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Last Updated: Friday, February 3, 2012 11:30 AM


Exhibit 2.11: REQUIRED COPIES and Required Reviews of Cultural Resources DOCUMENTS

Exhibit 2.11 PDF version here.

Table A: Section 106 and State-Only Documents

Document Copies to CCSO Copies directly to SHPO
HPSR: “Findings – HPSR to File” 0 0
HPSR: “Findings – HPSR to SHPO” 1 1
Supplemental HPSR (with properties) 1 1
Finding of No Historic Properties Affected (If prepared separately from HPSR) 1 1
Finding of No Adverse Effect 2 0
Finding of No Adverse Effect with Standard Conditions 1 1
Finding of Adverse Effect 2 0
Draft MOA 2 0
HRCR with PRC §5024 involvement 1* 1
PRC §5024 correspondence with SHPO 1*  
* = Send to Built Environment Preservation Services Branch (BEPS)

Table B: Required Copies of Archaeological Documents*

Document Copies to CCSO Copies to Info Center Copies to Consulting Parties (Tribes, etc.) Copies directly to SHPO Copies to Permitting Agencies (COE, USFS, etc.)
Proposals          
Extended Phase I 1 - #   1
Phase II (Archaeological Evaluation) 1 - #   1
Phase III (Data Recovery Plans, Treatment Plans, or Mitigation Proposals) 1 - #   1
Reports          
DPR 523 Record forms - 2 #   1*
ASR 1* 1 #   1*
Extended Phase I 1* 1 #   1*
Phase II (Archaeological Evaluation) 1* 1 #   1*
Phase III (Data Recovery, Final Excavation, or Mitigation Reports) 1 1 # 1 1
* = Include copies as attachments to management documents (HPSR or Findings of Adverse Effect).
# = Send copies to appropriate groups as requested.

Table C: Required Reviews for Cultural Resource Documents

Document Compliance Type Peer review
Caltrans Staff PQS Level
Review for Approval
Caltrans Staff PQS Level
Final Approval
Screened Undertaking Memo to File Satisfies Section 106 and CEQA, but is not a "Finding" Lead1 and above, AH2 and above Not required Not Required
CE Section 106 Checklist Satisfies Section 106 and CEQA, but is not a "Finding" Lead and above, AH and above Not required Not Required
         
ASR
No properties identified
Section 106 Finding
CEQA Finding
 PRC §5024 Finding
Co PI3
(Prehistoric or Historical Archaeology) and above
Co-PI
(Prehistoric or Historical Archaeology) and above
District or CCSO EBC
ASR
Properties identified
Section 106 Finding
CEQA Finding
PRC §5024 Finding
Co PI
(Prehistoric or Historical Archaeology) and above
Co-PI
(Prehistoric or Historical Archaeology) and above
District or CCSO EBC
Letter Report Section 106 Finding when Section 106 PA does not apply Co-PI and above and/or PAH4 , as appropriate Co-PI and above or PAH, as appropriate District or CCSO EBC
AER
Eligibility determination (eligible or not eligible)
Section 106 Finding
CEQA Finding
PRC §5024 Finding
PI
(Prehistoric Archaeology)
PI
(Prehistoric Archaeology)
District or CCSO EBC
HRER
Historical archaeology
Eligibility determination (eligible or not eligible)
Section 106 Finding
CEQA Finding
PRC §5024 Finding
PI
(Historical Archaeology)
PI
(Historical Archaeology)
District or CCSO EBC
HRER
Built environment
(eligible or not eligible)
Section 106 Finding
CEQA Finding
PRC §5024 Finding
PAH PAH District or CCSO EBC
Bridge Evaluation Short Form Section 106 Finding
CEQA Finding
PRC §5024 Finding
PAH PAH District or CCSO EBC
ESA Action Plan Used in Section 106 consultation
Supports CEQA Finding
Supports PRC §5024 Finding
PI and/or PAH, as appropriate PI and/or PAH, as appropriate District or CCSO EBC
XPI Proposal and Report Used in Section 106 consultation
Supports CEQA Finding
Supports PRC §5024 Finding
PI
(Prehistoric or Historical Archaeology, as appropriate)
PI
(Prehistoric or Historical Archaeology, as appropriate)
District or CCSO EBC
Phase II Proposal
and Report
Used in Section 106 consultation
Supports CEQA Finding
Supports PRC §5024 Finding
PI
(Prehistoric or Historical Archaeology, as appropriate)
PI
(Prehistoric or Historical Archaeology, as appropriate)
District or CCSO EBC
Phase III
(Data Recovery) Proposal and Plan
Used in Section 106 consultation
Supports CEQA Finding
Supports PRC §5024 Finding
PI
(Prehistoric or Historical Archaeology, as appropriate)
PI
(Prehistoric or Historical Archaeology, as appropriate)
District or CCSO EBC
         
