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Mayor and City Council
Kevin Crawford, City Manager
Teri Delcamp, Principal Planner
teri.delcamp@carlsbadca.gov or 760-602-4611
Receive a presentation on the Carlsbad Tribal, Cultural and Paleontological
Resources Guidelines
Carlsbad Tribal, Cultural and Paleontological Resources Guidelines
ss 16-06
Recommended Action
Receive a presentation on the Carlsbad Tribal, Cultural and Paleontological Resources
Guidelines, hear public testimony, provide City Council comments regarding the Guidelines,
and, by motion, accept the Carlsbad Tribal, Cultural and Paleontological Resources Guidelines
as a resource for city staff and the public to utilize and implement.
Executive Summary
The City of Carlsbad has completed an update to the city's Cultural Resource Guidelines first
prepared in 1990. The initiation of this update was a direct result of the city's consultation with
the San Luis Rey Band of Mission Indians (SLRBMI) and the City Council's adoption of Council
Policy No. 83, Tribal Cultural Resource Protection, in 2016. Among other concerns, Policy No.
83 committed the city to updating the 1990 Guidelines to reflect protocols to ensure that tribal
cultural resources are treated appropriately and that mitigation measures ensure permanent
preservation of these resources. Because of the number of regulatory changes that have
occurred since 1990, and the narrow scope of the original Guidelines, staff retained a
consultant through a Request for Proposal (RFP) process to comprehensively update the
Guidelines. ECORP Consulting, Inc., was retained in August 2016 to prepare the Guidelines. A
public draft was released in July 2017, and was presented to the city's Historic Preservation
Commission and Planning Commission in July and August 2017, respectively. Comments from
the two commissions and the public have been addressed in the final Guidelines that are being
presented to the City Council.
Discussion
Since August 2016, city staff and the consultant team have worked on the update to the
Guidelines, with consultation and reviews provided by city staff, SLRBMI, and other industry
professionals. In addition to addressing regulatory changes, staff recognized the need for the
Guidelines to address other procedural and qualitative improvements. The Guidelines need to
include criteria for cultural resources and paleontological consultants that ensure the work
products provided to the city for review by staff are consistent in terms of level of detail and
format, which will contribute to greater efficiency in staff reviews. Staff also understood the
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importance of having clear Guidelines that have established timeframes, and provide built-in
accountability that removes uncertainty from the compliance process and simplifies the need
for following specific procedures. The goal is also to make the Guidelines user-friendly for staff
and the public. A separate manual with process flow charts, compliance verification forms, and
processing checklists are also being prepared for staff to utilize that will collectively standardize
the implementation of the Guidelines and increase efficiency.
The Guidelines reference regulations at all levels of government that pertain to historic,
archaeological, paleontological and tribal cultural resources. Context statements are included
to cover the ethnography and history of habitation in Carlsbad and environs. The Guidelines
also include a section on roles and responsibilities of various entities when addressing known or
potential resources. Historic (built environment) and paleontological sensitivity maps are
provided to help staff and the public better understand areas of sensitivity. The Guidelines
outline methodologies and procedures for addressing the various types of resources, and
include templates for standard treatments and mitigation measures.
A public draft of the Guidelines was posted on the city’s website for review and comment. The
draft Guidelines document was presented to the Historic Preservation Commission meeting on
July 10, 2017. The Historic Preservation Commission also held a special meeting on August 28,
2017, to provide specific comments on the draft Guidelines. The Guidelines were also
presented to the Planning Commission at their August 16, 2017, meeting, and Commissioners
provided comments to staff at the meeting. Public comments were also received from SLRBMI
and the San Diego County Archaeological Society. Some of the topics raised were:
Clarifications on ethnographic descriptions
Inclusion of the Historic Preservation Commission for notifications on availability of
CEQA public review documents
Concerns regarding perceived conflicts between in-situ preservation of tribal cultural
resources and curation of archaeological resources as mitigation
Clarification about the relationships between various California Native American tribes
in the region
Modifications and clarifications to enhance user-friendliness
The public comments have been addressed in the final Guidelines where appropriate, and
communicated to the commenters. The San Luis Rey Band of Mission Indians has requested
two additional minor changes and staff recommends inclusion of these changes to the final
Guidelines (see Exhibit 2). The City Council meeting is an opportunity for city staff and the
consultant to present the final Guidelines to the City Council for acceptance. The consultant’s
scope of work includes a follow-up training session for city staff on the Guidelines, which should
occur in October.
