnel in planning for the possibility of unexpected discovery of cultural resources and of unexpected effects on known historic properties. Chapter 3 outlines procedures that shall be followed if human remains are discovered during any Caltrans activity. Chapter 5 outlines procedures that shall be followed if previously unidentified archaeological resources are encountered during construction, maintenance, or encroachment permit work. Caltrans personnel shall follow the appropriate procedures outlined in these sections.

Procedures outlined in Chapter 2 Section 2-4.2, "Emergency Undertakings," describe the steps to be taken in the event of an emergency or disaster. Emergency undertakings are essential and immediate responses to officially declared disasters. They must be implemented within 30 days after the disaster occurred. For federal projects, FHWA may apply the procedures in 36 CFR §800.12. For state projects, the applicable emergency procedures are defined in the PRC §5028 and in the CEQA Guidelines at §15269.

Caltrans' environmental policies were crafted to encourage coordination among the responsible units. The following section describes the organization and functions of the units responsible for cultural resources management within Caltrans, and identifies the roles and responsibilities of cultural resources staff.

The responsibility for managing cultural resources under Caltrans jurisdiction is placed with the Environmental Branches at the District level and the Cultural and Community Studies Office (CCSO) in the Division of Environmental Analysis in Headquarters. This section of the handbook defines roles and responsibilities of cultural resources personnel and describes the appropriate personnel classifications and qualifications.

Districts have the ultimate responsibility for the quality and timeliness of all cultural resources studies, regardless of who prepared the studies. Duties and responsibilities include:

• Schedule and coordinate cultural resources tasks to meet project development milestones.
• Conduct cultural resources studies, using appropriately qualified personnel, as described in Section 1-3.3 below.
• Prepare cultural resources reports as documentation for project compliance.
• Provide peer review of cultural resources studies by qualified District cultural resources specialists, or request CCSO peer review when District lacks appropriately qualified cultural resources specialists.
• Approve and process Section 106 documents for federally funded projects.
• Approve and process CEQA documents for state-funded projects.
• Coordinate with the Federal Highway Administration (FHWA) and the State Historic Preservation Officer (SHPO), and/or Tribal Historic Preservation Officer (THPO) if applicable, on Section 106 documents processed by the District.
• Prepare Historical Resources Compliance Reports (HRCR) for PRC §5024 and §5024.5 review of projects affecting state-owned resources.
• Conduct data recovery of archaeological historic properties according to appropriate standards and as directed in Section 106 agreement documents, in Districts with appropriately qualified staff.
• Provide copies of all Section 106, CEQA, and PRC §5024 documents, all technical documents, and all correspondence with outside agencies, Indian tribes, and other Native Americans, relative to the Section 106 and CEQA environmental compliance processes, to CCSO.
• Arrange and schedule assistance of CCSO specialists for archaeological, historical, architectural, and bridge surveys, evaluations, and mitigation.
• Provide copies of Section 106 and CEQA documents when requesting CCSO comments.
• Notify CCSO of all unusual situations, especially emergencies involving possible effects on cultural resources.
• Contract with California Native American Monitors, as needed.
• Review District Local Assistance reports/projects, and when appropriate, provide comments to improve compliance with existing historic preservation laws.
• For Districts with qualified archaeologists:
• Approve District-prepared Extended Phase I and Phase II proposals and District-prepared AERs.
• Approve proposals to contract out AERs.
• Review and approve AERs.
• Prepare archaeological scopes of work.
• Approve archaeological scopes of work in archaeological excavation contracts.
  

This section defines positions in the District Environmental Branches, which deal specifically with the management of cultural resources.

The District Environmental Branch Chief (DEBC) oversees and directs the cultural resources compliance process in the Districts. To assist in this process, the DEBC shall designate a Heritage Resources Coordinator (HRC) and a District Native American Coordinator (DNAC).

Each HRC serves as the designated source of information on the subject of cultural resources policies and procedures. The HRC is the District's communications liaison with CCSO and may serve as the District advisor regarding cultural resources. The actual functions assigned to the HRC are at the discretion of the DEBC and vary widely by District.

