Section_106_PA_APE_Map_Guidance.pdf

FHWA Section 106 PA 1

Appendix 1: Professionally Qualified Staff

SECTION 106 PA APPENDICES

APPENDIX 1

CALTRANS PROFESSIONALLY QUALIFIED STAFF STANDARDS

As outlined in Stipulation III of this Agreement, all cultural resources studies carried out by Caltrans or its consultants must be conducted by or under the direct supervision of individuals who meet the Secretary of the Interior’s Professional Qualifications Standards for the relevant field of study. The standards are designed to ensure program quality and satisfy federal mandates associated with compliance with Section 106 of the National Historic Preservation Act.

Caltrans meets these standards by certifying its cultural resources staff as Professionally Qualified Staff (PQS). In order to take full advantage of the provisions of this Agreement, Caltrans PQS must meet the standards in the appropriate field. Those not fully qualified as archaeological Principal Investigators (PI) or Principal Architectural Historians (PAH) may accomplish many important tasks with oversight, generally in the form of peer review or under direct supervision by qualified staff. The Chief of the Cultural Studies Office in the Headquarters Division of Environmental Analysis is responsible for certifying the qualifications of all Caltrans PQS. Minimum qualifications are listed below for cultural resources staff conducting various tasks.

ARCHAEOLOGICAL QUALIFICATIONS STANDARDS

Archaeological Crew Member

Qualified to participate in archaeological surveys and excavations under the direction of a qualified Lead Archaeological Surveyor or higher. Minimum qualifications:

• A minimum of six weeks of supervised field training (including at least three weeks each of excavation and field survey) in time blocks of at least one week duration (field school or equivalent) and

• A minimum of two upper division college courses in archaeology.

Lead Archaeological Surveyor

Qualified to conduct and report archaeological surveys, and to prepare other compliance documents, with peer review provided by a qualified Prehistoric or Historical Archaeology PI to ensure document quality. Minimum qualifications:

• A bachelor’s degree in anthropology with emphasis in archaeology or closely related discipline (such as history or earth sciences) and subsequent coursework in archaeology (a minimum of four upper division or graduate courses in archaeology required)

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• At least six months of professional archaeological experience in California or Great Basin, including at least 12 weeks of California field survey experience and

• Demonstrated ability to organize and conduct archaeological surveys, complete site record forms, and report on survey findings dealing with both prehistoric and historical archaeological resources.

Co-Principal Investigator—Prehistoric Archaeology

Qualified as a Construction Monitor, PI for Extended Phase I studies, Co-PI for Phase II and III excavations for work involving prehistoric archaeological resources, and to conduct consultant oversight and contract management, under the direction of a Prehistoric Archaeology PI. May author proposals, reports for Extended Phase I studies, and other compliance documents, with peer review from a Prehistoric Archaeology PI to ensure document quality. Minimum qualifications:

• Qualification as a Lead Archaeological Surveyor for Caltrans and

• At least 12 months of professional experience or specialized training in prehistoric archaeology, including: 1) at least 10 weeks of California or Great Basin excavation experience under the supervision of a Prehistoric Archaeology PI; 2) at least four weeks of supervised laboratory experience on collections from prehistoric California or Great Basin sites; and 3) at least four weeks of excavation experience in a supervisory capacity on prehistoric California or Great Basin sites and

• Demonstrated ability to carry archaeological research to completion, as evidenced by the timely completion of an excavation report or comparable study involving a prehistoric site or sites and

• Understanding of the Section 106 process and familiarity with cultural resources policies, procedures, and goals, as demonstrated in reports and/or past performance.

Co-Principal Investigator—Historical Archaeology

Qualified as a Construction Monitor and as Co-PI for Extended Phase I, Phase II, and Phase III excavations involving historical archaeological resources, and to conduct consultant oversight and contract management, under the direction of a Historical Archaeology PI. May author reports that evaluate historical archaeological resources where no excavation is required to reach a conclusion about their eligibility and other compliance documents. That work must be peer reviewed by a Historical Archaeology PI to ensure document quality. Minimum qualifications:

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• Qualification as a Lead Archaeological Surveyor for Caltrans and

• At least 12 months of professional archaeological experience or specialized training dealing with historic-period resources including: 1) at least 10 weeks of excavation experience under the supervision of a Historical Archaeology PI; 2) at least four weeks of supervised laboratory experience on collections from historic sites; and 3) at least four weeks of excavation experience in a supervisory capacity on historic sites and

• Demonstrated familiarity with California or Western U.S. history, documentary research, and oral history, as evidenced by upper division course work or a major research report or publication based on original research and

• Demonstrated ability to carry archaeological research to completion, as evidenced by the timely completion of an evaluation or excavation report addressing a historic-period site or sites and

• Understanding of the Section 106 process and familiarity with cultural resources policies, procedures, and goals, as demonstrated in reports and/or past performance.