The Carlsbad Tribal, Cultural and Paleontological Resources Guidelines, referenced as Exhibit 1,
has been previously distributed to the City Council, posted to the City of Carlsbad website,
distributed to the libraries, City Hall, and Faraday Center, and is on file at the Carlsbad Planning
Division.
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Fiscal Analysis
The Carlsbad Tribal, Cultural and Paleontological Resources Guidelines has been fully funded
and no additional funds are being requested.
Next Steps
Once accepted by the City Council, the Guidelines will be made available to the public and city
staff. The new Guidelines will replace the 1990 Guidelines, and will be implemented for future
public and private projects that may affect the types of resources addressed in the Guidelines.
Environmental Evaluation (CEQA)
A presentation on the draft Carlsbad Tribal, Cultural, and Paleontological Resources Guidelines
has been determined to be exempt from environmental review per CEQA Guidelines Section
15262 – Planning Study.
Public Notification
No public notification is required. However, subscribers to city meeting agenda email alerts will
receive advance notice via email.
Exhibits
1. Carlsbad Tribal, Cultural and Paleontological Resources Guidelines (previously distributed to
the City Council, libraries, City Hall, and Faraday Center, and is on file at the Carlsbad
Planning Division and posted to the City of Carlsbad website:
http://www.carlsbadca.gov/civicax/filebank/blobdload.aspx?BlobID=34010
2. Recommended minor changes to the Carlsbad Tribal, Cultural and Paleontological
Resources Guidelines
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Carlsbad Tribal, Cultural, and Paleontological
Resources Guidelines
Prepared for:
The City of Carlsbad, California
Prepared by:
ECORP Consulting, Inc.
with contributions from Cogstone Resource Management
September 2017
(city of
Carlsbad
Cal forn a
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Tribal, Cultural, and Paleontological Guidelines
CONTENTS
List of Acronyms .................................................................................................................................. vi
1.0 Purpose and Need for Guidelines ................................................................................................ 8
1.1 Organization ..................................................................................................................................................... 10
2.0 Definitions of Resources ............................................................................................................ 12
2.1 Types ................................................................................................................................................................... 12
2.2 Cultural Association ....................................................................................................................................... 12
2.3 Time Period ....................................................................................................................................................... 13
2.4 Physical Characteristics ................................................................................................................................. 14
3.0 Regulatory Context .................................................................................................................... 18
3.1 Local ..................................................................................................................................................................... 18
3.1.1 City of Carlsbad General Plan ............................................................................................................. 18
3.1.2 City of Carlsbad Municipal Code ....................................................................................................... 20
3.1.3 Local Coastal Program .......................................................................................................................... 21
3.1.4 City of Carlsbad Council Policy No. 83 ........................................................................................... 22
3.2 State ..................................................................................................................................................................... 22
3.2.1 California Environmental Quality Act (CEQA) ............................................................................... 22
3.2.2 Senate Bill 18 ............................................................................................................................................ 25
3.2.3 California Coastal Act ............................................................................................................................ 25
3.2.4 Public Resources Code Section 5097.5 ........................................................................................... 25
3.2.5 California Public Resources Code 5097.9 ...................................................................................... 26
3.2.6 California Public Resources Code 5097.98 .................................................................................... 26
3.2.7 California Public Resources Code 5097.99 .................................................................................... 26
3.2.8 California Health and Safety Code 7050.5 ..................................................................................... 26
3.2.9 California Code of Regulations (Title 14, Division 3, Chapter 1) ........................................... 27
3.3 Federal ................................................................................................................................................................ 27
3.3.1 National Historic Preservation Act ................................................................................................... 27
4.0 Context Statements ................................................................................................................... 30
4.1 Regional Archaeology and Ancient Native American History ....................................................... 30
4.2 Ethnography and Native American History .......................................................................................... 35
4.2.1 Luisef\o Ethnography ............................................................................................................................. 35
4.2.2 Kumeyaay Ethnography ............................................................. Error! Bookmark not defined.
4.2.3 Luisef\o History ............................................................................. Error! Bookmark not defined.
