Cultural_RFS_Memo.pdf

State of California California State Transportation Agency

DEPARTMENT OF TRANSPORTATION

“Provide a safe and reliable transportation network that serves all people and respects the environment”

M e m o r a n d u m Making Conservation a California Way of Life

To: TOM HOLSTEIN Date: January 7, 2026 Senior Environmental Scientist

Office of Local Assistance, District 4 File: 04-ALA

Federal Aid #: HSIPL 5050(054) ATTN: Thomas Premo

From: Abra Spiciarich

Senior Environmental Scientist, Archaeologist (Acting) Office of Local Assistance, District 4

Subject: Office of Local Assistance Section 106 Review of the Preliminary Environmental Studies (PES) Form for the Proposed Systemic Traffic Signal Improvements Project in Hayward, Alameda County, California.

Caltrans District 4 Office of Local Assistance (OLA) Professionally Qualified Staff (PQS) Abra Spiciarich, Principal Investigator—Prehistoric Archaeology, has reviewed the PES, the provided project information, along with the Caltrans Cultural Resource Database, aerial photographs, and maps.

Caltrans PQS have determined the proposed undertaking, HSIPL- 5050 (054), cannot be screened in accordance with the December 2024 Programmatic Agreement among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, The United States Army Corps of Engineers’ Sacramento District, San Francisco District, and Los Angeles District, and the California Department of Transportation Regarding Compliance with Section 106 of the National Historic Preservation Act (Section 106 PA), Appendix 2 and requires further studies. Caltrans PQS have determined this undertaking has the potential to affect historic properties. The following documents should be prepared for compliance with the PA: Area of Potential Effects (APE) Map, Archaeological Survey Report (ASR), and Historic Property Survey Report (HPSR). Please refer to the attached information for guidance on completing these documents and other PA-related obligations.

As this is a preliminary scoping, depending on the results of the aforementioned studies, further documentation may be required. If there are any questions or clarification is needed regarding this review, please contact Thomas Premo (Thomas.Premo@dot.ca.gov or 510-496-9273).

Caltrans District 4 Local Assistance Environmental Section 106 Documentation

Revision Date: September 3, 2025

Introduction

This information is being provided to you because this project has the potential to affect historic properties1 (see PES form).

The Local Agency will need to hire qualified Cultural Resources consultants to prepare documents for compliance with Section 106 of the National Historic Preservation Act of 1966 (as amended) (NHPA) and Caltrans Programmatic Agreement (PA) with the Federal Highway Administration, California State Historic Preservation Officer (SHPO), and the Advisory Council on Historic Preservation.

Guidance for consultant qualifications can be found online at Caltrans’ Standard Environmental Reference website (Volume 2, Chapter 1, Section 1.3.7).

Guidance for completing Section 106 documents may also be found online at Caltrans’ Standard Environmental Reference website. Conformity to Caltrans’ templates for all documentation is required.

Moreover, all Section 106 documentation will require review by Caltrans Professionally Qualified Staff

(PQS).

In Section B of the PES form, PQS have identified which Cultural Resources studies will be required for this project. Note that this is a preliminary opinion and may change as more project description and Cultural Resources information becomes available.

Area of Potential Effects (APE) Map

The first step in the process is to prepare a map showing the Area of Potential Effects (APE). The APE map may be prepared and submitted for review ahead of the Cultural Resources consultants starting work.

The APE map depicts the area that will be potentially affected by the project, including but not limited to, staging areas, access roads, utility relocation, temporary bridges, right-of-way acquisition and temporary construction easements2. Under direction of the PQS, the APE map should include the boundary of historic resources that are located within or immediately adjacent to the project area.

The primary number, trinomial, or designation should be listed.

The map should be plotted on an aerial photograph or other base at a scale of approximately 1 inch = 200 ft. A maximum size of 11 inches by 17 inches is preferred, using multiple sheets as necessary.

Typically, one APE line is depicted that includes all areas of direct impact, the entirety of all parcels from which there will be a right-of-way acquisition or temporary easement for construction or detour, and the boundary of any architectural history or archaeological properties. In addition to the APE boundary, and location of historic properties, the Area of Direct Impact should be delineated.

The APE map should have a title block that includes the project name, federal ID number, and three signature lines: Caltrans PQS, Local Assistance Engineer, and Local Agency Representative.