Principal Investigator—Prehistoric Archaeology

Fully qualified under the Secretary of the Interior's standard for prehistoric archaeology to conduct all types of studies, including Extended Phase I, Phase II, and Phase III excavations, involving prehistoric archaeological resources and traditional cultural properties or cultural landscapes of a prehistoric or ethnographic nature. May author proposals, reports for Extended Phase I, II, and III studies, and other compliance documents, with peer review to ensure document quality. May conduct consultant oversight and contract management. Minimum qualifications:

• Graduate degree in anthropology, archaeology, or cultural resources management with an emphasis in prehistoric archaeology, as evidenced by appropriate coursework and

• At least 16 months of professional archaeological experience involving prehistoric sites, including a minimum of one year of field experience, as follows: 1) at least 24 weeks of fieldwork under the supervision of a Prehistoric Archaeology PI, of which at least 12 weeks must be excavation work; 2) at least eight weeks of laboratory experience on collections from California or Great Basin sites supervised by a Prehistoric Archaeology PI; and 3) at least 20 weeks of field work in a supervisory capacity, of which at least eight weeks must be on California or Great Basin sites and

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• Demonstrated ability to carry out archaeological research to completion, as evidenced by the completion of a thesis, dissertation, or other comparable major study focusing on a prehistoric site or sites and

• Ability to carry out the more complex and difficult aspects of the Section 106 process and

• Understanding of Caltrans cultural resources policies, procedures and goals, as demonstrated in reports and/or past performance and

• Familiarity with Caltrans cultural resources contracting policies and procedures.

Principal Investigator—Historical Archaeology

Fully qualified under the Secretary of the Interior's standard for historical archaeology to conduct all types of studies, including Extended Phase I, Phase II, and Phase III excavations, involving historical archaeological resources and historic-period traditional cultural properties or cultural landscapes. May author proposals, reports for Extended Phase I, II, and III studies, and other compliance documents, with peer review to ensure document quality. May conduct consultant oversight and contract management. Minimum qualifications:

• Graduate degree in anthropology, archaeology, cultural resources management, or a closely related field with an emphasis in historical archaeology, as evidenced by a minimum of 12 upper division semester units (or equivalent) in history and the theory and methods of historical archaeology, or equivalent knowledge as shown in a thesis or dissertation or major report evaluating historical archaeological properties and

• At least 16 months of professional archaeological experience involving historical sites, including a minimum of one year of field experience, as follows: 1) at least 12 weeks of fieldwork under the supervision of a Historical Archaeology PI, of which at least 6 weeks must be excavation work; 2) at least 4 weeks of laboratory experience on collections from California sites, supervised by a Historical Archaeology PI; and 3) at least 20 weeks of field work in a supervisory capacity, of which at least eight weeks must be on California sites and

• Demonstrated familiarity with California or Western U.S. history, documentary research, and oral history techniques, as evidenced by upper division course work or a major research report or publication based on original research

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• Demonstrated ability to carry out archaeological research to completion, as evidenced by the completion of a thesis, dissertation, or other comparable major study focusing on a historic-period site or sites and

• Ability to carry out the more complex and difficult aspects of the Section 106 process and

• Understanding of Caltrans cultural resources policies, procedures, and goals, as demonstrated in reports and/or past performance and

• Familiarity with Caltrans cultural resources contracting policies and procedures.

ARCHITECTURAL HISTORIAN QUALIFICATIONS STANDARDS

Architectural Historian

Qualified to evaluate historic properties, other than archaeological resources. May prepare evaluation reports for all types of non-archaeological resources and other compliance documents, and conduct consultant oversight and contract management, with peer review by a Principal Architectural Historian to ensure document quality. Minimum qualifications:

• A graduate degree in architectural history, art history, architecture, or a closely related field, with a concentration in American architecture; or a graduate degree in American history, public history, historic preservation, American studies, or a closely related field;

or a bachelor’s degree in one of the above disciplines, plus 12 months of full-time related professional experience in research, writing, teaching, interpretation, or other related professional activity and

• Demonstrated ability to apply the practices of architectural history in the identification, evaluation, and documentation of historic properties in California or the United States;

or demonstrated familiarity with U.S. history, documentary research, and oral history techniques, as evidenced by upper division course work or a major research report or publication based on original research and

• Demonstrated ability to carry historical research to completion, as evidenced by the timely completion of a major research report or publication based on original research and

• Understanding of the Section 106 process and familiarity with cultural resources policies, procedures, and goals, as demonstrated in reports and/or past performance.