As directed by the DEBC, the HRC may be charged with some or all of the following responsibilities:

• Track the progress of projects through the Section 106 compliance process.
• Collect information for the District’s Annual Report submitted to SHPO documenting actions taken under the Programmatic Agreement.
• Schedule cultural resources studies.
• Prepare cultural resources technical reports.
• Process federal or state cultural resources compliance documents.
• Handle correspondence on cultural resources matters between the District, Headquarters, and FHWA, providing CCSO copies of all Section 106, CEQA, and PRC §5024 documents and all correspondence with FHWA, SHPO, Advisory Council on Historic Preservation (Council), and other outside agencies relative to the Section 106 and CEQA environmental compliance processes.
• Provide guidance on District cultural resources issues, including but not limited to:
• Maintaining cultural resources information pertinent to conducting cultural resources studies, such as updates of National Register and California Register listings and determinations of eligibility, California Historical Landmarks and Points of Historical Interest, and lists of locally designated historical resources.
• Acting as a clearinghouse for cultural resources information, distributing cultural resources-related general information, memos, and guidance, such as National Register Bulletins and cultural resources management notes, to district cultural resources staff and DEBCs.
  

The District Native American Coordinator (DNAC) is the designated source of information regarding the involvement of Native Americans in the District's cultural resources studies. The DNAC ensures that consultation with Native Americans regarding cultural resources occurs early in a project's planning stage, and continuously throughout the life of projects, and ensures that documentation of contacts and consultation for cultural resources is included in compliance and environmental documents. 

Under the general direction of the DEBC, the DNAC acts as liaison between the DEB and Native American tribes, groups and individuals, provides specialized technical assistance on Native American consultation to the District's staff, consultants, and contractors, and coordinates with Transportation Planning and Civil Rights Native American Liaisons on issues of mutual concern. 

The DNAC perform the following activities, or provides assistance and advice to other staff in conducting them:

• Consults with federally recognized Indian tribes and unrecognized Indian groups and individuals on a project-by-project basis for all phases of cultural resources studies.
• Consults with Native Americans, who are likely to have knowledge of, or concerns with, cultural resources, such as gathering places, within Caltrans right of way. 
• Facilitates meetings and discussions between Caltrans staff and Native American representatives.
• Develops agreements with Native American representatives.
• Coordinates with other Caltrans programs including Maintenance, Right of way and Design to address areas of Native American concerns.  
• Maintains files of all correspondence and documentation of coordination and consultation for projects.
• Provides a summary, when necessary, of consultation for inclusion in cultural resource reports and environmental documents. 
• Provides and maintains guidance on District Native American issues, including but not limited to:

• Maintaining a library on laws, regulations, guidance, and other such information pertinent to consultation with Native Americans and ensuring that the library is accessible to District staff. 

• Disseminates policy, procedures, and information on Native American issues to district cultural resources staff and DEBCs.

When appropriate, Districts will hire qualified professional archaeologists, historical archaeologists, or architectural historians to conduct surveys and evaluations and prepare reports that will be used to comply with appropriate federal and state historic preservation laws and regulations. Professional qualifications are described below in Section 1-3.3, Cultural Resources Staff Qualifications, and in Section 106 PA Attachment 1.

The Cultural and Community Studies Office (CCSO) in the Division of Environmental Analysis (DEA) in Headquarters develops cultural resources policy and procedures, monitors implementation, and provides assistance to the Districts on request. CCSO staff also is staff to the Caltrans Preservation Officer.

The office includes six branches:

• Section 106/PA Coordination Branch (Section 106 Branch).
• Prehistoric Archaeology and Special Technologies Branch (PAST).
• Historical Archaeology Branch.
• History, Architecture, and Community Studies Branch (HACS).
• Built Environment Preservation Services Branch (BEPS).
• Native American Cultural Studies Branch (NACS).