1 Historic Properties are defined as properties listed in, or meet the criteria for listing in, the National Register of Historic Places 2 A fuller explanation of the APE map delineation requirements can be found in the PA Appendix 3, https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ch1-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ch1-a11y.pdf https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-2-cultural-resources https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-2-cultural-resources https://www.nps.gov/subjects/nationalregister/index.htm

Revision Date: September 3, 2025

Caltrans will review and sign the APE map prior to reviewing studies as the APE map informs these reports. However, note that if historic properties are identified or the project scope changes, the APE map may require revision.

Cultural Resource Reports

Following completion of the APE map, Cultural Resources studies will need to be prepared by your consultants for submission to Caltrans3. At this time, your archaeological consultant should complete a records search and Sacred Lands File (SLF) search. Once results are received, please transmit to the assigned Environmental Planner. The Local Assistance District Native American Coordinator (LA-DNAC) will then initiate consultation with Native American tribes under Section 106. Refer to the Caltrans District 4 Local Assistance Environmental Section 106 Compliance for Native American Consultation document for further information.

Please follow the PES form or any subsequent advice from Caltrans PQS regarding what studies are required. The different reports are summarized below. Additionally, Figure 1 overleaf provides a flow chart of how the Section 106 process may be navigated.

Archaeological Survey Report (ASR), Exhibit 5.1*

Written by a professionally-qualified archaeologist, this report documents the efforts to identify archaeological resources within the Archaeological APE. It will also document the required Native American outreach efforts.

Historic Resource Evaluation Report (HRER), Exhibit 6.2*

Written by a professionally qualified architectural historian, this report documents the efforts to identify and evaluate built environment resources for the National Register of Historic Places within the Architectural APE. Each evaluation requires its own DPR form4 appended to the HRER. After District review, this requires a 30-day review at SHPO.

When there are no resources requiring evaluation, the HRER will not be required. Caltrans PQS are available to confirm to your consultants whether resources may be exempted from evaluation or when historic evaluations are simple enough that DPR forms can be submitted without a HRER.

Historic Property Survey Report (HPSR), Exhibit 2.9*

The HPSR serves as a summary report, to which the ASR and HRER, along with additional documentation defined below, are attached. Please use the HPSR short form.

*Exhibits can be found on the Caltrans SER website at https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-2-cultural-resources

3 Reports should not be submitted until the APE map is signed by Caltrans 4 Department of Parks and Recreation 523 Form https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-1-asr-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-6-2-hrer-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/env/hpsr-form-a11y.docx https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-2-9-hpsr-a11y.pdf

Revision Date: September 3, 2025

Figure 1: Flow Chart showing Section 106 process

Revision Date: September 3, 2025

XPI Proposal, Testing and Report, Exhibits 5.2 & 5.3*

An Extended Phase I (XPI) identifies archaeological resources through sub-surface testing. This may be required to confirm the presence or absence of a site(s), to define site boundaries or in areas of high sensitivity for buried archaeological deposits. A proposal (Exhibit 5.2) explaining and describing the field methods to be used needs to be approved by Caltrans PQS prior to any testing.

A report (Exhibit 5.3) on the results will then be prepared and submitted for Caltrans PQS review.

Archaeological Evaluation Report (AER), Exhibits 5.4 & 5.5*

The Archaeological Evaluation Report, also known as Phase II, provides the basis for determining whether an archaeological site is eligible for inclusion in the National Register. A proposal (Exhibit 5.4) describing the methods of evaluation needs to be approved by Caltrans PQS. The report (Exhibit 5.5) will then present the results of the excavation and provide recommendations on the eligibility of the site.

Data Recovery, Exhibits 5.6, 5.7, & 5.8*

Data Recovery is warranted as a mitigation measure when the project is assumed to or will have an adverse effect to an archaeological site. A Data Recovery Plan (DRP) (Exhibit 5.6) is a technical appendix to a FAE and/or a MOA. The purpose of a Data Recovery Plan is to demonstrate that Caltrans’ level of effort appears justified, and the expected costs are not unreasonable. The Archaeological Data Recovery Proposal (Exhibit 5.7), also referred to as a Phase III Proposal, is different from the DRP in that it builds on the DRP research design and provides a work plan with more detailed information concerning project schedule, personnel, and cost. An Archaeological Data Recovery Report (Exhibit 5.8), also referred to as a Phase III Report, serves to communicate data recovery findings.

Post-Review Discovery Plan, Exhibits 5.11 & 5.12*

A Discovery Plan (Exhibit 5.11) is appropriate if the potential for discovery of cultural resources during construction is likely and outlines the process that Caltrans and the Local Agency will implement to address potential adverse effect in the event that such resources are encountered.

