Volume 2: Cultural Resources
This section of the SER is designed for cultural resource specialists. It contains more detailed information than Chapter 28 of Volume 1.
NOTICE: In October 2013, the Federal Highway Administration (FHWA) assigned to the California Department of Transportation (Caltrans) all its responsibilities for compliance under the National Environmental Policy Act (NEPA) for Caltrans' participation in the Surface Transportation Project Delivery Program, pursuant to, 23 USC 327, as amended by Moving Ahead for Progress in the 21st Century Act (MAP-21). This includes FHWA's Section 106 responsibilities. Under NEPA assignment, the Caltrans Division of Environmental Analysis Cultural Studies Office (DEA-CSO) was assigned FHWA's Section 106 responsibilities. Therefore, wherever FHWA is mentioned in the Caltrans Standard Environmental Reference Volume 2 – Cultural Resources (SER Vol. 2), it refers to DEA-CSO. Using the process outlined in Volume 2, the appropriate Caltrans district environmental staff will continue to process Section 106 compliance documentation for Caltrans projects and for FHWA-funded local agency projects. Consultants will continue to submit their Section 106 documents to the appropriate district Heritage Resources Coordinator for processing.
For more information on NEPA delegation, please refer to Chapter 38 of the SER. Questions regarding DEA-CSO's FHWA Section 106 responsibilities, should be directed to the appropriate District Heritage Resources Coordinator.
The consideration of cultural resources is a critical part of all phases of project development, construction, permitting, right of way, and maintenance activities. Caltrans must comply with federal and state environmental laws and regulations designed to protect cultural resources significant in American archaeology, architecture, history, culture, and engineering.
To meet legal requirements for cultural resources management, Caltrans personnel must follow the guidelines outlined in the SER Volume 2. Following is a synopsis of this handbook. Each chapter has supplemental material in a series of exhibits (e.g., Chapter 1, Exhibit 1.1, 1.2; Chapter 2, Exhibit 2.1, 2.2, and so on).
Caltrans has developed templates for cultural resources documents described in the chapters and exhibits. Links to these templates are below and also can be found on the Cultural Templates page.
The following information is in Adobe Acrobat Portable Document Format (PDF). Please be aware that some of the files are large and may take considerable time to download depending upon your Internet connection.
Cultural Resources Compliance Templates
Cultural resources documents used for Section 106 and PRC 5024 compliance.
Chapter 1 – General Information (PDF) (Revised 6/7/22)
The first chapter introduces Volume 2. It summarizes federal and state historic preservation laws and provides general background information on cultural resources management. This chapter identifies Caltrans' cultural resources policies and directs all units of the Department to follow these policies. Chapter 1 also describes the organization, roles and responsibilities, and staffing requirements that Caltrans uses to manage cultural resources.
Chapter 2 – Cultural Resources Procedures (PDF) (Revised 12/10/21)
The chapter discusses in detail the Section 106 Programmatic Agreement that governs Caltrans cultural resources actions on federally-assisted state and local projects: the First Amended Programmatic Agreement Among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, and the California Department of Transportation Regarding Compliance with Section 106 of the National Historic Preservation Act as it Pertains to the Administration of the Federal-Aid Highway Program in California (Section 106 PA). This agreement is included as Exhibit 1.1 (PDF) of the handbook. All actions taken under the Section 106 PA must be conducted by or under the supervision of Caltrans Professionally Qualified Staff (PQS).
Chapter 2 contains instructions for processing cultural resources documents in compliance with federal and state laws. It specifically discusses compliance requirements of Section 106 of the National Historic Preservation Act and its relationship to Section 4(f) of the Department of Transportation Act, and at the state level, the California Environmental Quality Act and the Public Resources Code. Parallel segments for federal projects and for state-only projects describe pertinent legislation and compliance procedures, including identification, evaluation, and mitigation. The chapter discusses the types of reports required to document that cultural resources have been considered in Caltrans project planning.
Chapter 3 – Native American Consultation (PDF) (Revised 10/29/21)
Chapter 3 presents the department’s policies, procedures, and best practices for coordination and consultation with California Native American Tribes about potential effects to tribal cultural sites and landscapes during transportation project delivery, maintenance, and other activities. It describes pertinent legislation, regulations, policies, and guidance that serve as the basis for the department’s consultation procedures. The chapter also sets forth the department’s broader tribal government diplomatic responsibilities and provides guidance on carrying out early tribal coordination and engagement during transportation planning and scoping phases to help support the department’s tribal government relations.
Chapter 4 – Cultural Resources Identification (PDF) (Revised 5/20/20)
Chapter 4 discusses the process and procedures for identifying cultural resources within the project area. The chapter describes the types of cultural resources that Caltrans is expected to identify and the appropriate sequence of steps to follow for determining whether recordation and evaluation would be necessary. It covers such topics as defining an Area of Potential Effects, background (or pre-field) research, initial archaeological and reconnaissance surveys. The final section in the chapter offers guidance for requesting the appropriate specialists to evaluate cultural resources that were identified in the initial steps as warranting evaluation.
