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


Exhibit 2.15 HISTORICAL RESOURCES COMPLIANCE REPORT FORMAT AND CONTENT GUIDE

Exhibit 2.15 PDF version here.

Exhibit 2.15: HISTORICAL RESOURCES COMPLIANCE REPORT FORMAT AND CONTENT GUIDE

Caltrans uses the Historical Resources Compliance Report (HRCR) for projects and activities without federal involvement, as defined in Chapter 2. The HRCR combines identification, evaluation, impact assessment, and mitigation into a single document.

Caltrans policy is to use the instructions outlined in the attachments to the Section 106 Programmatic Agreement (Section 106 PA) in defining professionally qualified staff (Section 106 PA Attachment 1), defining screened projects and activities (Section 106 PA Attachment 2), setting project area limits (Section 106 PA Attachment 3), defining resources exempt from evaluation (Section 106 PA Attachment 4), establishing Environmentally Sensitive Areas (Section 106 PA Attachment 5) and developing data recovery plans (Section 106 PA Attachment 6). 

General HRCR Format

Narrative HRCR Format
  • Title page
  • Summary of Findings (not included on short form)
  • Project Description
  • Consulting Parties and Public Participation
  • Summary of Identification Efforts
  • Exempt from Evaluation / No CEQA Resources Identified
  • CEQA Historical Resources Identified
  • CEQA Impact Findings
  • Mitigation Plan
  • Findings for State-owned Cultural Resources
  • Attachments
  • Maps
  • DPR 523 Forms
  • Other Attachments
Don’t forget the transmittal letter to SHPO for state-owned resources.

The HRCR either may follow a narrative format or the “short form” format included at the end of this exhibit. The HRCR short form is available in electronic format through the Headquarters Cultural & Community Studies Office and on-line at the Division of Environmental Analysis website. Either the short-form HRCR or a narrative format HRCR may be used, but it is recommended that the narrative format be used when a project is large, complex or controversial. Whichever format is used, be sure to include the following information as necessary in the appropriate HRCR.

Title Page

The title page identifies the Caltrans project by:

  • Name and type of investigation
  • County, route and post-miles, and kilometer post
  • Expense Authorization

The page also includes

  • Name, title, location and signature of the Caltrans Branch Chief (EBC) for whom the report was prepared. The EBC’s signature on the title page indicates approval and acceptance of the document
  • Name, title and signature of the Caltrans Professionally Qualified Staff (PQS) or consultant PQS who prepares the report, along with his/her address
  • Name, title and signature of the Caltrans Professionally Qualified Staff (PQS) who reviews the report for approval, along with his/her address
  • Month and year HRCR was prepared (appears at bottom of page) If a consultant PQS prepares the HRCR, the project contract number should appear below the Expense Authorization number.

If the HRCR short form is used the title page is not necessary. The signatures appear at the end of the short form.

 

Summary of Findings

This section contains all the information necessary for a casual reader to understand the intent, methods and results of the study. It includes:

  • A concise description (abstract) of the proposed project
  • Purpose and scope of the investigation
  • Results of the investigation
  • Dates of fieldwork
  • Statement regarding the number of cultural resources within the Project Area that were examined and whether each appears eligible for the National Register of Historic Places (National Register) or is a historical resource for purposes of CEQA
  • If there are state-owned resources within the Project Area, a statement providing notice and summary to, and for buildings and structures requesting comments from the State Historic Preservation Officer’s (SHPO) under the relevant sections of Public Resources Code (PRC) §5024. See Chapter 2, Section 2-9.7 for details.

If there are historical resources, this section needs to include a concise summary paragraph for each eligible resource that includes

  • The name and location of the resource
  • Applicable criteria
  • Period and level of significance
  • Verbal description of the historical resource boundaries

A Summary of Findings section is not necessary when the HRCR short form is used because the findings are summarized on the short form in Sections 6 through 9, as appropriate.

Project Description

Included in this section is a discussion of the nature and scope of the project:

  • Scope of the proposed work, including project components (left-turn lane widening, addition of passing lane, the need for new right-of-way, rehabilitation, maintenance, new additions, transfer out of Caltrans ownership, etc.)
  • Environment, including whether the project lies in an urban or rural area
  • Nature and purpose of the study relative to state regulations
  • Citation of all pertinent maps (Project Vicinity, Project Location, Project Area limits, etc.)