It is also possible to conduct a reasonable and good faith effort to identify historic properties during the planning phase of a project and still encounter previously unrecorded archeological resources during the project’s implementation. In these instances, a Post-Review Discovery – Without Plan (Exhibit 5.12) will be followed.

Finding of Effect (FOE)

When Caltrans PQS has determined that a No Historic Properties Affected Finding is not appropriate, then the effects of the project on historic properties must be assessed. There are two effect findings - No Adverse Effect and Adverse Effect. A Finding of No Adverse Effect can be with or without standard conditions (SOIS or ESA). Please consult with Caltrans PQS to determine the appropriate finding:

a) Finding of No Adverse Effect - Secretary of Interior Standards (SOIS) (Exhibit 2.15*). This plan uses the Secretary of the Interior’s Standards for the Treatment of Historic Properties. It is https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-3-xpi-report-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-5-aer-report-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-6-drp-data-recovery-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-7-phiii-proposal-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-8-phiii-rpt-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-11-post-review-plan-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-12-post-review-noplan-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-2-xpi-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-5-4-aerproposal-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-2-15-sois-plan-a11y.pdf

Revision Date: September 3, 2025 typically used to protect and preserve eligible built environment properties. Following District review, this requires a 15-day review at Caltrans HQ, Sacramento (CSO).

b) Finding of No Adverse Effect - Environmentally Sensitive Area (ESA) (Exhibit 2.14*). This plan protects archaeological sites or historic properties that need some measure of active protection during the implementation of a project. Following District review, this requires a 15-day review at CSO.

c) Finding of No Adverse Effect (Exhibit 2.11*). This is used when the project’s effects are not adverse but the standard conditions (SOIS or ESA) cannot be used or are preferred not to be used.

Following District review, this requires a 15-day review at CSO, followed by a 30-day review at SHPO.

d) Finding of Adverse Effect (Exhibit 2.12*). This document is completed when the project will have an adverse effect to a historic property. Following District review, this requires a 15-day review at CSO, followed by a 30-day review at SHPO.

Memorandum of Agreement (MOA) and Agreement Documents (Exhibit 2.13*)

When an Adverse Effect to Historic Properties can’t be avoided, CSO and SHPO enter into a Memorandum of Agreement (MOA) to resolve the adverse effects. A MOA is a legally binding document that is also signed by secondary stakeholders including Caltrans District 4 and the Local Agency. There is no standard review time for the SHPO to sign a MOA.

https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-2-14-esa-plan-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-2-11-fnae-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-2-12-fae-a11y.pdf https://dot.ca.gov/-/media/dot-media/programs/environmental-analysis/documents/ser/ex-2-13-agreedocs-a11y.pdf

Caltrans D4 Local Assistance Environmental Section 106 Compliance for Native American Consultation

This document outlines procedures and protocol for conducting Native American consultation as part of Section 106 compliance for Caltrans District 4 Office of Local Assistance (OLA). The goal is to ensure meaningful consultation with Native American Tribes, including both Federally and non-Federally recognized Tribes consistent with legal and regulatory requirements, and respectful of tribal sovereignty and cultural heritage through good faith consultation efforts.

Native American Tribes hold a special consultative role in the context of federal and state historic preservation compliance due to their unique relationship to archaeological sites, sacred/ceremonial areas, and traditional cultural properties and landscapes.

Roles and Responsibilities Caltrans Local Assistance District Native American Coordinator (LA-DNAC) The LA-DNAC is responsible for overseeing and conducting all aspects of Section 106 consultation with Native American Tribes. This includes preparing and sending consultation letters, coordinating and participating in consultation activities, and ensuring compliance with Caltrans protocols throughout the process. The LA-DNAC manages the entire consultation process, maintaining consistency and ensuring that tribal concerns are adequately captured and addressed.

Caltrans Environmental Generalist The Generalist remains the main point of contact for communication for Local Agencies and their Consultants. The Generalist will coordinate the scheduling of consultation meetings. The Local Assistance Generalists have been trained in and abide by confidentiality practices surrounding cultural resources and tribal knowledge.

Local Agencies Local Agencies are responsible for collaborating with the LA-DNAC and the Tribes during the consultation process. They must provide project information, participate in meetings, and assist with the coordination of any necessary site visits. Local Agencies are encouraged to establish strong working relationships with tribal governments, in cooperation with Caltrans, to promote effective cross-jurisdictional planning and collaboration among all parties and stakeholders.

Cultural Consultants Cultural consultants engaged by the Local Agency are responsible for providing expertise on archaeological and cultural resource management and issues. They will present cultural resource findings, cultural sensitivity analyses, and recommendations during the consultation process.