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4.3 Euro-American History ................................................................................................................................. 47
4.4 Paleontological Resources .......................................................................................................................... 50
5.0 Roles and Responsibilities ......................................................................................................... 53
5.1 City of Carlsbad ............................................................................................................................................... 53
5.2 Private Applicants for Projects ................................................................................................................... 54
5.3 Consultants ....................................................................................................................................................... 54
5.3.1 Minimum Qualifications for Cultural Resources Professionals .............................................. 54
5.3.2 Minimum Qualifications for Paleontological Professionals .................................................... 56
5.4 California Office of Historic Preservation .............................................................................................. 56
5.5 California Native American Heritage Commission ............................................................................ 56
5.6 California Native American Tribes ............................................................................................................ 57
5.6.1 San Luis Rey Band of Mission Indians ............................................................................................. 57
5.7 Federally-Recognized Tribes ...................................................................................................................... 57
5.8 Other Permitting or Approving Agencies ............................................................................................. 57
5.9 Interested Parties ............................................................................................................................................ 58
6.0 Sensitivity Models ...................................................................................................................... 59
6.1 Uses ...................................................................................................................................................................... 59
6.2 Architectural History Sensitivity Model .................................................................................................. 60
6.3 Archaeological Sensitivity Model ............................................................................................................. 62
6.4 Paleontological Sensitivity Model ............................................................................................................ 63
Table 1. Summary of Paleontological Sensitivity by Map Unit ..................................................... 65
6.5 Management of the Models ....................................................................................................................... 67
7.0 General Methods and Standards of Analysis ........................................................................... 68
7.1 General Standards .......................................................................................................................................... 68
7.2 Thresholds of Review .................................................................................................................................... 68
7.3 Confidentiality .................................................................................................................................................. 69
8.0 Tribal Cultural Resources Procedures ...................................................................................... 71
8.1 Tribal Outreach and Coordination ........................................................................................................... 71
8.1.1 Notices of Exemption ............................................................................................................................ 71
8.1.2 Section 106 of the NHPA ..................................................................................................................... 75
8.1.3 AB 52 ............................................................................................................................................................ 75
8.1.4 SB 18 ............................................................................................................................................................ 76
8.2 Identification of Tribal Cultural Resources ............................................................................................ 76
8.2.1 Impact Analyses and Mitigation Measures ................................................................................... 77
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8.2.2 Preferred Treatment Options and Mitigation Measures .......................................................... 77
9.0 Cultural Resources Procedures ................................................................................................. 82
9.1 Sensitivity Model Review ............................................................................................................................. 82
9.2 Records Searches and Literature Reviews ............................................................................................. 82
9.3 Field Surveys ..................................................................................................................................................... 83
9.4 Site Records and Survey Reports ............................................................................................................. 85
9.5 Evaluations of Significance ......................................................................................................................... 85
9.5.1 Properties Exempt from Evaluation of Eligibility ...................................................................... 85
9.5.2 General Methods ..................................................................................................................................... 85
9.5.3 Archival Research .................................................................................................................................... 85
9.5.4 Architectural History and Built Environment ................................................................................ 86
9.5.5 Historic Districts ....................................................................................................................................... 86
9.5.6 Archaeological Excavation ................................................................................................................... 86
9.5.7 Research Topics and Questions for Archaeological Sites ........................................................ 87
9.5.8 Evaluation Reports .................................................................................................................................. 92
9.6 Impact Analyses and Mitigation Measures ........................................................................................... 92
