CEQA & CEQA & ArcheologyArcheology

Cultural and Historical Resources:Cultural and Historical Resources:

A Toolbox for PreservationA Toolbox for Preservation

Michelle C. MessingerMichelle C. Messinger

Historian IIHistorian II

September 5, 2007September 5, 2007

ChicoChico

OROR, how Archeology should , how Archeology should not be handled under CEQA:not be handled under CEQA:

If there is evidence in the If there is evidence in the record that an archeological record that an archeological resourceresourcemay be affected by a project, may be affected by a project, a mitigation measure a mitigation measure applicable to applicable to accidental accidental discovery is not discovery is not appropriateappropriate..

Purpose of CEQA: Purpose of CEQA: Protection of the Protection of the EnvironmentEnvironment 1. 1. InformationInformation : :

Inform decision Inform decision makers & public makers & public about significant about significant environmental environmental effects of proposed effects of proposed activitiesactivities

2. 2. IdentificationIdentification: : Identify ways that Identify ways that environmental environmental damage can be damage can be avoided or avoided or significantly significantly reducedreduced

3.3.PreventionPrevention: Prevent : Prevent significant, avoidable significant, avoidable damage to the damage to the environment by requiring environment by requiring changes in projects changes in projects through use of alternatives through use of alternatives or mitigation measures or mitigation measures when the agency finds when the agency finds changes to be feasiblechanges to be feasible

4. 4. DisclosureDisclosure: Disclose to : Disclose to the public the reasons why the public the reasons why an agency approved the an agency approved the project in the manner the project in the manner the agency chose if significant agency chose if significant environmental effects are environmental effects are involved (Code involved (Code § 21001 (d); § 21001 (d); Guidelines §15002)Guidelines §15002)

CEQA has a CEQA has a

SubstantiveSubstantive Mandate; it is not Mandate; it is not just proceduraljust procedural

Public agencies Public agencies mustmust deny deny approval of projects with approval of projects with significant environmental effects if significant environmental effects if “there are feasible alternatives or “there are feasible alternatives or mitigations measures” that can mitigations measures” that can substantially lessen or avoid those substantially lessen or avoid those effects effects

PRC PRC § 21002§ 21002

CEQA applies to CEQA applies to DiscretionaryDiscretionary projects projects

Project:Project: any activity which any activity which may cause either a direct or may cause either a direct or indirect physical change in indirect physical change in the environmentthe environment

Initial StudyInitial Study

1. when an activity is subject to CEQA 1. when an activity is subject to CEQA & it has been determined that no & it has been determined that no statuary or categorical exemptions statuary or categorical exemptions apply, the lead agency will prepare an apply, the lead agency will prepare an ISIS

2. Responsibility of the lead agency to 2. Responsibility of the lead agency to determine whether Cultural Resources determine whether Cultural Resources exist – requires adequate level of exist – requires adequate level of identificationidentification

Appendix GAppendix G

The Environmental Checklist Form The Environmental Checklist Form for the Initial Study (IS)for the Initial Study (IS)

AsksAsks::

1.) will the project cause a 1.) will the project cause a substantial adverse change in the substantial adverse change in the significance of an historical significance of an historical resource as defined in resource as defined in § 15064.5?§ 15064.5?

2.) cause a substantial adverse change 2.) cause a substantial adverse change in the significance of an archeological in the significance of an archeological resource pursuant to resource pursuant to § 15064.5 § 15064.5

and and

3.) disturb human remains, including 3.) disturb human remains, including those interred outside of formal those interred outside of formal cemeteries? cemeteries?

Two – Part TestTwo – Part Test

Lead Agency has to determine Lead Agency has to determine whether there is a whether there is a significant impactsignificant impact to an historic resource by a projectto an historic resource by a project

Question 1: is resource “historically Question 1: is resource “historically significant”significant”

Question 2: would project cause a Question 2: would project cause a “substantial adverse change” in its “substantial adverse change” in its significancesignificance

What is a Cultural What is a Cultural Resource?Resource?General DefinitionGeneral Definition - Historical Resources are the resources Historical Resources are the resources

of the built environment, districts, of the built environment, districts, including cultural landscapes, etc.including cultural landscapes, etc.