For highway projects details of the proposed project should be limited to the major design features. Define the Project Area limits. Attach a map delineating the Project Area limits.

Consulting Parties and Public Participation

Summarize coordination efforts and public comments received to date. If the project is simple, limit these to contacts (including form letter notifications) with local historical societies, Native Americans, governments, or other interest groups. For projects involving Negative Declarations (ND) and Environmental Impact Reports (EIR) public involvement may include map displays or public hearings. Describe CEQA public involvement events that are expected as well as those that have occurred.

Summary of Identification Efforts

Include inventories, facilities, and persons consulted: at a minimum, the following:

  • National Register of Historic Places and updates;
  • California Register of Historical Resources;
  • California Inventory of Historic Resources;
  • California Historical Landmarks;
  • The appropriate Information Center of the California Historical Resources Information System.

Note any other sources (human or archival) used, such as county assessors records, historical society or museum archives, interviews or oral histories taken from property owners or old-timers, etc. Describe the results of the research.

Exempt From Evaluation / No CEQA Historical Resources Identified

Complete this section when one or more of the following applies.

  • There are no cultural resources in the Project Area limits.
  • The only/only other cultural resources present within the Project Area limits are exempt from evaluation because they meet the criteria set forth in the Section 106 Programmatic Agreement (Section 106 PA) Attachment 4 (Properties Exempt from Evaluation) and do not meet any criteria outlined in CEQA Guidelines §15064.5(a) [Name of Caltrans PQS or consultant], __________, who meets the Professionally Qualified Staff Standards in Section 106 PA Attachment 1 as a [Indicate name and appropriate PQS level of Caltrans or consultant architectural historian or archaeologist. See for Resources Exempt from Evaluation more information.]
  • Bridges listed as Category 5 in the Caltrans Historic Highway Bridge Inventory & updates, do not meet the criteria outlined in PRC §5024.1 [California Register of Historical Resources (California Register)] and are not locally designated or otherwise identified as significant in a local survey meeting SHPO standards. [This assumes that the Caltrans PQS has determined the bridge also is not a historical resource for purposes of CEQA.]
  • The following resources within the Project Area limits previously were determined not eligible for National Register inclusion, previously determined not to meet the criteria outlined in PRC §5024.1 (California Register), and/or previously determined not to be historical resources for purposes of CEQA as outlined in CEQA Guidelines §15064.5(a)(1) - (3). [List the resources, including dates of determination; and which resources are State-owned. This assumes that the Caltrans PQS has confirmed the determination is still valid and the resource is not a historical resource for purposes of CEQA.]

Resources Exempt from Evaluation

Do not list resources that meet the criteria for Section 106 PA Attachment 4 (Properties Exempt from Evaluation). Instead include the appropriate paragraph, or check the appropriate box(es) on the HRCR short form, as follows:

[Name of Caltrans architectural historian], who meets the Professionally Qualified Staff Standards in Section 106 PA Attachment 1 as an Architectural Historian or above, has reviewed the project’s Project Area and confirmed that the only other resources present within the Project Area, including state-owned resources, meet the criteria for Section 106 PA Attachment 4 (Properties Exempt from Evaluation).

[Name of Caltrans archaeologist], who meets the Professionally Qualified Staff Standards in Section 106 PA Attachment 1 as a Lead Archaeological Surveyor or above, has reviewed the project’s Project Area and confirmed that the only other resources present within the Project Area, including state-owned resources, meet the criteria for Section 106 PA Attachment 4 (Properties Exempt from Evaluation).

List of Identified Cultural Resources That are Not Historical Resources

List cultural resources that were identified within the Project Area, and provide pertinent information for each of them. Include concise but sufficient background and contextual information about the project area so that the reader can understand the lack of significance of the evaluated resources. Use the format outlined in Format for list of resources in the HRCR.

  • Historic properties previously determined not eligible for the National Register. [List the resources. This assumes that the Caltrans PQS has confirmed the determination is still valid and the resource also is not a historical resource for purposes of CEQA.]
  • Evaluated resources that Caltrans has determined do not meet National Register or the criteria outlined in PRC §5024.1 (California Register) criteria, referring to relevant attached supporting documentation. [If evaluated resources are state-owned, consultation with SHPO is required; see SHPO Review of HRCR for State-owned Resources.]
  • Resources that Caltrans has determined are not significant resources under CEQA, referring to relevant attached supporting documentation. [If evaluated resources are state-owned, consultation with SHPO is required; see SHPO Review of HRCR for State-owned Resources.]