Consultation Process Step 1: Preparation for Consultation Before the LA-DNAC can initiate consultation, the following preparatory steps must be completed:

- Area of Potential Effects (APE) Approval: The APE must be approved by Caltrans D4 OLA.

- NWIC Record Search: The Local Agency or their consultants are responsible for obtaining the Northwest Information Center (NWIC) record search results. The results must be transmitted to Caltrans.

- Sacred Lands File Search: A Sacred Lands File search must be conducted through the Native American Heritage Commission (NAHC) by the Local Agency or their consultants. Results must be transmitted to Caltrans.

Step 2: Sending Consultation Letters Once the above preparatory steps are complete, the LA-DNAC will prepare and transmit consultation letters to the Tribes identified by the NAHC. These letters will provide a general project description, any resources that have been previously identified, Sacred Lands File search results, mapping, and invite the Tribes to participate in the consultation process under Section 106. After 14 days, LA-DNAC will follow-up with tribes who did not respond to the original letter.

Consultation logs will be prepared and maintained by the LA-DNAC. The consultation log and associated documents will be transmitted to the Local Agency after follow-up communications are conducted. During preparation of Section 106 documents that include Native American consultation sections, please request updated consultation logs for inclusion in the document. As consultation is ongoing, these sections may need updating.

Step 3: Responding to Tribal Requests for Consultation If a Tribe requests consultation or information about the project, a virtual meeting will be scheduled with the participation of the LA-DNAC, the Local Agency, the Cultural Consultants, and the Tribe. The meeting will have four parts:

1. Discussion of Project Elements: During the meeting, the Local Agency will present the project elements through visuals and answer any questions from the Tribe.

2. Archaeological and Cultural Resource Discussion: Cultural consultants will present any archaeological findings, site sensitivity analyses, or other relevant information. APE maps or other visuals should be utilized.

3. Section 106 Compliance Planning: The meeting will conclude with a discussion of the Section 106 compliance plan, including the proposed finding for the project or plans for further technical studies.

The LA-DNAC will generally present on this topic.

4. Questions, comments, or concerns can be addressed in an open discussion at the end of the meeting.

Step 4: Site Visits If warranted, a site visit may be arranged following the virtual meeting. The site visit will include representatives from the LA-DNAC, the Local Agency, their consultants, and the Tribe. The purpose of the visit is to allow for an on-the-ground evaluation of the project area and to facilitate further discussion of cultural resources.

Step 5: Ongoing Consultation Consultation with Native American Tribes should be an ongoing process throughout the life of the project. Early and frequent consultation is required, especially if there are changes to the project description or scope. The LA-DNAC will determine when updated consultation is necessary and will coordinate as needed.

Tribal members may participate in identification, evaluation, mitigation, and minimization efforts, through survey and sub-surface identification, data recovery, monitoring, and document review. If Tribes request to participate in document review, it does not run concurrently with Caltrans review, and will occur after Caltrans has ensured the document meets Section 106 standards. Local agencies may need to contract directly with Tribes for their services.

Compliance with NEPA and Section 106 Responsibilities In California, the FHWA has assigned, and Caltrans has assumed, all the U.S. Department of Transportation’s responsibilities under the National Environmental Policy Act (NEPA) and serves as both the Lead Federal Agency and Federal Agency Official for federal-aid highway projects. This arrangement is codified in both the NEPA Assignment Memoranda of Understanding (NEPA MOU) and the Section 106 Programmatic Agreement (106 PA). Under these agreements, Caltrans assumes the lead on project-level consultations with Native American Tribes.

In carrying out both its NEPA and Section 106 responsibilities, Caltrans is responsible and accountable for conducting consultation with Native American Tribes in a manner that recognizes the federal government-to-government relationship and is respectful of tribal sovereignty. Caltrans’ federally assigned responsibilities also apply to all locally sponsored transportation projects that receive federal aid highway funds (the Local Assistance Program). Caltrans oversees all Local Assistance projects to ensure compliance with federal standards under both NEPA and Section 106, including tribal engagement and consultation.

If requested by the Tribe, consultation can also occur directly from the Tribe with FHWA through government-to-government consultation.

Conclusion The Section 106 consultation process with Native American Tribes is a critical component of Section 106 compliance. All consultation activities must be conducted with the involvement of the LA-DNAC and in accordance with Caltrans protocols. By engaging Tribes early and often, Caltrans and Local Agencies can ensure that tribal concerns are adequately addressed, and that projects are developed in a manner that respects and protects cultural resources whenever possible and takes into account tribal perspectives.