- archeological resources or districts - archeological resources or districts

Archeological Archeological Resources can be: Resources can be: Sites such as villages, seasonal Sites such as villages, seasonal

camp sites, stone tool quarry camp sites, stone tool quarry sites, hunting & butchering sites, sites, hunting & butchering sites, traditional trails, and sites with traditional trails, and sites with rock carvings and paintings. rock carvings and paintings.

These sites can be identified by the These sites can be identified by the existence of one or more of the following: existence of one or more of the following:

stone flakes (chert, stone flakes (chert, jasper, quartz);jasper, quartz);

obsidian or basalt obsidian or basalt rock; rock;

shell, animal or fish shell, animal or fish bone; bone;

groundstone tools groundstone tools for grinding; for grinding;

plant foods; plant foods; artifacts, such as artifacts, such as

arrow or spear arrow or spear points; points;

pottery shell pottery shell fragments; fragments;

darker midden soil; darker midden soil; circular depressions circular depressions

representing houses representing houses or ceremonial or ceremonial structuresstructures

And more:And more:

Areas of Areas of Traditional Cultural Traditional Cultural SignificanceSignificance

These either “have been” or “continue These either “have been” or “continue to be” of to be” of religious and/or economicreligious and/or economic significance to Native American people significance to Native American people such as sacred areas where religious such as sacred areas where religious ceremonies are practiced or which are ceremonies are practiced or which are central to their origin of a people, or central to their origin of a people, or areas where the gathering of plants & areas where the gathering of plants & foods for medicinal or economic foods for medicinal or economic purposes occurs.purposes occurs.

CEQA’s definition of an CEQA’s definition of an Historical Resource:Historical Resource:

Very broad, very inclusiveVery broad, very inclusive

– CEQA Guidelines CEQA Guidelines §15064.5 and PRC §15064.5 and PRC 21084.121084.1

CEQA & Archeological CEQA & Archeological ResourcesResources ““the lead agency the lead agency

must determine must determine whether the whether the project may have project may have a significant a significant effect on effect on archaeological archaeological resources”resources”

How does CEQA define How does CEQA define archeological resources?archeological resources?

CEQA discusses two types of archeological resources:CEQA discusses two types of archeological resources:

a “unique archaeological resource” (PRC 21083.2)a “unique archaeological resource” (PRC 21083.2) an archeological resource that qualifies as a an archeological resource that qualifies as a

“historical resource” (PRC 15064.5 (a))“historical resource” (PRC 15064.5 (a))

What is a “unique What is a “unique archaeological archaeological resource”?resource”?

An archeological resource that:An archeological resource that:

1)1) contains information needed to answer contains information needed to answer important scientific research questionsimportant scientific research questions

2) 2) has a special and particular quality has a special and particular quality such as being the oldest of its type such as being the oldest of its type

3)3) is directly associated with a prehistoric is directly associated with a prehistoric or historic event or personor historic event or person

What is an archeological What is an archeological resource that is an resource that is an “historical resource”?“historical resource”?An archeological resource that is:An archeological resource that is:

11)) listed or determined eligible for listed or determined eligible for listing listing on the California Register on the California Register of Historical of Historical ResourcesResources2)2) listed in a “local register of listed in a “local register of historical historical resources”resources”3)3) listed in an “historical resourcelisted in an “historical resource survey”survey”

How is an archeological How is an archeological resource determined to be resource determined to be an historical resource?an historical resource?

Generally an archeological resource is Generally an archeological resource is determined to be an historical resource due to its determined to be an historical resource due to its eligibility for listing to the California Register eligibility for listing to the California Register because of its scientific information value or because of its scientific information value or Criterion DCriterion D

““Has yielded, or may be likely to yield Has yielded, or may be likely to yield information important in prehistory and history”information important in prehistory and history”

Can an archeological resource Can an archeological resource be eligible to the CRHR under be eligible to the CRHR under Criterion other than D?Criterion other than D? Yes. An archeological resource can be eligible to Yes. An archeological resource can be eligible to

the CRHR under Criterionthe CRHR under Criterion

AA association with events that association with events that have made a have made a significant contribution to significant contribution to the broad patterns the broad patterns of historyof history

BB association with the lives of association with the lives of historically historically important personsimportant persons

C C association with the association with the characteristics of type, period, region, or characteristics of type, period, region, or method of constructionmethod of construction

IntegrityIntegrity Integrity Integrity = “retains = “retains

physical physical characteristics that characteristics that convey its historical convey its historical significance” (significance” (§ 15064.5 § 15064.5 (b))(b))

integrity for integrity for archeological resource archeological resource = (generally) resource = (generally) resource sufficiently intact to sufficiently intact to yield the expected yield the expected important informationimportant information