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Principal Architectural Historian

Fully qualified under the Secretary of the Interior's standard for architectural historians. Able to conduct all types of studies involving historic-period resources, including traditional cultural properties and cultural landscapes, other than archaeological properties. May author evaluation reports and other compliance documents, with peer review to ensure document quality. May conduct consultant oversight and contract management. May determine applicability of Environmentally Sensitive Areas as described in Attachment 5. Minimum qualifications:

• A graduate degree in architectural history, art history, architecture, or a closely related field, with a concentration in American architecture; or a graduate degree in American history, public history, historic preservation, American studies, or a closely related field, and at least 24 months of full-time related professional experience in research, writing, teaching, interpretation, or other related professional activity; or a bachelor’s degree in one of the above disciplines, plus 24 months of full-time related professional experience in research, writing, teaching, interpretation, or other related professional activity and

• Demonstrated ability to apply the practices of history or architectural history in the identification, evaluation, and documentation of historic properties in California or the United States; or demonstrated familiarity with U.S. history, documentary research, and oral history techniques, as evidenced by upper division course work or a major research report or publication based on original research and

• Demonstrated ability to carry historical research to completion, as evidenced by the timely completion of a thesis, dissertation, or other comparable major study consisting of the design and execution of a historical study concerning a historic-period property or properties and

• Ability to carry out the more complex and difficult aspects of the Section 106 process and

• Understanding of Caltrans cultural resources policies, procedures, and goals, as demonstrated in reports and/or past performance

• Familiarity with Caltrans cultural resources contracting policies and procedures.

FHWA Section 106 PA 7 Appendix 2: Screened Undertakings

APPENDIX 2

SCREENED UNDERTAKINGS

Screened undertakings are classes of undertakings that have the potential to affect historic properties, but following appropriate screening, may be determined exempt from further Section 106 review under this Agreement. Caltrans PQS may only determine the undertaking to be exempt if, after screening, they determine that the project has no potential to affect historic properties.

This Appendix applies only when the undertaking is limited exclusively to one or more of the activities listed below. If the Caltrans PQS determines that the undertaking has potential to affect historic properties, additional Section 106 review will be required following the steps outlined in Stipulation VIII of this Agreement.

The Caltrans PQS is responsible for screening individual undertakings that fall into one or more of the classes of screened undertakings listed below to determine if the individual undertaking requires further consideration, or if it may be determined exempt from further review under the terms of this Agreement, as prescribed by Stipulation VII. Only Caltrans PQS may determine that an undertaking is exempt from further review as a result of screening.

Except for minor maintenance on historic bridges and tunnels, the undertaking will not qualify as exempt from further review if there may be historic properties present that could be affected. An undertaking will not qualify as exempt from review if conditions must be imposed to ensure that potential historic properties would not be affected.

All features of the undertaking, including the identification of mandatory and/or designated storage, disposal, or borrow areas, depth of disturbance, and construction easements, must be identified prior to the screening process. If additional features are added to a screened undertaking, the undertaking must be rescreened.

THE SCREENING PROCESS

The screening process may include one or more of the following procedures. The process is not limited to the procedures below, nor are all these procedures required for all undertakings.

Screening should be appropriate to the specific complexity, scale, scope, and location of the undertaking. Screening may include:

• Literature/records review to determine potential for involvement of historic properties.

• Contacting California Native American, as defined in California Public Resources Code § 21073, Tribes who are traditionally affiliated with the project area and inviting them to consult on the undertaking.

• Field review of project area.

• Reviewing detailed project plans.

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• Contacting local historical societies, or other potential consulting parties who may have concerns.

• Reviewing aerial photographs, Caltrans photologs, historic maps, or as-built records.

• Reviewing right-of-way, assessment parcel, or ownership data.

• Reviewing character-defining features of historic bridges and tunnels.

Based on the outcome of the screening process, the Caltrans PQS may determine that individual undertakings are exempt from further review as there is no potential to affect historic properties.

The Caltrans PQS prepares a Screening Memo to the project planner for inclusion in the Caltrans District project file to document completion of the Section 106 process for applicable classes of screened undertakings and no further review will be necessary.

CLASSES OF SCREENED UNDERTAKINGS

1. Pavement reconstruction, resurfacing, shoulder backing, or placement of seal coats.

2. Minor widening of less than one-half-lane width, adding lanes in the median, or adding paved shoulders.

3. Channelization of intersections or addition of auxiliary lanes.

4. Establishment of chain control areas, park-and-ride lots, or maintenance pullouts.

5. Minor modification of interchanges, and realignments of on/off ramps.

6. Minor utility installation, maintenance, or relocation.

7. Installation of noise barriers or retaining walls.

8. Addition of bicycle lanes or pedestrian walkways.

9. Storm damage repairs, such as culvert clearing or repair, disposal or stockpile locations, shoulder reconstruction, or slide or debris removal.

10. Repair of the highway and its facilities.

11. Modification of existing features, such as slopes, ditches, curbs, sidewalks, driveways, dikes, or headwalls, within or adjacent to the right of way.

12. Minor operational improvements, such as culvert replacements and median or side-ditch paving.

13. Addition or replacement of devices, such as glare screens, median barriers, fencing, guardrails, safety barriers, energy attenuators, guide posts, markers, safety cables, ladders, lighting, hoists, or signs.

14. Installation, removal or replacement of roadway markings, such as painted stripes, raised pavement markers, thermoplastic tape, or raised bars, or installation of sensors in existing pavements.

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15. Abandonment, removal, reconstruction, or alteration of railroad grade crossings or separations or grade crossing protection.