Chapter 5 – Archaeological Resources Identification, Evaluation, Effects and Treatment (PDF) (Revised 6/29/21)
Caltrans’ methods and procedures for the evaluation and treatment of prehistoric and historical archaeological resources are discussed in Chapter 5. There are sections that summarize Caltrans archaeological policies and describe Caltrans procedures to define and evaluate archaeological sites, conduct data recovery, and prepare the pertinent technical reports. Guidance is offered for field safety, preparing Archaeological Survey Reports (ASR), Excavation Proposals, Extended Phase I reports, Archaeological Evaluation Reports (AER), Historic Resources Evaluation Report (HRER), Phase III proposals and reports, and Data Recovery Plans. The chapter provides information on construction monitoring, environmentally sensitive areas, archaeological permits, and archaeological procedures to follow in the event of post-review discoveries or for activities not related to projects.
Chapter 6 – Built-Environment Resources Evaluation and Treatment (PDF) (Revised 7/5/20)
Chapter 6 outlines Caltrans' methods and procedures for recording, evaluating, and treating buildings, bridges, structures, objects, non-archaeological sites, and districts composed of such structural features. There are sections that summarize Caltrans history and architectural history policies and that describe Caltrans procedures to evaluate built cultural resources, the relationship between research and evaluation, and step-by-step procedures for processing HRERs. Chapter 6 offers mitigation options to be considered when historic properties may be affected by proposed transportation projects. Lastly, the chapter also explains Caltrans' legal responsibility for maintaining its historic buildings and structures.
|Description||Download Exhibits||Version Date|
|Exhibit 1.1 – Section 106 Programmatic Agreement||Exhibit 1.1 (PDF)||January 1, 2014|
|Exhibit 1.2 – PRC 5024 MOU with 2019 Addendum||Exhibit 1.2 (PDF)||January 1, 2020|
|Exhibit 1.3 – Definitions of Terms||Exhibit 1.3 (PDF)||September 17, 2019|
|Exhibit 1.4 – Abbreviations||Exhibit 1.4 (PDF)||December 19, 2019|
|Exhibit 1.5 – Section 4(f) and Cultural Resources||Exhibit 1.5 (PDF)||June 23, 2020|
|Exhibit 1.6 – Required Expertise for Cultural Resources Actions||Exhibit 1.6 (PDF)||
April 29, 2020
|Exhibit 1.7 – Guidance for Professionally Qualified Staff (PQS) Applications||Exhibit 1.7 (PDF)||December 10, 2021|
|Exhibit 2.1 – Section 106 Programmatic Agreement Flowchart||Exhibit 2.1 (PDF)||December 31, 2019|
|Exhibit 2.2 – Concordance between Existing Section 106 Regulations and Section 106 Programmatic Agreement||Exhibit 2.2 (PDF)||April 28, 2020|
|Exhibit 2.3 - Time and Effort Required for Cultural Resources Compliance||Exhibit 2.3 (PDF)||December 18, 2019|
|Exhibit 2.4 - Sequential Order of Cultural Resource Activities||Exhibit 2.4 (PDF)||June 23, 2020|
|Exhibit 2.5 - Screened Undertaking Memo Format and Content Guide||Exhibit 2.5 (PDF)||April 28, 2020|
|Exhibit 2.6 - Historic Property Survey Report (HPSR) Format and Content Guide||Exhibit 2.6 (PDF)||April 28, 2020|
|Exhibit 2.7 - Historical Resources Compliance Report (HRCR) Format and Content Guide||April 28, 2020|
|Exhibit 2.8 - Finding of No Adverse Effect (FNAE) Format and Content Guide (includes Standard Conditions)||Exhibit 2.8 (PDF)||April 28, 2020|
|Exhibit 2.9 - Finding of Adverse Effect (FAE) Format and Content Guide||Exhibit 2.9 (PDF)||December 30, 2019|
|Exhibit 2.10 - Guidelines for Agreement Documents||Exhibit 2.10 (PDF)||April 29, 2020|
|Exhibit 2.11 - Environmentally Sensitive Area Action Plan (ESA) Format and Content Guide||Exhibit 2.11 (PDF)||December 18, 2019|
|Exhibit 2.12 - Secretary of the Interior’s Standards for the Treatment of Historic Properties (SOIS) Action Plan Format and Content Guide||Exhibit 2.12 (PDF)||April 28, 2020|