What is the relationship What is the relationship between a unique and between a unique and historical resource?historical resource?““When a project will impact an archaeological When a project will impact an archaeological

site, a lead agency shall first determine site, a lead agency shall first determine whether the site is an historical resource”whether the site is an historical resource”

((§ 15064.5 (c)(1)§ 15064.5 (c)(1)

SO, what is a significant SO, what is a significant adverse effect to an adverse effect to an archeological resource?archeological resource? The “significance” of the resource must be “materially The “significance” of the resource must be “materially

impaired”impaired”

““materially impaired” = “demolishes or materially materially impaired” = “demolishes or materially alters in an adverse manner those physical alters in an adverse manner those physical characteristics …that convey its historical significance characteristics …that convey its historical significance that justify its inclusion in” the CRHR or local register that justify its inclusion in” the CRHR or local register of historical resourcesof historical resources

Generally, for archeological resources, Generally, for archeological resources,

Significant adverse effect = destruction of Significant adverse effect = destruction of scientific datascientific data

What are adequate What are adequate efforts to identify an efforts to identify an archeological resource? archeological resource? Record search at Information CenterRecord search at Information Center Archival research (historic maps, building, Archival research (historic maps, building,

assessor & water connection records, city assessor & water connection records, city directories, U.S. Census population, directories, U.S. Census population, industrial, institutional, agricultural industrial, institutional, agricultural schedules, historic photographs)schedules, historic photographs)

Sacred lands search at Native American Sacred lands search at Native American Heritage Commission (NAHC) and for Native Heritage Commission (NAHC) and for Native American and descendent group contactsAmerican and descendent group contacts

Geotechnical & soil characterization studiesGeotechnical & soil characterization studies Archeological field surveyArcheological field survey Archeological testing program Archeological testing program

(presence/absence, identification, evaluation)(presence/absence, identification, evaluation)

First Steps for First Steps for adequate adequate IdentificationIdentification Selection of a Selection of a qualified archeologistqualified archeologist in the RFP process in the RFP process

or from list maintained by Information Center or local or from list maintained by Information Center or local governmentgovernment

Some Questions to ask would be: Some Questions to ask would be:

Does he/she meet the Secretary of Interior’s Does he/she meet the Secretary of Interior’s Professional Qualifications? Professional Qualifications?

Do they have professional memberships?Do they have professional memberships? Past experience in dealing with appropriate resources Past experience in dealing with appropriate resources

( historic archeology, marine, urban, prehistoric vs. ( historic archeology, marine, urban, prehistoric vs. ethno-historic, ethnographic, etc.) Request resumes of ethno-historic, ethnographic, etc.) Request resumes of key personnel or company informationkey personnel or company information

Experience with local Native American tribesExperience with local Native American tribes

Phases of Cultural Phases of Cultural Resources Studies under Resources Studies under CEQACEQA

Three Phases:Three Phases:

Phase I: Inventory of Cultural ResourcesPhase I: Inventory of Cultural Resources

Phase II: Evaluation of Cultural Phase II: Evaluation of Cultural ResourcesResources

Phase III: Treatment of Cultural Phase III: Treatment of Cultural Resources impacted by a projectResources impacted by a project

All of these should be implemented by a qualified professional All of these should be implemented by a qualified professional archeologist who meets the Secretary of Interior’s Standards archeologist who meets the Secretary of Interior’s Standards

Phase I – Inventory Phase I – Inventory

The three steps of this phase are:The three steps of this phase are:

Records SearchRecords Search Field SurveyField Survey Written Report Written Report

Additionally, consultation with local California Additionally, consultation with local California Native Americans is highly recommended. Native Americans is highly recommended. The NAHC keeps lists of tribes, groups and The NAHC keeps lists of tribes, groups and individuals. individuals.

Records Search for Records Search for Cultural ResourcesCultural Resources

When providing When providing the boundary the boundary area for project or area for project or APE to an IC, at APE to an IC, at most, only the most, only the following will be following will be determined:determined:

1.1. Whether project Whether project area or part of it area or part of it have been have been previously previously surveyedsurveyed..

1.1. Whether any Whether any knownknown cultural resources have cultural resources have already been recorded already been recorded on or adjacent to on or adjacent to project area.project area.