16. Minor alteration or widening of existing grade separations where the primary function and utility remain unaltered.

17. Additions or alterations to existing buildings, such as work on or in office or equipment buildings, maintenance stations, warehouses, roadside rests, vista points, minor transit facilities, weigh and inspection stations, toll facilities, or state-owned rentals.

18. Restoration or rehabilitation of deteriorated or damaged structures, facilities, or mechanical equipment to meet current standards of public health and safety.

19. Any work on Category 5 bridges, including rehabilitation or reconstruction. Does not include bridge replacement.

20. Modification of traffic control systems or devices utilizing existing infrastructure, including installation, removal, or modification of regulatory, warning, or informational signs or signals.

21. Installation of freeway surveillance or ramp metering equipment.

22. Replacement of existing highway signs.

23. Removal or control of outdoor advertising.

24. Projects that eliminate non-fixed hazards, such as removal of objects on roadway, traffic accident cleanup, hazardous waste removal, or fire control.

25. Establishment, replacement, or removal of landscaping, vegetation, or irrigation systems on state or local public property, including highway and local roads rights of way and building sites.

26. Construction or repair of fish screens or ladders, springs, waterholes, or stream channels (e.g., clearing of debris from streams, ditches, or culverts).

27. Right-of-way activities such as sliver takes, perfection, hardship acquisition, or acquisition of scenic or conservation easements.

28. Joint or multiple use permits with other agencies or encroachment permits.

29. Preliminary engineering tests, such as seismic, geologic, or hazardous materials testing that involve buildings or structures or require trenching or ground boring.

30. Minor maintenance on historic bridges and tunnels.

FHWA Section 106 PA 10 Appendix 3: APE Delineation

APPENDIX 3

AREA OF POTENTIAL EFFECTS DELINEATION

In accordance with the Stipulations VI.B.8 and VIII.A of this Agreement, Caltrans will establish the Area of Potential Effects (APE) for undertakings covered by this Agreement. The Caltrans PQS and project manager are jointly responsible for describing and establishing an APE and will sign any maps or plans that define or redefine an APE.

When the guidelines below are followed, specific consultation with the SHPO regarding APE and level of effort will typically not be necessary. Consultation with the SHPO may be needed for large and complex undertakings, when there are issues of access for inventory and evaluation, when there is potential for visual or indirect effects, when there are concerns over delineating whole properties, or when there is public controversy such as potential for litigation, concerns expressed by outside parties, or issues related to Native American consultation. Caltrans shall consider the results of consultation with Indian tribes regarding identification of properties when delineating the APE.

APE DEFINITION

As defined in 36 CFR § 800.16(d), an APE is “the geographic area or areas within which an undertaking may directly or indirectly cause alterations in the character or use of historic properties, if any such properties exist. The area of potential effects is influenced by the scale and nature of an undertaking and may be different for different kinds of effects caused by the undertaking.” An APE therefore depends on an undertaking’s potential for effects. Effects to be considered may include, but are not limited to, physical damage or destruction of all or part of a property; physical alterations; moving or realigning a historic property; isolating a property from its setting; visual, audible, or atmospheric intrusions; shadow effects; vibrations; and change in access or use.

APE BOUNDARIES

An APE delineates the boundaries within which it can be reasonably expected that a proposed undertaking has the potential to affect historic properties, should any be present. It may be the right of way itself or an area either more or less than the right of way, depending on the scope and design of the undertaking.

An APE developed under this Agreement should include the entirety of current or future right of way that will be accessible and available for use during the implementation of the any undertaking activities; however, an APE may extend well beyond the right of way. It must include all construction easements, such as slope and drainage easements, stormwater detention basins, off-site biological mitigation sites requiring ground disturbance, and mandatory or designated borrow and disposal sites. It may include project-related activity areas such as utility relocations, access roads, equipment storage or staging areas, or conservation or scenic easements. Consideration should be given for other jurisdictional areas, such as the U.S.

FHWA Section 106 PA 11 Appendix 3: APE Delineation

Army Corps of Engineers (Corps) permit area. The Corps permit area consists of those areas comprising the waters of the United States that will be affected by the proposed work and structures and uplands directly affected as a result of authorizing the work or structure.

EFFECT TYPES

Direct effects can be physical, such as ground disturbance and vibration from construction activities, or non-physical, such as the introduction of new visual or audible elements. Non-physical effects may extend beyond the right of way to encompass visual, audible, or atmospheric intrusions. These must be considered carefully when delineating an APE boundary, particularly for potential audible and visual effects, taking into account proximity and use of adjoining properties, the surrounding topography, and other aspects of a property’s setting.

Noise: When considering potential noise effects, there must be a reasonable basis for predicting an effect based on an increase over existing noise level. Noise effects should be considered when a project would result in a new through lane or a substantial change in vertical or horizontal alignment. Temporary noise effects from construction activity or traffic diversions should also be considered as a potential effect.

Visual: Highways on new alignments, multi-level structures, elevated roadways, or new vertical elements are considered to have potential for visual effects if they could be out of character with or intrude upon a historic property or isolate it from its setting. Projects for improvement or expansion of existing transportation facilities that will not substantially deviate from existing alignment or profile are not expected to involve visual impacts.