|Exhibit 2.13 - Peer Review Guidelines for Cultural Resources Documents||Exhibit 2.13 (PDF)||September 18, 2019|
|Exhibit 2.14 - Required Copies and Required Reviews of Cultural Resources Documents||Exhibit 2.14 (PDF)||September 18, 2019|
|Exhibit 2.15 – Cultural Resources Information to Include in Environmental Documents||Exhibit 2.15 (PDF)||April 28, 2020|
|Exhibit 2.16 - External Distribution and Publication Of Reports and Public Presentations||Exhibit 2.16 (PDF)||September 19, 2019|
|Exhibit 2.17 - Excess Property Transfers and Route Relinquishments||Exhibit 2.17 (PDF)||April 28, 2020|
|Exhibit 2.18 - Annotated Memos and Letters||Exhibit 2.18 (PDF)||April 28, 2020|
|Exhibit 3.1 - Key Policies, Directives, Guidance, and Laws for Tribal Diplomacy and Consultation||Exhibit 3.1 (PDF)||October 29, 2021|
|Exhibit 3.2 - Transportation Development/Tribal Engagement Timeline||Exhibit 3.2 (PDF)||December 31, 2021|
|Exhibit 3.3 - Consultation and Integration of Tribal Expertise||Exhibit 3.3 (PDF)||December 21, 2021|
|Exhibit 3.4 - Guidance on Reimbursement for Tribal Expertise||Exhibit 3.4 (PDF)||December 21, 2021|
|Exhibit 3.5 - Tribal Outreach and Consultation Log||Exhibit 3.5 (PDF)||December 21, 2021|
|Exhibit 3.6 - Director’s Policy 19||Exhibit 3.6 (PDF)||October 29, 2021|
|Exhibit 4.1 - Cultural Resources Process Checklist||Exhibit 4.1 (PDF)||April 28, 2020|
|Exhibit 4.2 - Standard Sources of Information||Exhibit 4.2 (PDF)||December 30, 2019|
|Exhibit 4.3 - National Register and California Register Comparison||Exhibit 4.3 (PDF)||June 30, 2020|
|Exhibit 4.4 - Minimal Recordation for Certain Exempted State-owned Resources||Exhibit 4.4 (PDF)||April 28, 2020|
|Exhibit 5.1 - Archaeological Survey Report (ASR) Format and Content Guide||Exhibit 5.1 (PDF)||June 15, 2021|
|Exhibit 5.2 - Extended Phase I Proposal (XPI) Format and Content Guide||Exhibit 5.2 (PDF)||June 15, 2021|
|Exhibit 5.3 - Extended Phase I Report (XPI) Format and Content Guide||Exhibit 5.3 (PDF)||June 15, 2021|
|Exhibit 5.4 - Archaeological Evaluation Proposal (Phase II) Format and Content Guide||Exhibit 5.4 (PDF)||June 15, 2021|
|Exhibit 5.5 - Archaeological Evaluation Report (Phase II) Format and Content Guide||Exhibit 5.5 (PDF)||June 15, 2021|
|Exhibit 5.6 - Data Recovery Plan (DRP) Format and Content Guide||Exhibit 5.6 (PDF)||June 16, 2021|
|Exhibit 5.7 - Archaeological Data Recovery (Phase III) Proposal Format and Content Guide||Exhibit 5.7 (PDF)||June 16, 2021|
|Exhibit 5.8 - Archaeological Data Recovery (Phase III) Report Format and Content Guide||Exhibit 5.8 (PDF)||June 16, 2021|
|Exhibit 5.9 - Excavation Pre-field Checklist||Exhibit 5.9 (PDF)||June 16, 2021|
|Exhibit 5.11 - Post-Review Discovery and Monitoring Plan Format and Content Guide||Exhibit 5.11 (PDF)||June 18, 2021|
|Exhibit 5.12 - Post-Review Discovery Without Plan Format and Content Guide||Exhibit 5.12 (PDF)||June 16, 2021|
|Exhibit 5.13 – Construction Impacts to Cultural Resources Report Format and Content Guide||Exhibit 5.13 (PDF)||June 16, 2021|
|Exhibit 5.14 – Historical Archaeology Guidelines||Exhibit 5.14 (PDF)||June 17, 2021|
|Exhibit 6.1 - Ranking Character-Defining Features||Exhibit 6.1 (PDF)||January 27, 2020|
|Exhibit 6.2 - Bridge Numbering and Historic Status Codes||Exhibit 6.2 (PDF)||November 12, 2019|
|Exhibit 6.3 - Historic Bridges and Tunnels Screened Undertakings and Activities
||Exhibit 6.3 (PDF)||October 4, 2020|
|Exhibit 6.4 - Historic Bridges and Tunnels No Adverse Effects with Standard Conditions
||Exhibit 6.4 (PDF)||April 29, 2020|
|Exhibit 6.5 - Historical Resources Evaluation Report (HRER) Format and Content Guide
||Exhibit 6.5 (PDF)||April 29, 2020|
|Exhibit 6.6 – Heritage Documentation for HABS/ HAER / HALS
||Exhibit 6.6 (PDF)||April 29, 2020|