- Division of Environmental Analysis
- SER Home
- Purpose of the SER
- How To Use The SER - Printing Problems? Site Organization; Trouble with Acrobat Reader
- Topics Matrices
- Env Handbooks
- Vol 1: General -
Topics Chapters
- Vol 2: Cultural - Overview
- Chapter 1-- General Information
- Chapter 2 – Cultural Resources Procedures
- Chapter 3 – Native American Cultural Studies
- Chapter 4 – Cultural Resources Identification
- Chapter 5 – Prehistoric Archaeological Resources: Evaluation and Treatment
- Chapter 6 – Historical Archaeological Resources: Evaluation and Treatment
- Chapter 7 – Built Environment Cultural Resources: Evaluation and Treatment
- Exhibits
- Cultural Resources Templates
- Vol 3: Biological
- Vol 4: Community
- Storm Water
- Emergency Projects Environmental Process and Requirements
- Other Guidance
- Forms & Templates
- Policy Memos
- MOUs/MOAs
- Scoping Tools
- Training On Demand
- Acronyms and Abbreviations List
- Glossary
- ADA
- Contact SER Staff
- Questions about the SER?
- Caltrans staff - contact the Environmental Coodinator for your district.
- Local agency staff - contact the Caltrans
Local Assistance Engineer for your district.
- Suggestions or problems with this site, email the website coordinator or use the suggestion form.
Adobe Acrobat Reader is required to view and print PDF files. Adobe Acrobat is required to edit online forms and save them to your computer.
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
- Table B. Required Copies of Archaeological Documents
- Table C. Required Reviews for Cultural Resource Documents
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