Indirect effects are those caused by the undertaking that are later in time or farther removed in distance but are still reasonably foreseeable. Examples of indirect effects may include erosion within an archaeological site resulting from changes in drainage patterns due to an undertaking, potential looting resulting from increased access, or destruction of a building due to changes in ownership or neglect. These types of effects must also be considered carefully when delineating an APE, taking into account reasonably foreseeable future changes in land use or access to properties near the undertaking.

PROJECT CHANGES AND APE REVISIONS

Whenever an undertaking is revised (e.g., design changes, utility relocation, or additional off-site mitigation areas), including during construction, Caltrans PQS will determine whether the changes require modifying the APE. If an APE needs to be modified, either increased or decreased in scope, Caltrans is responsible for informing any consulting parties and completing additional studies or effects assessments as appropriate, consistent with the Stipulations of this Agreement. The APE shall be revised commensurate with the nature and scope of the changed potential effects.

FHWA Section 106 PA 12 Appendix 4: Exempt Properties

APPENDIX 4

PROPERTIES EXEMPT FROM EVALUATION

Section 106 regulations require a "reasonable and good faith effort" to identify historic properties (36 CFR § 800.4[b][1]). The procedures in this attachment enable Caltrans PQS to concentrate their efforts on properties that have the potential to be historic properties by identifying categories of properties that have no potential to be a historic property.

Properties should be evaluated only if Caltrans PQS or appropriately qualified consultants reasonably determine that the property has potential for historic significance. Evidence of such potential consists of associations with significant historic events or individuals (Criterion A or B);

engineering, artistic, design, or aesthetic values (Criterion C); information value (Criterion D);

the presence of tribal or community concerns; or inclusion as a potential contributing element within a larger property requiring evaluation, such as a historic district.

This appendix defines categories of properties that do not warrant evaluation pursuant to Stipulation VIII. C.1 of this Agreement. Exempted properties may be documented, if documentation is warranted, at a level commensurate with the nature of the property [e.g., Primary Record form, Location Map, Memo, or Caltrans Cultural Resources Database (CCRD)].

ARCHAEOLOGICAL PROPERTIES (PREHISTORIC AND HISTORICAL)

Only Caltrans PQS or consultants who meet the Caltrans Archaeological Qualification Standards (t Appendix 1) for Co-Principal Investigator and above are authorized to determine that the archaeological property types or features listed below may be exempted from evaluation.

Professional judgment should be used as to the level of identification and recordation. This exemption process does not include archaeological sites or other cultural remains or features that may qualify as contributing elements of districts. Additional documentary research may be needed to determine whether the property meets the exemption criteria, particularly when looking for a specific association

Archaeological Property Types and Features Exempt from Evaluation:

• Isolated prehistoric finds consisting of fewer than three items per 100 square meters

• Isolated historic finds consisting of fewer than three artifacts per 100 square meters (e.g., several fragments from a single glass bottle are one artifact)

• Refuse scatters less than 50 years old (scatters containing no material that can be dated with certainty as older than 50 years old)

• Features less than 50 years old (those known to be less than 50 years old through map research, inscribed dates, etc.)

• Isolated refuse dumps and scatters over 50 years old that lack specific associations

• Isolated mining prospect pits

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• Placer mining features with no associated structural remains or archaeological deposits

• Foundations and mapped locations of buildings or structures more than 50 years old with few or no associated artifacts or ecofacts, and with no potential for subsurface archaeological deposits

ARCHITECTURAL AND HISTORICAL PROPERTIES

Certain architectural and historical property types are exempt from evaluation; additional types may be exempt from evaluation after review by a qualified Architectural Historian.

Architectural and Historical Property Types Exempt from Evaluation:

Historical Property Types 1, 2, and 3 will not require evaluation, except as noted. Only Caltrans PQS or consultants who meet the Caltrans Professional Qualifications Standards (Appendix 1) for Architectural Historian and above or Lead Archaeological Surveyor and above are authorized to determine which architectural and historical properties fall under Property Types 1, 2, or 3 and are therefore exempt from evaluation.

Property Type 1: Minor, ubiquitous, or fragmentary infrastructure elements

Note: The following list does not apply to properties 50 years old or older that could be potentially important, nor does it apply to properties that may contribute to the significance of larger historic properties such as districts or cultural landscapes.

Water Conveyance and Control Features:

• natural bodies of water providing a water source, conveyance, or drainage

• modified natural waterways

• concrete-lined canals less than 50 years old and fragments of abandoned canals.