If the Keeper previously determined, or SHPO previously concurred, that a resource is not eligible for listing in the National Register, attach the Keeper or SHPO letter. For Category 5 bridges, attach the appropriate Caltrans Historic Bridge Inventory sheets.

If using the HRCR short form, check the applicable boxes, include the required information and delete the statements that do not apply.

CEQA Historical Resources Identified

Caltrans PQS or qualified consultants may prepare either the HRCR short form or prepare a narrative version when there are cultural resources within the Project Area that: need evaluation [whether or not meet California Register or, for state-owned resources, National Register or California Historical Landmark (CHL) criteria]; or were previously identified as historic through CEQA, PRC §5024 or Section 106 processes. If the project or activity is large or complex, the project area contains a large number of resources, or the proposed project is controversial, a narrative HRCR format should be prepared instead of using the short-form version.

List of Identified Historical Resources

List cultural resources that were identified within the Project Area, and provide pertinent information for each of them. Include concise but sufficient background and contextual information about the project area so that the reader can understand the significance of the evaluated resources. Use the format described in Format for list of resources in the HRCR. Be sure to include summary information about National Register eligibility and why it is a historical resource under CEQA.

One or more of the following findings may apply. Include, as appropriate:

  • Not applicable.
  • Caltrans, pursuant to CEQA Guidelines §15064.5(a), evaluated the following resources within the Project Area limits and determined that they do not meet National Register criteria but are historical resources for purposes of CEQA because they: are listed in the California Register or were determined eligible by the State Historical Resources Commission [§15064.5(a)(1)], are included in a local register or identified as significant in a local survey meeting OHP standards [§15064.5(2)], or Caltrans, as the lead agency, has determined that they meet the criteria for listing in the California Register [CEQA Guidelines §15064.5(a)(3) - (4)]. [Provide a brief summary of why the resource is significant, as outlined below.]
  • Caltrans has determined that the following archaeological sites shall be considered eligible for the National Register and/or the California Register without conducting subsurface testing or surface collection within the Project Area limits, for which the establishment of an ESA will protect the sites from any potential effects. See attached documentation. [Provide a brief summary of why the resource is significant, as outlined below.]
  • The following resources within the Project Area limits previously were listed or determined eligible for inclusion in the National Register, were automatically listed in the California Register and are significant resources for the purposes of CEQA, pursuant to CEQA Guidelines §15064.5(a)(1) [Include date of listing or determination, and reasons why, as outline below. This assumes that the Caltrans PQS has confirmed the determination is still valid and the resource still is a historical resource for purposes of CEQA.]
  • Caltrans, pursuant to CEQA Guidelines §15064.5(a)(3) – (4), evaluated the following resources within the Project Area limits and determined that they meet National Register and the California Register criteria and are historical resources for purposes of CEQA. [Provide a brief summary of why the resource is significant, as outlined below.]
  • Caltrans has evaluated the following State-owned historical buildings and structures within the Project Area limits, meet the National Register and/or California Historical Landmark criteria and are to be added to the Master List, per PRC §5024(b) and (d). [Provide a brief summary of why the resource is significant, as outlined below.]

Format for list of resources in the HRCR

To facilitate entry into computerized inventories, the identifying information for each resource needs to follow a specific format that includes the name of a property (if there is one), location, the community within which the resources is located (or the nearest community), the OHP historical resource status code if available, and the Map Reference number that is keyed to the Project Area map. For example:

The following resources meet the criteria for inclusion in National Register and are historical resources under CEQA:

Name Address/Location Community OHP Status Code Map Ref. #
Smith House 451 Main St. Anywhere, CA 2 (MR #1)
Ortega Feed Store 10097 Highway 4 Anywhere (vic.), CA 2 (MR #5)

None of the following resources meet the criteria for inclusion in the National Register and are not historical resources under CEQA:

Name Address/Location Community OHP Status Code Map Ref. #
Able’s Prune Packing Plant 35 E. Canterbury St. Someplace, CA 6 (MR #1)
Melville Apts. 8012 S. Oceanview Dr. Someplace, CA 6 (MR #5)
Little River RR Viaduct   Along SR 43, KP 10.7 El Nido, CA 6 (MR #18)

The following state-owned buildings and structures are meet the criteria for inclusion in the National Register and need to be included in the Master List of Historical Resources (Master List) pursuant to PRC §5024(d):

Name Address/Location Community OHP Status Code Map Ref. #
Edelberg House 496 Main St. Anywhere, CA 4 (MR #25)
Summit Maintenance Stn 10099 Highway 4 Anywhere (vic.), CA 4 (MR #6)

Repeat for resources that are historical resources for the purposes of CEQA, and those that are not historical resources for purposes of CEQA because they do not meet the California Register criteria. 