9.6.1 Thresholds .................................................................................................................................................. 92
9.6.2 Preferred Treatment Options and Mitigation Measures ...... ·:·················································· 94
9.7 Curation ........................................................................................................................................................... 104
10.0 Paleontological Resources Procedures ................................................................................ 105
10.1 Sensitivity Model Review .......................................................................................................................... 105
10.2 Records Searches and Literature Reviews .......................................................................................... 105
10.3 Field Surveys .................................................................................................................................................. 105
10.4 Impact Analyses and Mitigation Measures ........................................................................................ 106
10.4.1 Negative Surveys .................................................................................................................................. 106
10.4.2 Positive Surveys .................................................................................................................................... 107
10.4.3 Preferred Treatment Options and Mitigation Measures ....................................................... 107
10.5 Curation ........................................................................................................................................................... 107
11.0 Document Review and Consultation .................................................................................... 108
11.1 Application Requirements ........................................................................................................................ 108
11.2 Completeness Review ................................................................................................................................ 108
11.3 Consultation .................................................................................................................................................. 109
11.4 Compliance Verification ............................................................................................................................ 110
12.0 References Cited ..................................................................................................................... 111
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LIST OF FIGURES
Figure 1. Luiseno and Kumeyaay Bands of San Diego County ............................................................................ 37
Figure 2. Geology of the City of Carlsbad ..................................................................................................................... 52
Figure 3. Architectural History Sensitivity Model, showing high sensitivity in pink and moderate
sensitivity in green, with the balance being considered low sensitivity ............................................................ 61
Figure 4. Paleontology Sensitivity Model ...................................................................................................................... 64
Figure 5. Conceptual capping of a site, in conjunction with a deed restriction (illustration courtesy of
Bonadelle Neighborhoods) ................................................................................................................................................. 98
Figure 6. Example of an interpretive panel. .................................................................................................................. 99
LIST OF TABLES
Table 1. Summary of Paleontological Sensitivity by Map Unit ............................................................................. 65
LIST OF ATTACHMENTS
Attachment A -Carlsbad City Council Policy No. 83
LIST OF APPENDICES
Appendix 1 -Separate Implementation Manual
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List of Acronyms
AB
ACHP
APE
ARMR
ARPA
BLM
BP
BSO
CCR
CEQA
CFR
CHRIS
CO NUS
CRHR
CRMP
DPR
EIR
EIS
EP
FOE
GIS
GLO
GPS
HABS
HAER
HALS
HPDF
HPTP
Assembly Bill
Advisory Council on Historic Preservation
Area of Potential Effects
Archaeological Resource Management Report
Archaeological Resources Protection Act
Bureau of Land Management
years Before the Present
Building, Structure, and Object record
Code of California Regulations
California Environmental Quality Act
Code of Federal Regulations
California Historical Resources Information System
Continental United States
California Register of Historical Resources
Cultural Resources Management Plan
Department of Parks and Recreation
Environmental Impact Report
Environmental Impact Statement
Evaluation Plan
Finding of Effect
Geographic Information System
General Land Office
Global Positioning System
Historic American Building Survey
Historic American Engineering Record
Historic American Landscape Survey
Historic Property Data File
Historic Property Treatment Plan
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IC Information Center
MLD Most Likely Descendant
NAD North American Datum
NAHC Native American Heritage Commission
NEPA National Environmental Policy Act
NHPA National Historic Preservation Act
NPS National Park Service
NRHP National Register of Historic Places
OHP Office of Historic Preservation
PA Programmatic Agreement
PI Principal Investigator
PQS Professional Qualification Standards
ROD Record of Decision
SB Senate Bill
SHPO State Historic Preservation Officer
SLRBMI San Luis Rey Band of Mission Indians
SOI Secretary of the Interior
SOQ Statement of Qualifications
STP Shovel Test Pits or Shovel Test Probes
TCP Traditional Cultural Property
TCR Tribal Cultural Resource
THPO Tribal Historic Preservation Officer
USA Underground Service Alert
USA CE U.S. Army Corps of Engineers
USFWS U.S. Fish and Wildlife Service
UTM Universal Transverse Mercator
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1.0 Purpose and Need for Guidelines
In 1990, the City of Carlsbad developed its first set of guidelines for the treatment of cultural resources
that fall within the limits of the City. The original Cultural Resource Guidelines were prepared with
funding from the National Park Service (NPS) via the California Office of Historic Preservation (OHP)
and established a standard of performance for cultural resources investigations to meet the
requirements of the California Environmental Quality Act (CEQA) that, by today's standards, were
narrowly scoped to largely address archaeological sites.
Since 1990, a number of changes have occurred in the regulatory context within which the City
operates. These changes occurred at various levels of jurisdiction, including at the city, state, and
national levels and in the thresholds and expectations for best professional practices in cultural
resources management. Changes have also occurred in terms of the level of involvement by
stakeholders in cultural resources, particularly Native American tribes, as well as historical societies and
the general public. The changes include the following.