• roadside drainage ditches and secondary agricultural ditches

• small drainage tunnels

• flood storage basins

• reservoirs and artificial ponds

• levees and weirs

• gates, valves, pumps, and other flow control devices

• pipelines and associated control devices

• water supply and waste disposal systems

Recent Transportation or Pedestrian Facilities:

• railroad grades converted to other uses, such as roads, levees, or bike paths

• light rail systems, including shelters, benches, and platforms

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• bus shelters and benches

• airstrips and helicopter landing pads

• vista points and rest stops

• toll booths

• truck scales and inspection stations

• city streets, alleys, and park strips

• sidewalks, curbs, berms, and gutters

• bike paths, off-road vehicle trails, equestrian trails, and hiking trails

• parking lots and driveways

Highway and Roadside Features:

• isolated segments of bypassed or abandoned roads

• retaining walls

• curbs, gutters, and walkways

• highway fencing, soundwalls, guard rails, and barriers

• drains and culverts, excluding culverts assigned a Caltrans bridge number

• cattle crossing guards

• roadside, median, and interchange landscaping and associated irrigation systems

• street furniture and decorations

• signs and reflectors

• parking meters

• street lighting and controls

• traffic lights and controls

• highway operation control, maintenance, and monitoring equipment

• telecommunications services, including towers, poles, dishes, antennas, boxes, lines, cables, transformers, and transmission facilities

• utility services, including towers, poles, boxes, pipes, lines, cables, and transformers

• oil and gas pipelines and associated control devices

Adjacent Features:

• fences, walls, gates, and gateposts

• isolated rock walls and stone fences

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• telephone booths, call boxes, mailboxes, and newspaper receptacles

• fire hydrants and alarms

• markers, monuments, signs, and billboards

• fragments of bypassed or demolished bridges

• temporary roadside structures, such as seasonal vendors' stands

• pastures, fields, crops, and orchards

• corrals, animal pens, and dog runs

• open space, including parks and recreational facilities

• building and structure ruins and foundations less than 50 years old.

Movable or Minor Objects:

• movable vehicles

• stationary vehicles less than 50 years old or moved within the last 50 years

• agricultural, industrial and commercial equipment and machinery

• sculpture, statuary, and decorative elements less than 50 years old or moved within the last 50 years.

• isolated mobile homes not within a mobile home park.

Property Type 2: Buildings, structures, objects, districts, and sites less than 30 years old

Properties less than 30 years old may be exempted from evaluation. If the age of a property is not readily discernible the date of construction may be confirmed by checking assessor’s records or other sources, such as USGS quadrangle maps or building permits, or by consulting a qualified Architectural Historian.

Property Type 3: Buildings, structures, objects, districts, and sites so altered as to appear less than 30 years old

Substantially altered properties that appear to be contemporary structures may be exempted from evaluation. A qualified Architectural Historian should review altered properties if they are listed in a local survey of historical properties, or if the extent of alterations or the age of a property is not readily discernible.

Architectural and Historical Property Types Exempt from Evaluation after Review by Qualified Architectural Historians:

Historical Property Types 4, 5, 6, and 7, described below, may be exempted from evaluation after review by one of the following qualified professionals: Caltrans Architectural Historians or Principal Architectural Historians, or Caltrans consultants who have been certified as meeting Caltrans architectural historian professional standards.

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Property Type 4: Buildings, structures, objects, districts, and sites 30 to 50 years old

Properties between 30 and 50 years old may be exempted from further evaluation.

Consideration will be given to properties that may have achieved exceptional significance within the last 50 years, in accordance with National Register Bulletin 22.

Property Type 5: Buildings, structures, and objects moved within the past 50 years

Properties which have been moved are not usually eligible for the National Register, with the exceptions noted in “Criteria Consideration B: Moved Properties” of National Register Bulletin

15. Therefore, properties that were moved within the past 50 years may be exempted from evaluation. Properties moved more than 50 years ago shall be formally evaluated, unless they also qualify as property types exempted from evaluation (e.g., a building moved before its period of significance, but which has since lost integrity through alterations). Caltrans qualified Architectural Historians have discretion to identify and evaluate properties moved less than 50 years ago when there is demonstrable evidence to indicate that such identification and evaluation are warranted.

Property Type 6: Altered buildings, structures, objects, districts, and sites that appear to be more than 30 years old

Properties more than 30 years old that have been substantially altered may be exempted from evaluation. Such properties may include roads and highways with associated features other than bridges, and railroads with associated features other than buildings or bridges. However, altered properties should be documented if they are listed in a local survey of historical properties or if eligibility conclusions might be controversial.

Property Type 7: Post-World War II builders’ houses and housing tracts

Builders’ houses or tract houses (not including unique, architect-designed houses) and housing tracts constructed after World War II may be exempted from evaluation when sufficient historical research and reconnaissance survey have been conducted to determine that:

1. The tract as a whole has no demonstrable potential to meet any of the National Register criteria as a historic district, and

2. No portion of the tract has demonstrable potential to meet any of the National Register criteria as a historic district, and

3. The individual houses have no demonstrable potential to meet any of the National Register criteria.

Consideration of potential significance should be based on Tract Housing in California, 1945- 1973: A Context for National Register Evaluation (Caltrans 2011).

APPENDIX 5

FINDINGS OF NO ADVERSE EFFECT WITH STANDARD CONDITIONS

This appendix identifies three standard conditions that can be used to make a finding of “No Adverse Effect with Standard Conditions” in accordance with Stipulation X.B.1(a-c). Caltrans may propose that additional standard conditions be included by revision of this attachment in accordance with Stipulation X.B.1(d).