Provide the site trinomial (e.g., CA-Tri-433) for each archaeological site covered in the document. Temporary numbers are not acceptable.

The OHP Historical Resource Status Codes (OHP Technical Assistance Bulletin #8) were revised in August 2003. Among other changes California Register listings and eligibility determinations have been added as extensions to the code. For example “1S” means a historic property individually listed in the National Register and also listed in the California Register, while “1CS” means a property individually listed in the California Register only. As of August 2003 status code “4” applies only to state-owned resources that are included in the Master List through the PRC §5024 compliance process.

Provide a brief summary of eligible cultural resource that includes:

  • Historic and/or common name and map reference number. Add the bridge number if the resource is a bridge or the Trinomial if the resource is an archaeological site.
  • Address or location (unless it is an archaeological site for which the location is confidential)
  • Applicable National Register and California Register criteria with a phrase that describes how the resource meets the identified criteria. If the resource also is a National Register criteria consideration or California Register criteria consideration, include the appropriate “consideration” letter or number.
  • Period of significance
  • Level of Significance (local, state, national)
  • Rough boundary descriptions
  • Contributing and noncontributing elements

If the Keeper previously determined a property to be eligible for inclusion in the National Register or SHPO previously concurred on National Register eligibility, attach the Keeper or SHPO letter. Appropriate technical studies (ASR, HRER, Caltrans Historic Bridge Inventory sheet, etc.) need to be attached to the HRCR.

If using the HRCR short form, check the applicable boxes, include the required information and delete the statements that do not apply.

CEQA Impact Findings

For each resource assessed as significant, describe the impact of the project on the resource. Quantify physical impacts to the extent possible. The appropriate Caltrans or consultant PQS should prepare the analysis. See Section 106 PA Attachment 1, and Chapter 1 Sections 1-3.3 and 1-3.4. The federal Criteria of Adverse Effect (36 CFR §800.5) provides useful guidance for categorizing the impact of the project on historical resources. See also Chapters 2 and 7 for discussions of impacts to historical resources.

State whether the impacts can be mitigated below the level of significant impact (no substantial adverse change) by using the Secretary of the Interior’s Standards for the Treatment of Historic Properties With Guidelines for Preserving, Rehabilitating, Restoring & Reconstructing Historic Buildings (Standards).

If the only activity under consideration is maintenance, repair, stabilization, rehabilitation, restoration or preservation of a historical resource and the work is done according to the Standards, state that the project is considered a Class 31 project and is categorically exempt from CEQA. To ensure these activities are consistent with these standards, they must be reviewed by, or under the direct supervision of, a Principal Architectural Historian who has the requisite education and experience as outlined in Chapter 1 Section 1-3.3.

One or more of the following CEQA Impact Findings may be applicable to the project and may be included in this section.