• Carlsbad City Council Policy No. 83, adopted in 2016, calls for the City to "recognize [the City's]
responsibility to protect with improved certainty the important historical and cultural values of
current Tribal Cultural Resources within the City limits and to establish an improved framework
for the City's con·sultations with Native American Tribes that are traditionally and culturally
affiliated with the City of Carlsbad, including the San Luis Rey Band of Mission Indians." This
policy calls for improved communication and consultation procedures with local Native
American tribes. It will assist the City in implementing the requirements of Assembly Bill (AB)
52 and Senate Bill (SB) 18 through an update to the 1990 Guidelines, which is represented by
the current document.
• AB 52, passed by the California legislature in 2014, amended CEQA to require early consultation
with California Native American tribes when preparing a CEQA document for a specific project.
The City, as CEQA lead agency, must offer consultation with tribes that request notification of
projects at the initiation of CEQA. The consultation, if initiated, is to determine whether or not
Tribal Cultural Resources, as defined by AB 52, would be affected by the project.
• SB 18, passed by the California legislature in 2005, mandates consultation with California
Native American tribes when the City is considering the adoption or amendment of a General
Plan or Specific Plan. SB 18 requires that CEQA lead agencies consult with local tribes regarding
the provision of open space to protect resources important to Native American tribes.
• The regulations implementing Section 106 of the National Historic Preservation Act of 1966
were amended in 2000 and 2004. The amended regulations, found in the Federal Register at
36 CFR Part 800, specify how federal agencies are supposed to take into account the effects of
their undertakings on historic properties. The Section 106 regulations apply to projects in the
City when the project would receive federal funding, assistance, licenses, approvals, or permits
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(such as a Section 404 Clean Water Act permit from the U.S. Army Corps of Engineers [USACE]
or funding by the Federal Highway Administration through Caltrans).
• Decisions by the California Courts of Appeal and the California Supreme Court became case
law that changed the interpretation of the CEQA Statute and Guidelines. The decision in the
Madera Oversight Coalition vs. County of Madera and Tesoro Viejo, LLC (January 2012), said that
evaluation of cultural resources to determine significance cannot be deferred until after the
CEQA document is certified. This decision also said that preservation in place must be adopted
to mitigate impacts to archeological sites, if feasible, unless the lead agency determines that
another form of mitigation is available and provides "superior mitigation." In the League for
Protection of Oakland's Architectural and Historical Resources vs. City of Oakland and
Montgomery Ward & Co, Inc. (February 1997), it was found that documentation of a historically
significant building prior to demolition may not reduce impacts to less than significant. If this
is the case, a Statement of Overriding Considerations would be necessary in the Environmental
Impact Report (EIR).
• An update to the CEQA Guidelines that took effect January 1, 1999 removed Appendix Kand added
Section 15064.5, Determining the Significance of Impacts to Archaeological and Historical
Resources. This section more clearly defined a Historical Resource in the context of CEQA analysis,
and established guidelines to determine whether a project may have a substantial adverse effect
on the significance of a Historical Resource. The definition of a Historical Resource was added to
the Guidelines in Section 15064.S(a) as a result of League for Protection of Oakland's Architectural
and Historical Resources vs. City of Oakland and Montgomery Ward & Co, Inc., (1997), which,
among other findings, determined that Historical Resources are not just those listed on a local
register, but also resources that are eligible for listing in the CRHR or may otherwise be
considered locally significant. Other subsections describe the types of actions that have
substantial adverse effects, the relationship between historical resources and archaeological
resources, and the protocol to follow if human remains are found.
• An update to the CEQA Guidelines took effect September 27, 2016 to revise Appendix G to the
CEQA Guidelines to separate the consideration of tribal cultural resources from cultural and
paleontological resources, and to add sample checklist questions.
• Best practices in cultural resources management now emphasize avoidance and preservation
over destruction with documentation or data recovery. In addition, advances in digital
technology have provided cultural resources managers with new tools for resource mapping,
documentation, and data management.