The major responsibility of the Cultural and Community Studies Office is to ensure that the Caltrans' cultural resources programs, policies, and procedures comply with federal and state legislation. In addition, CCSO is responsible for ensuring that work performed to assist the Districts meets District requirements and scheduling. The CCSO's functions include:

• Conduct prehistoric archaeological, historical archaeological, and built-environment (such as buildings, structures – including bridges, objects, sites, districts, and landscapes) studies for Districts requesting assistance. Provide peer review of reports prior to DEBC approval.
• Prepare archaeological scopes of work and excavation research designs and undertake contract administration and monitoring for Districts requesting assistance.
• Develop guidance manuals, training courses, and workshops in consultation with the Districts and assist the DEA training unit.
• Coordinate with FHWA, other federal agencies, SHPO, the Keeper of the National Register if necessary, and the Council on Section 106 issues handled by DEA or at the request of the Districts.
• Conduct consultations and coordinate with SHPO on all PRC §5024 activities, conduct PRC §5024.5 review as delegated by SHPO, and report annually to SHPO regarding all PRC §5024 evaluations of state-owned resources.
• Inform the Chief, Division of Environmental Analysis, of all unusual situations, especially emergencies involving possible effects on cultural resources.
• Authorize archaeological excavations through preparation of proposals for Districts without appropriately qualified archaeologists.
• Upon District request, review cultural resources studies (including Historic Resource Evaluation Reports, Archaeological Evaluation Reports, Data Recovery Plans, Treatment Plans, Finding of Effect documents, and Memoranda of Agreement).
• Prepare and process, review, or provide advisory comments on Section 106 and CEQA documents for Districts requesting assistance.
• With district input, compile the Annual Report that is submitted to SHPO documenting actions taken under the Section 106 PA.
• Report annually to SHPO on Caltrans PRC 5024 compliance activities.
• Document historic properties according to appropriate standards, as directed in Section 106 agreement documents.
• Conduct joint activities, such as strategy meetings, with the Districts.
• Evaluate District cultural resources programs and activities if requested.
• Certify District and CCSO cultural resources staff, including archaeologists, historical archaeologists, and architectural historians.
• Evaluate consultant cultural resources personnel qualifications at District request.
• Review and analyze pertinent historic preservation legislation.

Upon District request, the BEPS Branch provides direct project support to Districts by providing technical preservation advice concerning structural rehabilitation of and mitigation measures for all historic property types other than archaeological sites, protective covenants, application of the Secretary of the Interior’s Standards for the Treatment of Historic Properties, and Historic American Building Survey (HABS), Historic American Engineering Record (HAER) and Historic Landscape Survey (HALS) documentation. This Branch also serves as the liaison with SHPO for PRC §5024 compliance (Caltrans-owned historic properties); peer reviews PRC §5024 compliance documents. The Branch Chief serves as the Caltrans representative to the State Historical Building Safety Board, and consults with Districts on the applicability of the California Historical Building Code. In addition, the Branch coordinates Volume 2 of Environmental Handbook (Cultural Resources) revisions.

Upon District request, the Historical Archaeology Branch provides direct project support to Districts by conducting historical archaeological survey and excavation studies; peer reviews historical archaeology technical reports prepared by District staff or consultants, reviews contract scopes of work related to historical archaeology, and discuss overall strategies in this specialized field.

Upon District request, the HACS Branch provides direct project support to Districts preparing historical and architectural evaluations, surveys and studies on all property types other than archaeological sites, conducts specialized historical research, peer reviews historical and architectural technical reports, Findings of Effect, Memoranda of Agreement, and other environmental documents prepared by District staff or consultants. This Branch also provides community impact assessment and environmental justice guidance, training, and review of these issues in environmental documents. See Environmental Handbook Volume 4 for information on community impacts.

Upon District request, the NACS Branch provides direct project support to Districts by providing guidance, advice, training, and support to the Districts on Native American-related cultural resources and environmental issues and policies, including monitoring, consultation practices, state and federal repatriation laws and regulations, and Caltrans curation policies. The Branch also works with Native Americans directly, either to establish working relationships with DEA, or as requested by districts, to facilitate project delivery. The NACS Branch Chief serves as the Statewide Native American Coordinator and serves as the DEA's representative on the Caltrans' Native American Advisory Committee. The Branch Chief is DEA’s liaison with other Caltrans units and Native American Liaisons, the Native American Heritage Commission, SHPO, Council, FHWA, U.S. Bureau of Indian Affairs, and other state and federal agencies regarding Native American spiritual and cultural resource concerns. The Branch Chief monitors and evaluates pertinent state and federal legislation and regulations, disseminates that information to the districts, and seeks to ensure that Caltrans is in compliance with such laws.