2.2. Whether probability for Whether probability for existence of cultural existence of cultural resources is resources is low, low, moderate, or high.moderate, or high.

3.3. Whether a field survey Whether a field survey is is required required to to determine whether determine whether previously unrecorded previously unrecorded cultural resources are cultural resources are present.present.

Field SurveyField Survey

In most cases, a field survey by a In most cases, a field survey by a professional archeologist will be professional archeologist will be requiredrequired

PURPOSEPURPOSE: Survey the : Survey the entireentire property for cultural resourcesproperty for cultural resources

Site Forms & Written Site Forms & Written ReportReport Proper recordation of found cultural Proper recordation of found cultural

resources on DPR 523resources on DPR 523 Written report which describes how Written report which describes how

survey was conducted with survey was conducted with recommendations for further work, if recommendations for further work, if needed.needed.

(Copies of site forms and report must be filed with (Copies of site forms and report must be filed with appropriate local IC)appropriate local IC)

Phase II: Evaluation of Phase II: Evaluation of Cultural ResourcesCultural Resources PurposePurpose: to determine : to determine

whether a cultural whether a cultural resource is significant resource is significant according to according to §15064.5 §15064.5 (historical resource) . (historical resource) .

If resource is not If resource is not important, no further important, no further work is needed per CEQA.work is needed per CEQA.

If the resource is If the resource is significantsignificant, then the , then the impacts must beimpacts must be mitigatedmitigated. .

Types of sites :Types of sites : Some can be evaluated Some can be evaluated

during course of a during course of a Phase I survey.Phase I survey.

Others can be Others can be evaluated during an evaluated during an extended Phase I extended Phase I survey with a few survey with a few shovel test pits to shovel test pits to determine the determine the existence of a existence of a subsurface deposit.subsurface deposit.

More on Sites: More on Sites:

Most habitation Most habitation sites may require sites may require more formal test more formal test excavations.excavations.

Test excavations Test excavations have limited goals & have limited goals & should be limited in should be limited in scope.scope.

Those goals would Those goals would bebe::

Determination of site Determination of site boundariesboundaries

Assessment of site’s Assessment of site’s integrity (intactness)integrity (intactness)

Evaluation of site’s Evaluation of site’s significance through significance through a study of its a study of its features & artifactsfeatures & artifacts

But, large scale But, large scale excavations are not excavations are not necessary during the necessary during the evaluation stageevaluation stage

Phase III: Treatment of Phase III: Treatment of Cultural Resources Cultural Resources impacted by projectimpacted by project If Phase I & II (inventory & If Phase I & II (inventory &

evaluation) determined that evaluation) determined that significant resources exist, CEQA significant resources exist, CEQA requires mitigation of these requires mitigation of these impacts.impacts.

EIR vs. MNDEIR vs. MND

Mitigation of Cultural Mitigation of Cultural Resources Resources CEQA Guidelines CEQA Guidelines § 15126.4 (b) (3):§ 15126.4 (b) (3):

““Public agencies should, whenever Public agencies should, whenever feasible, seek to avoid damaging feasible, seek to avoid damaging effects on any historical resource of effects on any historical resource of an archeological nature. The an archeological nature. The following factors shall be considered following factors shall be considered and discussed in an EIR for a project and discussed in an EIR for a project involving such an archeological involving such an archeological site”:site”:

Preservation in PlacePreservation in Place

preferred manner of mitigating preferred manner of mitigating impacts to archeological sites.impacts to archeological sites.

maintains the relationship maintains the relationship between artifacts and the between artifacts and the archeological context.archeological context.

May also avoid conflict with May also avoid conflict with religious or cultural values of religious or cultural values of groups associated with the site.groups associated with the site.

Preservation in place may be Preservation in place may be accompanied by, but is not accompanied by, but is not

limited to the following:limited to the following:

Avoidance: Planning Avoidance: Planning construction to avoid construction to avoid sitessites

Incorporation within Incorporation within parks, green-space, parks, green-space, or other open space or other open space by re-designing by re-designing project using open project using open space or space or undeveloped landsundeveloped lands

These are the least These are the least costly mitigation costly mitigation measuresmeasures

Conservation Conservation EasementsEasements

Deeding of site into Deeding of site into a permanent a permanent conservation conservation easementeasement

Site CappingSite Capping

Covering the sites with a Covering the sites with a layer of chemically layer of chemically stable soil before stable soil before building such things as building such things as tennis courts, parking tennis courts, parking lots, etc.lots, etc.