• There has been an increased awareness of the importance of early consultation with resource
stakeholders as part of project planning, particularly with tribes.
• There is an increasingly complex tribal consultation process that the City is either directly or
indirectly affected by, and which varies from project to project.
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• City budgetary constraints, coupled with a recent post-recession increase in private-sector
development, have led to the need for streamlined processing and compliance verification,
and greater City staff efficiency.
• Paleontological resources are now protected under state law and local regulations. These
remnants of ancient life have scientific and educational value and are of great interest to many
citizens of the City.
These changes have necessitated not only an update to the City's Cultural Resources Guidelines, but
the addition of new procedures to address the additional requirements that emerged since the Cultural
Resources Guidelines were adopted in 1990. However, guidelines are only effective when they translate
a complicated regulatory setting into an understandable set of procedures and when they offer
clarification and standardization of implementation that the regulations themselves fail to provide. The
City's Cultural Resources Guidelines must:
• be user-friendly for City staff, by including process flow charts, compliance verification forms,
and processing checklists that collectively standardize the implementation of the Guidelines
and increase efficiency;
• include resources for cultural resources and paleontological consultants that ensure that the
work products provided for review by City staff are consistent in terms of level of detail and
format, which will contribute to greater efficiency in City staff review and result in fewer denials
or requests for further information; and
• be clear, have established timeframes, and provide built-in accountability that removes the
uncertainty from the compliance process so that the number of challenges to the need for
following specific procedures is reduced.
With the preceding in mind, the following updated and newly named Tribal, Cultural, and
Paleontological Resources Guidelines were developed in consultation with the San Luis Rey Band of
Mission Indians, cultural and paleontological resources professionals, City staff, and the public. These
Guidelines were authored by cultural resources professionals from ECORP Consulting, Inc. who meet
the Secretary of the Interior's Professional Qualifications Standards for prehistoric and historic
archaeology. Input regarding the built environment was provided by ECORP and City staff who meet
the same standards for historian, architectural historian, and historic preservation planner.
Contributions regarding paleontological resources were provided by professionally qualified
paleontologists from Cogstone Resource Management.
1.1 Organization
These Guidelines are organized into twelve main sections. Section 1 presented the purpose and need
for the Guidelines. Section 2 provides definitions of resources that are utilized throughout the
Guidelines, and Section 3 provides an overview of the regulatory context. Section 4 includes detailed
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cultural and paleontological context statements that can be used by the City and professional
consultants in evaluating significance or interpreting site function. Section 5 outlines the roles and
responsibilities of those responsible for participating in, implementing, or verifying compliance with
these Guidelines. Section 6 presents high-level sensitivity models for archaeological, architectural
history, and paleontological resources that are intended to aid the City in making informed decisions
about land use. Section 7 provides general standards of analysis, and Sections 8, 9, and 10 provide the
processes by which resources are considered under these Guidelines for tribal cultural resources,
cultural resources, and paleontological resources, respectively. Section 11 discusses the process by
which compliance is verified. References cited in these Guidelines are provided in Section 12.
Attachment A provides a copy of Carlsbad City Council Policy No. 83, which led to the need to update
these Guidelines. Appendix 1 is a separate Implementation Manual, which contains templates and
forms needed to carry out the procedures specified in these Guidelines. Modifications to the
Implementation Manual do not require an amendment to these Guidelines.
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2.0 Definitions of Resources
These Guidelines pertain to a variety of types of resources within the City. In the broadest sense, these
resources can be classified as either those relating to past human activities or those relating to past
non-human life-forms.
2.1 Types
"Cultural resources" are broadly defined as anything made, modified, or moved by a human in the
past. Cultural resources can also be described in terms of time period (prehistoric, ethnographic, and
historic), culture (for example, Native American or Euroamerican), physical state (archaeological, built
environment, landscape level, and sacred/religious), and significance, which is defined as meeting
certain criteria and age thresholds specified in the regulations. In particular, a resource that is
considered sacred, religious, spiritual or an object of cultural value to Native American tribes,
regardless of time period, is a "Tribal Cultural Resource" that is given special and separate
consideration under state and federal law, as well as these Guidelines.