Upon district request, the PAST Branch provides direct project support to Districts by conducting prehistoric archaeological survey and excavation studies; provides geophysical and remote sensing services to Districts, peer reviews prehistoric archaeology technical reports prepared by District staff or consultants, and reviews contract work scopes in this field. In addition, this Branch handles and coordinates the reviews of NSSPs for cultural work, and projects with an anticipated expenditure of $500,000 or greater for cultural resources mitigation.

Upon district request, the Section 106 Branch assists the Districts with Section 106 procedural questions and Section PA application, providing guidance on Section 106 policy and procedure, peer reviews Historic Properties Survey Report compliance documents prepared pursuant to the Section 106 PA. This Branch also serves, as liaison between the Districts, the SHPO's office and FHWA, including but not limited to SHPO review schedules, periodic statewide teleconferences on Section 106 topics, and distribution of “106 Bulletins.” In addition this branch coordinates the distribution of any documents that to other Branches/staff in the appropriate discipline, as necessary.

The following cultural resources specialists provide professional and technical expertise in the identification, survey, evaluation, and mitigation of effects on cultural resources. The Headquarters CCSO has professional staff in the specialized fields listed below. All Districts have archeological staff but vary in their staffing in other fields of expertise. The PQS levels of required to conduct specific types of tasks under the Section 106 PA are defined in Exhibit 1.5.

Staff prehistoric archaeologists conduct and participate in archaeological surveys and excavations and manage the work of consultants in accordance with their level of qualification. Staff prehistoric archaeologists prepare archaeological documents, review archaeological reports, and evaluate archaeological properties to determine potential eligibility for inclusion in the National Register of Historic Places or to determine whether archaeological resources are significant historical resources for the purposes of CEQA. They also prepare scopes of work for contracts and administer and monitor archaeological studies performed by consultants. Additional responsibilities include reviewing other cultural resources specialist-prepared reports to ensure that prehistoric archaeological sites are adequately treated. In addition and upon request, prehistoric archaeologists assist in the preparation of Findings of Effect and Memoranda of Agreement.

Staff historical archaeologists conduct and participate in historical archaeological surveys and excavations, and manage the work of consultants in accordance with their level of qualification. They prepare historical archaeological documents, review historical archaeological reports, and evaluate historical archaeological properties to determine potential eligibility for inclusion in the National Register of Historic Places or to determine whether archaeological resources are significant historical resources for the purposes of CEQA. Staff historical archaeologists also prepare scopes of work for contracts and administer and monitor historical archaeological studies performed by consultants. In partnership with architectural historians, historical archaeological staff prepare Historical Resources Evaluation Reports (HRER) when cultural resources contain both historical archaeological components and built resources (such as buildings, structures, sites, objects, districts). Staff historical archaeologists also provide advice on any required historical archaeological studies, investigations, and excavations. Additional responsibilities include reviewing other cultural resources specialist-prepared reports to ensure that historical archaeological sites are adequately treated. In addition and upon request, historical archaeologists assist in the preparation of Findings of Effect and Memoranda of Agreement.

Caltrans architectural historians and historians perform nearly identical functions and are not separately identified in Section 106 PA Attachment 1. Throughout the rest of this handbook, the term “architectural historian” is used to refer to both architectural historians and historians.

Architectural historians identify and evaluate built environment cultural resources (buildings, bridges, structures, objects, districts, and sites of events) to determine potential eligibility for inclusion in the National Register of Historic Places and to determine whether these resources are significant historical resources for the purposes of CEQA. These features may also include historic landscape features, transportation or industrial facilities, and other resources. When cultural resources include historical archaeological sites, staff architectural historians work in partnership with historical archaeologists in background research, site evaluation, and documentation. They prepare Historical Resource Evaluation Reports for built environment resources and designed landscapes. They also review other cultural resources specialist-prepared reports to ensure that local architectural history, architecturally important resources, and regional history or historic sites are adequately treated. In addition and upon request, architectural historians assist in the preparation of Findings of Effect and Memoranda of Agreement.