  • Not applicable; Caltrans is not the lead agency under CEQA.
  • Caltrans has determined a finding of no impact is appropriate because there are no historical resources within the Project Area limits, or there are no impacts to historical resource(s), pursuant to CEQA Guidelines §15064.5(b)(3).
  • Caltrans has determined a finding of no substantial adverse change - ESAs, because the impacts to the following historical resources within the Project Area limits will be mitigated to below the level of significance by using the Secretary of the Interior’s Standards for the Treatment of Historic Properties With Guidelines for Preserving, Rehabilitating, Restoring & Reconstructing Historic Buildings (Standards) pursuant to CEQA Guidelines §15064.5(b). Establishment of Environmentally Sensitive Areas (ESA), enforcement measures and conditions that utilize the Standards are included in the attached documentation. [Include all restrictions on activities within the ESA, describe how the restrictions will be enforced (e.g., by placing the restrictions in the PS&E, fencing, monitoring construction, etc.), and include the name and appropriate PQS level of the Caltrans PQS who reviewed the ESA plan. Or, attach the ESA Action Plan, as appropriate. Include any other relevant information to support the proposed finding.]
  • Caltrans has determined a finding of no substantial adverse change – rehabilitation / repair / maintenance / direct or indirect alteration / transfer with protective easements, covenants and/or agreements because the impacts to the following historical resources within the Project Area limits will be mitigated below the level of significant impact by using the Secretary of the Interior’s Standards for the Treatment of Historic Properties With Guidelines for Preserving, Rehabilitating, Restoring & Reconstructing Historic Buildings (Standards), pursuant CEQA Guidelines §15064.5(b). __________ [Name of Caltrans PQS], __________, who meets the Professionally Qualified Staff Standards in Section 106 PA Attachment 1 as a __________________ [Indicate applicable PQS level: Principal Architectural Historian or Principal Investigator], and has the appropriate education and experience, has reviewed the documentation and determined that the measures meets the Standards. [Include description of rehabilitation or indicate the title of the HRCR attachment that contains the description.]
  • Caltrans has determined that the project is a Class 31 project and is categorically exempt because the project is limited to maintenance, repair, stabilization, rehabilitation, restoration, conservation or reconstruction of the following historical resources in a manner consistent with the Secretary of the Interior’s Standards for the Treatment of Historic Properties With Guidelines for Preserving, Rehabilitating, Restoring & Reconstructing Historic Buildings, pursuant to CEQA Guidelines §15331.
  • Caltrans has determined that a finding of substantial adverse change to historical resources is appropriate for this project, pursuant to CEQA Guidelines §15064.5(b) because the project will cause adverse change to the following historical resources within the Project Area limits. See attached documentation. [Include description of the adverse change and refer the reader to the Mitigation Plan section of the HRCR, and to relevant exhibits.]

Mitigation Plan

In this section, appropriate Caltrans or consultant PQS preparing the HRCR need to describe the mitigation that is planned to offset project impacts on each historical resource. For archaeological sites, summarize the data recovery to be performed. When mitigation plans are not yet complete, describe a range of suitable mitigation options (e.g., moving or demolishing structure), from which final mitigation will be selected.

For state-owned historical buildings and structures Caltrans needs to include proposed measures that are prudent and feasible and that would avoid or mitigate adverse effects to those resources.i If there is no prudent and feasible alternative, provide justification that details why this is the case. Indicate the level of consultation with the State Historical Building Safety Board, in applying the California State Historical Building Code to reduce impacts to the resource(s), as well as the outcome of the consultation.

i PRC §5024 uses the term “effect” while CEQA uses the term “impact”

Findings for State-Owned Cultural Resources

When there are state-owned cultural resources in the Project Area limits, Caltrans needs to document compliance with PRC §5024, even when the project is a federal undertaking. See Exhibit 2.8 for more information on documenting findings for state-owned resources involved in a federal undertaking. One or more of the following findings may apply:

  • This section is not applicable because the project does not involve Caltrans right-of-way or Caltrans-owned property. [Caltrans does not need to consult with SHPO under PRC §5024.]
  • Caltrans has determined that there are no State-owned cultural resources within the Project Area limits. [Caltrans does not need to consult with SHPO under PRC §5024.]
  • Caltrans has determined that State-owned resources (built environment and archaeological resources) within the Project Area limits are exempt from evaluation because they meet the criteria set forth in the Section 106 Programmatic Agreement (Section 106 PA) Attachment 4 (Properties Exempt from Evaluation) or were previously determined not eligible for inclusion in the National Register and/or registration as a CHL and that determination is still valid. [Caltrans does not need to consult with SHPO under PRC §5024 because SHPO has indicated that use of the Attachment 4 is acceptable compliance.]
  • Pursuant to PRC §5024(b) Caltrans has evaluated and determined that the following State-owned buildings and structures within the Project Area limits do not meet National Register and/or CHL eligibility criteria. [List the resources or refer the reader to that section of the HRCR. Caltrans must consult with SHPO under PRC §5024.]
  • Caltrans has evaluated and determined that the following State-owned archaeological sites, objects, districts, landscapes within the Project Area limits do not meet the National Register and/or CHL eligibility criteria. [List the resources or refer the reader to that section of the HRCR. Caltrans must provide notice and summary to SHPO under PRC §5024; see below under effect finding statements.]
  • Caltrans has determined that the following State-owned buildings and structures previously included in the Master List of Historical Resources are within the Project Area limits. [List the resources or refer the reader to that section of the HRCR. Caltrans must consult with SHPO under PRC §5024; see below under effect finding statements.]
  • Caltrans has determined that the following State-owned archaeological sites, objects, districts, landscapes within the Project Area limits previously were listed or determined eligible for or listed in the National Register and/or eligible or registered as a CHL. [List the resources or refer the reader to that section of the HRCR. Caltrans must provide notice and summary to SHPO under PRC §5024; see below under effect finding statements.]
  • Caltrans has evaluated and determined that the following State-owned buildings and structures that meet National Register and/or the CHL eligibility criteria are within the Project Area limits and requests that SHPO add these resources to the Master List of Historical Resources pursuant to PRC §5024(d). [List the buildings and/or structures. Caltrans must consult with SHPO under PRC §5024.]
  • Caltrans has evaluated and determined that the following State-owned archaeological sites, objects, districts, landscapes within the Project Area limits meet the National Register and/or CHL eligibility criteria. [List the resources or refer the reader to that section of the HRCR. Caltrans must provide notice and summary to SHPO under PRC §5024; see below under effect finding statements.]
  • Caltrans has determined that this project will have no effect to state-owned archaeological sites, objects, districts, landscapes within the Project Area limits that meet National Register and/or CHL eligibility criteria and is providing notice and summary to SHPO pursuant to PRC §5024(f). [Caltrans provide notice and summary to SHPO under PRC §5024.]
  • Caltrans has determined that this project will have no effect on state-owned buildings and structures within the Project Area limits that meet National Register and/or CHL eligibility criteria and is providing notice and summary to, and request comments from, SHPO pursuant to PRC §5024.5.. [I Caltrans must consult with SHPO under PRC §5024.]
  • Caltrans has determined that this project will have no adverse effect to state-owned archaeological sites, objects, districts, landscapes within the Project Area limits that meet National Register and/or CHL eligibility criteria and is providing notice and summary to SHPO pursuant to PRC §5024(f). [Include description of proposed treatments, ESAs, conservation easements, protective covenants, etc., or indicate which HRCR attachment contains the description. Caltrans must provide notice and summary to SHPO under PRC §5024.]
  • Caltrans has determined that this project will have no adverse effect on state-owned buildings and structures within the Project Area limits that meet National Register and/or CHL eligibility criteria. _________ [Name of Caltrans PQS or consultant], who meets the Professionally Qualified Staff Standards in Section 106 PA Attachment 1 as Principal Architectural Historian, and has the appropriate education and experience, has reviewed the documentation and determined that it meets the Secretary of the Interior’s Standards for the Treatment of Historic Properties. Caltrans is providing notice and summary to, and request comments from, SHPO pursuant to PRC §5024.5. [Include description of proposed repairs, rehabilitation, or indicate which HRCR attachment contains the description. Caltrans must consult with SHPO under PRC §5024.]
  • Caltrans has determined that this project will have an adverse effect to state-owned archaeological sites, objects, districts, landscapes within the Project Area limits that meet National Register and/or CHL eligibility criteria. ___________ [Name of Caltrans PQS], [applicable PQS level: Principal Architectural Historian or Principal Investigator] has reviewed the documentation. Caltrans is providing notice and summary to SHPO pursuant to PRC §5024(f). [Include a description of alternatives considered and proposed mitigation measures, or indicate which HRCR attachment contains the description. Caltrans must provide notice and summary to SHPO under PRC §5024.]
  • Caltrans has determined that this project will have an adverse effect on state-owned buildings and structures within the Project Area limits that meet National Register and/or CHL eligibility criteria. ____________ [Name of Caltrans PQS]: Principal Architectural Historian] has reviewed the documentation. Caltrans is providing notice and summary, and request comments from, SHPO pursuant to PRC §5024.5. [Include a description of alternatives considered and proposed mitigation measures, or indicate which HRCR attachment contains the description. Caltrans must consult with SHPO under PRC §5024.]
  • For state-owned qualified historical buildings and properties within the Project Area limits, Caltrans has applied the California Historical Building Code (CHBC) to relevant sections of the current code(s) and/or standards and, if applicable, has consulted with the State Historical Building Safety Board (SHBSB) through its Executive Director pursuant to Health and Safety Code Section 18961 and its implementing regulations at California Code of Regulations Title 24 Part 8 Section8-103.2. [Indicate whether use of current code(s) and standards adversely affected character-defining features of the property and describe the alternative solutions under the CHBC, or indicate which HRCR attachment contains the description. If applicable, attach copies of correspondence with the SHBSB or its Executive Director. Caltrans does not need to consult with SHPO under PRC §5024 on the application of the CHBC.]