"Paleontological resources" are unrelated to humankind. Paleontology is defined as the study of
ancient life; paleontological resQurces include direct remnants of ancient life, such as fossilized bones
of vertebrate animals like whales and bison, fossilized invertebrate animals like snail shells and crabs,
or fossilized plant parts like pine cones and leaves. In addition, paleontological resources include
indirect remnants of ancient life such as fossilized tracks and burrows. Vertebrate fossils are less
commonly found compared with invertebrate and plant fossils.
Resources from the human environment (collectively, cultural resources) take many forms. The way in
which they are described or classified can similarly vary, such as by time period, cultural affiliation, and
physical characteristics. Most often, cultural resources are described using a combination of these
characteristics. Commonly accepted definitions for each are provided below.
2.2 Cultural Association
Native American cultural resources are those that are reasonably considered or confirmed (with or
without tribal consultation) to be associated with Native American cultures that predated or coexisted
with the arrival of Europeans to California. As it pertains to the City, these are generally composed of
the Luise no and Kumeyaay, inclusive of their descendants, ancestors, and modern groups, such as the
San Luis Rey Band of Mission Indians.
A specific type of Native American place is one that is considered sacred, spiritual, or religious in nature.
This can include Traditional Cultural Properties (TCPs), Traditional Cultural Landscapes (TCLs), and
Tribal Cultural Resources (TCRs) that are identified as such by Native American tribes or communities.
A TCP, which is a term that applies to federal undertakings and Section 106, "is eligible for inclusion in
the National Register because of its association with cultural practices or beliefs of a living community
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that (a) are rooted in that community's history, and (b) are important in maintaining the continuing
cultural identity of the community" (Parker and King 1998). It is often referenced within the context of
Native American culture, but is not exclusive to that culture. A TCR is a term that applies to CEQA and
is defined in Section 21074(a) of the Public Resources Code as a site, feature, place, geographically
' defined cultural landscape, sacred place, or object with cultural value to a California Native American
tribe, as defined in Section 3. TCPs and TCRs may or may not exhibit noticeable signs of their presence
unless called out by those who identify with them as being cultural resources and may include natural
landforms, such as mountain peaks, rivers, or ridge tops. Although at the time of the preparation of
these Guidelines a formal definition of TCL has not been developed by the NPS, the ACHP states:
"Traditional cultural landscapes are considered by the NRHP to be a type of significance rather than a
property type. Property types are limited to those specified in the NHPA and the NRHP regulations
and include districts, buildings, structures, sites, and objects. Traditional cultural landscapes can and
often do embrace one or more of these property types" (ACHP 2012:2).
Euroamerican resources are those associated with people of European origin and descent, who first
arrived in the San Diego area in the mid-to late 1700s. These include, but are not limited to,
missionaries, fur trappers, gold miners, ranchers, and farmers who lived in the area when California
was administered by Spain, Mexico, and the United States.
2.3 Time Period
Prehistoric resources are places that contain the material remains of activities carried out by the native
population of the area (Native Americans) prior to the arrival of Europeans in California. The term
"prehistory" originated in academia to mean the time before there were written records, but it is widely
understood that the term does not mean "before history;" Native American occupation is known to
extend back 10,000 years, representing a Native American "history" that long predates the arrival of
Europeans. However, because it is a nearly universal term used in cultural resources management to
refer to ancient Native American sites, its usage is retained herein. It is a strong belief held by California
Native Americans, including but not limited to the Luisef\o, that their people have inhabited this region
since time immemorial.
Artifacts found in prehistoric sites include flaked stone tools such as projectile points, knives, scrapers,
drills, and the resulting flakes from tool production (also known as debitage); ground stone tools such
as manos, metates, mortars, and pestles for grinding seeds and nuts; bone tools, such as awls; ceramic
vessels or fragments; and shell or stone beads. Subsistence byproducts (burned animal bone, charred
seeds, nuts, or organic residue on ground stone tools) may also be present. Prehistoric features include
hearths or rock rings, bedrock mortars and milling slicks, rock shelters, rock art, and burials.