In addition to federal Section 106 responsibilities, under state law Caltrans has stewardship responsibilities towards the historical resources it owns. These responsibilities often involve the maintenance, repair or rehabilitation of historical buildings and structures. It is in Caltrans’ best interest to have qualified staff with specialized training or experience developing or providing oversight on plans and mitigation measures that directly (physically) affect historic buildings, structures, objects and districts. In Caltrans, the appropriate staff is typically the Principal Architectural Historians. Projects and activities that involve the rehabilitation or alteration of historic bridges, structures or buildings, and mitigation measures for which plans, specifications, management plans or historic structure reports would be prepared are typically the kinds of activities that need specialized expertise. Appropriate education and experience would include:

• Specialized training or 2 or more years of professional experience in such areas as architectural preservation, conservation, historic construction technologies, or historic building materials, that demonstrates the ability to make professional judgments about the treatment of historic buildings and structures. Training and/or experience may include preparing or reviewing research and detailed investigations of historic structures, such as a Historic Structure Report that assesses the character-defining features and physical conditions of a historic building or bridge; preparing or reviewing recommendations for the treatment of properties in accordance with the ; documentation that meets HABS/HAER standards for recording historic buildings or structures; mitigation measures for project that physically impact historic buildings or structures and such measures were approved by a State Historic Preservation Officer.
  

Principal Architectural Historians with requisite education and experience ensure the applicability of the California Historical Building Code for state-owned historical resources.

Caltrans environmental personnel are classified under the State Personnel Board classification system within the Environmental Planner series. This series provides for generalist and specialist classes. The civil service classifications for specialists in cultural resources at the entry or associate level are Environmental Planner (Archaeology), which includes both prehistoric and historical archaeologists, and Environmental Planner (Architectural History), which includes both architectural historians and historians. All specialists must meet minimum professional qualification standards for whatever duties they are assigned. Generalists, as well as specialists, often coordinate and manage cultural resources document preparation and processing and provide liaison with FHWA.

The California State Personnel Board established state standards for the archaeology, architectural history, and generalist classes of the Environmental Planner series. People employed by Caltrans must meet the minimum requirements set by these specifications in order to perform duties in the fields of archaeology, architectural history, history, and related cultural resources functions. Caltrans must ensure that cultural resources specialists meet the appropriate minimum requirements when hiring and promoting cultural resources staff.

The Secretary of the Interior's Professional Qualification Standards (1983) established professional qualifications standards for cultural resources specialists involved in historic preservation activities at all levels of government. Federal standards are generally more stringent than the State Personnel Board standards. In addition to applying the state standards in hiring cultural resources staff, Caltrans uses the federal qualifications as a guide. Using both sets of standards is designed to provide a credible and competent staff, and to ensure that Caltrans staff meet the standards of the federal agencies that review Caltrans' work in cultural resources management. Furthermore, Caltrans, FHWA, and SHPO have agreed that Caltrans staff performing work under the Section 106 PA must meet the requirements of Professionally Qualified Staff (PQS) as described in Section 106 PA Attachment 1.

Caltrans employees who perform primarily archaeological functions are subject to a third set of qualification criteria. These criteria designate working titles, not civil service classifications. They are based on the federal criteria and on guidelines set forth by the Register of Professional Archaeologists (RPA) and are codified in the Section 106 PA as distinct PQS levels. Specifically, staff may be qualified as a Crew Member, Lead Archaeological Surveyor, Prehistoric or Historical Archaeological Co-Principal Investigator, or Prehistoric or Historical Archaeological Principal Investigator depending on education and experience. These standards were developed to ensure that Caltrans' archaeological work is considered credible by review agencies, peer groups, and other outside groups that have knowledge and experience in dealing with archaeological resources. See Section 106 PA Attachment 1.