ENVIRONMENTALLY SENSITIVE AREAS AS A STANDARD CONDITION

Environmentally Sensitive Areas (ESA) are locations of archaeological sites, cultural sites or built-environment properties within the APE that are to be protected through avoidance of Program activities. ESAs typically use fencing, flagging, signing, or monitoring to protect properties from direct physical damage by project activities.

Vegetation Management ESAs (VMESA) are locations of certain sites within the APE that are protected from adverse effects by restrictions on vegetation management actions, but do not require complete avoidance as with standard ESAs. Vegetation Management ESAs may only be used when an undertaking’s activities are limited to vegetation management in support of fire prevention. Consideration of eligibility in conjunction with VMESAs require CSO approval, pursuant to Stipulation VIII.C.4. Vegetation Management ESAs cannot be used to protect archaeological sites with delicate or easily breakable surface artifacts, such as historic-era can deposits. Activity within a VMESA must be limited to foot traffic and hand clearing of vegetation above ground level. Activities that may cause ground disturbance, such as tree dragging, root removal, or vehicle/equipment access, are not permitted within a VMESA.

Caltrans PQS in the appropriate discipline (or local agency with Caltrans PQS oversight) will develop and provide ESA and/or VMESA information to Project Development, Construction, and Maintenance Division personnel to protect properties during project activities through implementation of an ESA Action Plan. Project Development shall include ESA information in construction plans, contract provisions, the Environmental Commitment Record (ECR) and the Pending File of the project’s Resident Engineer (RE). During construction, the project RE shall ensure that contractors comply with the ESA requirements in the contract provisions. The Caltrans District Environmental Branch shall monitor construction and maintain contact with the RE on ESA compliance. For Local Assistance projects, Caltrans PQS shall ensure the local agency monitor their construction contractor to ensure compliance with all ESA requirements.

Archaeological sites that can be protected from any effects by ESA’s may be considered eligible for the purposes of the undertaking without subsurface excavation and/or surface collection in accordance with Stipulation VIII.C.3. Cultural sites that can be protected by ESA’s, as well as archaeological and cultural sites that can be protected from adverse effects by VMESAs, may be considered eligible for the purposes of the undertaking in accordance with Stipulation VIII.C.4.

ESAs as a Standard Condition may be applied to sites with cultural values that may be associated with non-material components (e.g. cultural site with significance under Criterion A) only where the ESA or VMESA protects those values from all adverse effects. That determination must be made by a Principal Investigator in the applicable discipline (Prehistoric or Historical Archaeology), and as appropriate, after consultation with Indian tribes that may attach religious or cultural values to the property, or other consulting parties.

Built-environment properties, regardless of ESA protection, must be evaluated for National Register eligibility unless approved in consultation with CSO pursuant to Stipulation VIII.C.4. As ESA’s are designed to protect properties from direct physical effects, they may only be applied to built-environment properties when a PQS Principal Architectural Historian determines that the undertaking will not cause non-physical effects to the built-environment property. If that potential exists, the Caltrans District shall proceed in accordance with Stipulation X.B.2.

The delineation of an ESA or VMESA may be used to determine a finding of “No Adverse Effect with Standard Conditions” in accordance with Stipulation X.B.1(a) or X.B.1(b), provided that all of the following conditions are met and have been approved by the appropriate Caltrans PQS:

A. Adequate information is available to accurately delineate the property boundary in relation to the anticipated project impacts and to identify contributing features of the property. This information may be obtained from literature review, surface survey, subsurface testing, historical research, and/or consultation with Indian tribes.

B. The scope and design of the undertaking are sufficiently developed and detailed to ensure that the property will be protected from all adverse effects.

C. All protection measures are defined (e.g., signing, staking, fencing, monitoring provisions) and included in the final construction plans, contract provisions, Environmental Commitment Record (ECR) and RE’s Pending File. For Local Assistance projects, Caltrans PQS shall ensure the local agency complies with all ESA requirements.

D. A clear chain of command is established identifying specific tasks, responsibilities and contact information for each Caltrans or local agency staff, consultant or other party in the chain.

E. An ESA Action Plan is developed to ensure that provisions for protection are carried out and will be documented in accordance with Stipulation XVIII. This ESA Action Plan shall be attached to the “No Adverse Effect with Standard Conditions- ESA” finding.

Delineation of an ESA or VMESA may also be used as an element of protection for a historic property when specifically provided for by a condition in a finding of “No Adverse Effect” pursuant to Stipulation X.B.2, or as part of resolution of adverse effects when specifically provided for in an MOA developed pursuant to Stipulation XI, Resolution of Adverse Effects.

Caltrans District PQS shall report all ESA/VMESA violations to CSO within 48 hours. Caltrans Districts shall report violations where properties are impacted in accordance with Stipulation XV.B. Post-Review Discoveries.