Before capping occurs: Before capping occurs: 1. the site’s significance 1. the site’s significance should be evaluated; 2. should be evaluated; 2. the boundaries have the boundaries have been adequately been adequately mapped.mapped.

Why? Why? so city planners, so city planners, archeologists and Native archeologists and Native Americans know what Americans know what has been buried & has been buried & wherewhere

Sometimes soil Sometimes soil conditions do not allow conditions do not allow for cappingfor capping

Deed restrictions should Deed restrictions should be considered to restrict be considered to restrict owners from excavating owners from excavating below fill for any future below fill for any future improvementsimprovements

And Data Recovery.And Data Recovery.

“(C) When data recovery through excavation is the only feasible mitigation, a data recovery plan, which makes provisions for adequately recovering the scientifically consequential information from and about the historical resource, shall be prepared and adopted prior to any excavation being undertaken. Such studies shall be deposited with the California Historical Resources Regional Information Center. Archeological sites known to contain human remains shall be treated in accordance with the provisions of Section 7050.5 Health and Safety Code. If an artifact must be removed during project excavation or testing, curation may be an appropriate mitigation. “

§15126.4(b)(C)

What is Data What is Data Recovery ?Recovery ? The documentation, recordation, and The documentation, recordation, and

removal of the archeological deposit from removal of the archeological deposit from a project site in a manner consistent with a project site in a manner consistent with professional ( and regulatory) standards; professional ( and regulatory) standards; and the subsequent inventorying, and the subsequent inventorying, cataloguing, analysis, identification, cataloguing, analysis, identification, dating, interpretation of the artifacts and dating, interpretation of the artifacts and “ecofacts” & the production of a report of “ecofacts” & the production of a report of findings. findings.

Data Recovery is the most time consuming & most costly Data Recovery is the most time consuming & most costly form of mitigation. form of mitigation.

Accidental Discovery of Accidental Discovery of Cultural ResourcesCultural Resources Lead Agency shall make provisions for Lead Agency shall make provisions for

accidental finds like the immediate accidental finds like the immediate evaluation (historical vs. unique) of the evaluation (historical vs. unique) of the archeological resourcearcheological resource

Work should continue at other parts of Work should continue at other parts of project area but stop at least within a project area but stop at least within a 100-foot radius of site100-foot radius of site

Time & money should be allocated for Time & money should be allocated for appropriate mitigation such as appropriate mitigation such as avoidanceavoidance

§15064.5 (f)§15064.5 (f)

BUT:BUT: Discovery of Cultural Resources Discovery of Cultural Resources

during Construction…..without the during Construction…..without the appropriate level of identificationappropriate level of identification

Should be avoided Should be avoided whenever possiblewhenever possible..

Phase IIIPhase IIIWhat then is adequate What then is adequate mitigation for an adverse mitigation for an adverse effect?effect?

Responsible mitigation should require Responsible mitigation should require preparation of a research design and preparation of a research design and testing plan in advance of the project.testing plan in advance of the project. Why?Why? To identify the scientifically To identify the scientifically

important information and recover important information and recover it, in a timely manner & without risk it, in a timely manner & without risk to preventable project impactsto preventable project impacts

Not appropriate Not appropriate Mitigation:Mitigation: Archeological Monitoring as a Archeological Monitoring as a

mitigation is typically not a mitigation is typically not a preferred mitigation for preferred mitigation for archeological resourcesarcheological resources

Why?Why? It may put the resource at risk to It may put the resource at risk to

project impacts before appropriate project impacts before appropriate archeological intervention can occurarcheological intervention can occur

Once more:Once more:

If there is evidence in the If there is evidence in the record that an record that an archeological resourcearcheological resourcemay be affected by a may be affected by a project, a mitigation project, a mitigation measure applicable to measure applicable to accidental discovery is accidental discovery is not appropriatenot appropriate..

Contact InformationContact Information

Michelle C. MessingerMichelle C. Messinger

Historian II – CEQA CoordinatorHistorian II – CEQA Coordinator

Local Government UnitLocal Government Unit

Office of Historic Preservation Office of Historic Preservation (OHP)(OHP)

(916) 653-5099(916) 653-5099

mmessinger@parks.ca.govmmessinger@parks.ca.gov