Attachments

Include, at minimum, the Project

  • Location map
  • Vicinity map, and
  • Project Area map

The Project Area map should illustrate the proposed project, upon which the Project Area limits have been delineated. If no cultural resources are present the Project Area map needs to be of sufficient scale to document the Project Area.

If cultural resources are present, the Project Area map needs to be of sufficient scale (200' scale is preferred) and have enough project detail to demonstrate the relationship of historic properties to the proposed project. This is especially important because the HRCR also serves as the mitigation document for the project. Clearly show the Project Area, the location of all resources discussed, the boundaries of any eligible or listed historical resources, and the boundaries of any ESAs used. Include a scale and north arrow.

a) Photographs and Other Exhibits

Include other appropriate exhibits. Good clear exhibits and graphics are invaluable to demonstrate the arguments and decisions discussed made in the text. 

Photos and graphics that illustrate the following can enhance the HRCR’s effectiveness as a consultation tool:

  • Integrity (or lack thereof) of cultural resource(s)
  • Integrity of setting for cultural resource(s),
  • Engineering plans,
  • Profiles and cross-sections that show the actual limits of project impacts.

b) Appendices

Include, as appropriate:

  • Archaeological Survey Report, Extended Survey Report, Archaeological Evaluation Report
  • Historical Resources Evaluation Report
  • Bridge Evaluation or appropriate Caltrans Historic Bridge Inventory sheet
  • Test Excavation Report
  • Letters from historical societies, Native American groups, local governments, and other special interest groups, the SHPO, etc.

HRCR Preparation and Approvals

Caltrans PQS or a qualified consultant prepares the draft HRCR. Caltrans PQS in the appropriate disciplines need to peer review the draft HRCR. Prior to submitting the draft HRCR and attachments to Caltrans for review, it is advisable that consultants have their documents peer reviewed by someone who meets the Secretary of the Interior's Professional Qualification Standards in the discipline(s) that are appropriate to the cultural resources within the project area limits.

HRCRs need at least three reviews:

  • Peer review of the draft HRCR by District or CCSO PQS, at the appropriate level for the contents of the HRCR
  • Review of the final HRCR for EBC approval District or CCSO PQS, at the appropriate level
  • Review and approval of the final HRCR by the EBC

Prior to submitting the draft HRCR and attachments to Caltrans for review, it is advisable that consultants have their documents peer reviewed by someone who meets the Secretary of the Interior's Professional Qualification Standards in the discipline(s) that are appropriate to the cultural resources within the project area limits.

Because HRCRs are, in essence, summary documents, Caltrans PQS at the Lead Archaeological Surveyor or Architectural Historian level or above may peer review the draft HRCR, as well as review the final HRCR for approval by the EBC. However, Caltrans PQS at the level appropriate to the type of cultural resources document must peer review and review for approve all attached documentation supporting CEQA and/or PRC §5024 findings (e.g., ASRs, AERs, HRERs, etc.)

Chapter 2 Section 2-5.5 explains the reasons for the specified levels of Caltrans PQS peer review, while Exhibit 2.11 Table C contains a chart with the various HRCRs findings and who is certified to conduct peer review and review for approval.

Peer reviewers follow the guidelines in Exhibit 2.14: Guidelines for Peer Review of Cultural Resources Reports. Peer reviewers’ names should be kept on record and comments retained in the project files. Once the HRCR has been peer reviewed and any revisions have been made, it is ready for approval.

After the draft HRCR has been peer reviewed and any necessary revisions are made, the Caltrans PQS or consultant who prepares the HRCR signs, dates the final HRCR and includes his/her discipline, PQS level (as applicable) and District/Headquarters or affiliation. The Caltrans PQS reviewing the HRCR for approval likewise signs, dates, and includes his/her PQS discipline, level and District. If the Caltrans PQS document preparer is certified at the Lead Archaeological Surveyor or Architectural Historian level or above, his or her signature on the final document also signifies review for EBC approval. The EBC signs and dates the HRCR to signify approval. For narrative HRCRs, these signatures need to be on the title page. For the HRCR short form, the signature boxes in Section 11, at the end of the form, need to be completed.