SECRETARY OF THE INTERIOR’S STANDARDS FOR THE TREATMENT OF HISTORIC PROPERTIES

AS A STANDARD CONDITION

Use of the Secretary of the Interior’s Standards for the Treatment of Historic Properties (SOIS) to avoid adverse effects may be considered a standard condition when an undertaking’s activities are limited to the stabilization, maintenance, repair, rehabilitation, or alteration of historic properties and these activities are completed in a manner consistent with the SOIS, the applicable SOIS guidelines, National Park Service Preservation Briefs, and applicable Caltrans guidance.

Because the SOIS are used mainly to avoid adverse effects to historic built-environment properties, they must be reviewed and approved by a Caltrans Principal Architectural Historian.

Although rarely used for archaeological and cultural sites that are listed on or eligible for listing on the National Register of Historic Places (NRHP), use of the SOIS may be applied only when deemed appropriate by a Principal Investigator in Prehistoric or Historical Archaeology.

Application of the SOIS may be used to determine a finding of “No Adverse Effect with Standard Conditions” in accordance with Stipulation X.B.1(c), provided that all of the following conditions are met and have been approved by the Caltrans PQS Principal Architectural Historian:

A. Adequate information is available to identify the character-defining features of the historic property and accurately determine the scope of construction activities and their impacts on the property. Information on the historic property’s character defining or essential physical features may be obtained from the NRHP nomination form for a listed property, the NRHP determination of eligibility documentation, including the property’s DPR 523 form(s), or character defining features summary form, if one has been prepared.

B. The scope and design of the undertaking are sufficiently developed and detailed to ensure that the proposed work can meet the SOIS, and an analysis of the proposed work and how it meets the specific SOIS is reviewed and approved by a Caltrans PQS Principal Architectural Historian.

C. All appropriate protection and avoidance measures are defined, including whether any materials testing is necessary, in sufficient detail in the plans and specifications provided, or to be provided for PQS review, and this information included in the final construction plans, contract provisions, Environmental Commitment Record and RE’s Pending File. For Local Assistance projects, Caltrans PQS shall ensure the local agency complies with all ESA requirements.

D. A clear chain of command is established identifying specific tasks, responsibilities and contact information for each Caltrans or local agency staff, consultant or other party in the chain.

E. A SOIS Action Plan is developed to ensure that provisions for protection are carried out and will be documented in accordance with Stipulation XVIII. This SOIS Action Plan shall be attached to the “No Adverse Effect with Standard Conditions– SOIS” finding.

During construction, the project RE shall ensure that contractors comply with the SOIS Action Plan guidelines in the contract provisions. The Caltrans District Environmental Branch shall monitor construction and maintain contact with the RE on the SOIS Action Plan compliance. For Local Assistance projects, Caltrans PQS shall ensure the local agency complies with all SOIS Action Plan requirements.

FHWA Section 106 PA 21 Appendix 7: Seismic Retrofit Program Undertakings

APPENDIX 6

CALTRANS LOCAL BRIDGE SEISMIC SAFETY RETROFIT PROGRAM

In accordance with Stipulation XVII, Caltrans shall comply with the following provisions for undertakings under the Caltrans Local Bridge Seismic Safety Retrofit Program (Seismic Retrofit Program). Caltrans shall follow applicable stipulations in this Agreement to determine the seismic retrofit project’s potential to affect historic properties.

APPLICABILITY

Activities covered under the Seismic Retrofit Program include seismic retrofit work that is funded wholly or in part with monies from FHWA and that involve either the structural modification of an existing bridge structure or the replacement of a bridge structure by a newly constructed structure and any associated activities within the APE of an undertaking.

UNDERTAKINGS NOT REQUIRING SHPO OR ACHP REVIEW

The Caltrans District may approve the undertaking without further review by SHPO when the Caltrans District PQS determines that an undertaking under the Seismic Retrofit Program meets the below criteria. The Caltrans District PQS will document these determinations in writing and retain them in the files. CSO will include a record of such determinations in annual reports to SHPO pursuant to Stipulation XXVI.B.

A. Will affect only Category 5 bridges or the types of properties that are exempt from evaluation as described in Appendix 4 to this Agreement; or

B. Will be limited exclusively to those activities listed below limited only to the bridge itself:

1. Shear Blocks/Catcher blocks: The addition of concrete extensions to existing abutments and bents to prevent the bridge superstructure from moving laterally (Shear Blocks), or to prevent the superstructure from slipping off the abutment in the case of longitudinal movement (Catcher Blocks). [Reference: National Highway Institute “Seismic Design of Highway Bridges -- Training Course,” Figures 6.3-8, 6.3-9b.]

2. CIDH pilings: The addition of concrete pilings, cast in holes drilled through existing abutments in order to strengthen bridge footings. [Reference: Caltrans Plan Sheet “Abutment Longitudinal Anchorage Details, Bridge No. 53-1854, 07-LA-90, P.M. 2.67.”]

3. Fiber wrapping: The wrapping of existing columns in fiberglass, which is then painted to match existing concrete.

4. Base isolation with no ground disturbance: The replacement of…