No Adverse Effect Finding w/Standard Conditions Section 106 Finding PI and/or PAH, as appropriate PI and/or PAH, as appropriate District or CCSO EBC
No Adverse Effect Finding without  Standard Conditions Section 106 Finding PI and/or PAH, as appropriate PI and/or PAH, as appropriate District or CCSO EBC
Finding of Adverse Effect Section 106 Finding PI and/or PAH, as appropriate PI and/or PAH, as appropriate District or CCSO EBC
Memorandum of Agreement Section 106 Finding PI and/or PAH, as appropriate PI and/or PAH, as appropriate District Director
         
HPSR to File
No cultural resources in the APE
Section 106 Finding Lead and above, AH and above Lead and above, AH and above District or CCSO EBC
HPSR to File
Resources Exempt from Evaluation
Section 106 Finding Lead and above, AH and above Lead and above, AH and above District or CCSO EBC
HPSR to File
No Historic Properties Affected: APE contains previously evaluated as not eligible for the National Register
Section 106 Finding Lead and above, AH and above Lead and above, AH and above District or CCSO EBC
HPSR to File
No Historic Properties Affected: National Register listed/eligible properties are within the APE
Section 106 Finding PI and/or PAH, as appropriate PI and/or PAH, as appropriate District or CCSO EBC
HPSR to SHPO
No Adverse Effect with Standard Conditions
Summary document
SHPO notification
*5 PI and/or PAH, as appropriate * PI and/or PAH, as appropriate District or CCSO EBC
HPSR to SHPO
Resources in the APE required evaluation, both ineligible and eligible resources
Summary document,
SHPO consultation
* Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
         
HRCR to File
No cultural resources in the PAL6
CEQA Finding
PRC §5024 Finding
Lead and above, AH and above Lead and above, AH and above District or CCSO EBC
HRCR to File
Resources Exempt from Evaluation
CEQA Finding
PRC §5024 Finding
Lead and above, AH and above Lead and above, AH and above District or CCSO EBC
HRCR to File
Resources in PAL required evaluation, both ineligible and eligible resources, but no evaluated resources are state-owned
Summary document * Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to SHPO
Resources in PAL required evaluation, both ineligible and eligible resources, and include state-owned resources that were evaluated.
Summary document
SHPO PRC §5024 notification and/or consultation
* Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to File
No Impact to Historical Resources: PAL contains resources previously evaluated as not eligible for the National Register, California State Historical Landmark, California Register or as a historical resource under CEQA
Summary document Lead and above, AH and above Lead and above, AH and above District or CCSO EBC
HRCR to File
No Impact to Historical Resources: Historical resources are within the PAL and none are state-owned
Summary document * Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to SHPO
No Impact to Historical Resources / No Effect: PAL contains historical resources, including state-owned historical resources
Summary document
SHPO PRC §5024 notification
* Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to File
No Substantial Adverse Change: PAL contains historical resources and none of the historical resources are state-owned
Summary document * Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to SHPO
No Substantial Adverse Change / No Adverse Effect: PAL contains historical resources and include no adversely affected state-owned historical resources, regardless of whether Standard Conditions applyto state-owned historical resources
Summary document
SHPO PRC §5024 notification and/or consultation
* Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to File
Substantial Adverse Change: PAL contains historical resources are and none of the historical resources are state-owned
Summary document * Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC
HRCR to SHPO
Substantial Adverse Change / Adverse Effect: PAL contains historical resources are and include adversely affected state-owned historical resources
Summary document
SHPO PRC §5024 notification and/or consultation
* Lead and above, AH and above * Lead and above, AH and above District or CCSO EBC

1 Lead Archaeological Surveyor

2 Architectural Historian

3 Co-Principal Investigator

4 Principal Architectural Historian

5 * Attached reports and studies must be peer reviewed and approved by appropriate Caltrans PQS at the Principal Investigator (Prehistoric Archaeology, Historical Archaeology) or Principal Architectural Historian level

6 Project Area Limits