The PQS preparer, the Caltrans PQS and EBC-approval signatures on the form complete the cultural resources portion of CEQA compliance, except when state-owned resources are located within the Project Area. See SHPO Review of HRCR for State-owned Resources for information on processing HRCRs when state-owned resources are in the Project Area limits. If there are no state-owned historical resources within the Project Area, the document is filed in the district office and a summary of the HRCR findings is included in the appropriate CEQA environmental documentation.

SHPO Review of HRCR for State-owned Resources

If state-owned cultural resources are within the Project Area, and one or more of the state-owned resources was evaluated, or the state-owned resource previously was determined to meet National Register or CHL criteria, the DEB transmits a copy of the HRCR to the SHPO notifying SHPO of the project, providing the summary documentation in the HRCR of the results of evaluation and potential effects, and providing notice and summary documentation to SHPO, and for historic buildings and structures requesting SHPO’s comments under the appropriate sections of PRC §5024. If the resource is a building or structure that meets National Register and/or CHL criteria and has not already been added to the Master List, Caltrans also requests that SHPO do so, pursuant to PRC §5024(b).

The district Heritage Resource Coordinator (HRC) notifies and transmits a copy of the HRCR to the Built Environment Preservation Services (BEPS) Branch Chief in CCSO. This is required to demonstrate compliance with PRC §5024. The notification and document may be transmitted electronically to the BEPS Chief.

DEB does not need to forward the HRCR to SHPO in the following circumstances. The resources in the Project Area limits are:

  • State-owned historical resources that previously were determined not eligible for the National Register or as CHL and an appropriate Caltrans PQS has confirmed the prior determination is still valid.
  • State-owned buildings and structures that meet the criteria for Properties Exempt from Evaluation in Section 106 PA Attachment 4 and were reviewed by appropriately qualified Caltrans PQS. SHPO has indicated that use of the Attachment 4 is acceptable PRC §5024 compliance.
  • State-owned bridges that are listed as Category 5 in the Caltrans Historic Highway Bridge Inventory and an appropriate Caltrans PQS has confirmed the prior determinations are still valid.

When SHPO does not need to review and comment on the HRCR, the district HRC files one copy of the HRCR in the district files and forwards one copy to the CCSO BEPS Chief to demonstrate compliance with PRC §5024. However, for projects involving state-owned resources that SHPO otherwise would not review (as described above), Caltrans should request SHPO’s comments under PRC §5024 if there is: public controversy, disagreement among the PQS as to eligibility or effects; a state-owned resource that has a high profile, such as road segments that are part of state- or nationally recognized historic routes (e.g. Route 66, U.S. 40, Lincoln Highway, etc.).

HRCR Short Form

Caltrans has developed an HRCR short form template that may be used. Using the short form is optional; using a narrative HRCR always is acceptable. The short form is best used for simple projects, such as

  • Projects that are not large in scope,
  • Projects that do not contain a large number of evaluated resources, or
  • Projects for which no cultural resources or properties are located within the Project Area limits

Sections 3 through 10 contain the most frequently used statements and conclusions. One or more statement in these sections may apply, depending on the project. Statements that do not apply may be deleted.

To ensure consistency and to facilitate faster reviews of the HRCR, the headings are write-protected, and different versions of the document can be saved under a different name using the “Save As” command in Microsoft Word. If a section is not applicable, the heading will remain and the “Not Applicable” box may be checked. Deleting most of the instructions and irrelevant statements can shorten the short-form. Since the short-form is in a table format in Word, to delete the irrelevant lines:

  • Highlight the row(s) of text or space to be deleted
  • On the menu, click on Table (or its appropriate icon), then
  • Click on “Delete,” and the lines should disappear

A sample of the HRCR short-form template appears at the end of the exhibit. The template appears to be very long because it contains the most commonly used statements; those that do not apply may be deleted for the reasons stated above.

Sample HRCR Short Form

Sample HRCR form in PDF format. Adobe Acrobat Icon

[i] PRC §5024 uses the term "effect" while CEQA uses the term "impact"