Ethnographic or protohistoric resources are typically considered to be associated with Native American
culture, but they can be associated with other groups, like Hispanic, Asian, or other ethnic populations
that migrated to California in historic times. Ethnographic resources often reflect a blending or co-
occurrence of European and Native American items, such as the presence of glass beads, woven cloth,
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and trade goods in Native American sites. With respect to Native American ethnographic sites,
archaeologists tend to distinguish this time period as being marked by the arrival of Spaniards to the
San Diego area, sometime between 1769 and 1776.
Historic-period resources are places that contain the structures or material remains of activities carried
out by people after the arrival of Europeans in the 1700s. Historic archaeological material usually
consists of domestic refuse, disposed of either as roadside dumps or near structure foundations.
Historic artifacts can include domestic refuse (food containers such as cans and bottles, ceramic and
glass vessels for preparing and serving food and beverages, utensils, food waste, cosmetic and
grooming items [perfume and cosmetics jars, combs brushes, mirrors], and clothing fasteners),
building material (brick, concrete, concrete blocks, lumber, window glass, water and sewer pipe, nails,
screws, bolts, and other metal fasteners), auto parts and oil cans, tools, and other miscellaneous items.
Historic features include privies, pits, wells, and structure foundations. Archaeological investigations of
historic-period sites are usually supplemented by historical research using written records.
Historic structures include houses, garages, barns, commercial structures, industrial facilities,
community buildings, dams, levees, and other structures and facilities with extant architecture that are
usually more than 45 years old. Historic structures may also have associated archaeological deposits,
such as abandoned wells, cellars, and privies, refuse deposits, and foundations of former outbuildings.
Note that the use of "historic" instead of "historical" is deliberate in this context, as explained in Section
3.
2.4 Physical Characteristics
Archaeological resources are composed of the remnants of past human activity, and include, but are
not limited to, surface or subsurface artifact scatters, midden deposits, subsurface features, and human
remains associated with any culture. According to National Register Bulletin 15, a "site" is the "location
of a significant event, a prehistoric or historic occupation or activity, or a building or structure, whether
standing, ruined, or vanished, where the location itself possesses historic, cultural, or archeological
value regardless of the value of any existing structure. They include village sites, cemeteries, rock art,
habitation sites, camp sites, and other archaeological features." A discussion of the National Register
of Historic Places and related federal laws, upon which the National Register Bulletin relies and
implements, is provided in Section 3.
Archaeological sites are the locations of an event, a prehistoric or historic occupation or activity, or the
former location of a building or structure, where the location itself possesses historic, cultural, or
archaeological value regardless of the value of any existing structure or feature (OHP 1995).
Archaeological sites can be defined by the presence of one or more features or artifacts. When based
solely on artifact presence, archaeological sites are defined as such when there are at least three
artifacts in a ten-square meter area.
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Archaeological isolates are individual artifacts that are reasonably believe to be out of primary context,
such as artifacts that have been transported a distance from their original locations due to a variety of
cultural or natural processes. In some cases, isolates indicate the presence of more extensive
subsurface archaeological deposits. In other cases, particularly where the isolate is not in primary
context, the presence of an isolate may indicate a more extensive prehistoric site in the vicinity, or
simply reflects the general sensitivity of the area.
Archaeological districts are further defined as "a significant concentration, linkage, or continuity of sites
important in history or prehistory" by plan or by physical development (Keller and Keller, n.d.; OHP
1995). Examples of historic archaeological districts may consist of ranches, farms, mining landscapes,
and historic town sites that contain a subsurface element. The same criteria are applied to prehistoric
districts, which may consist of interconnected village sites, temporary camping sites, and a combination
of archaeological sites, ethnographic landscapes, and/or traditional cultural properties.
Features are considered "minor components of larger resources, like sites or districts. Features
generally consist of small constructed works, discrete activity areas, landscaping, earthworks, non-
portable natural objects modified by human use, and other similar cultural entities. They include, but
are not limited to values such as: a garage or landscaping associated with a house; a gate valve
associated with a ditch; an adit (entrance to an underground mine), tailings, or ruined mill that are part
of a mining complex; or a trash pit, orchard, discrete activity area, bedrock milling station, rock art
panel, or carved tree associated with a site" (OHP 1005:3). Historic archaeological features can include
refuse dumps along roads or drainages with domestic refuse and/or building material; refuse dumps
and deposits of domestic refuse and/or building material associated with a farmstead, ranch, residence,
or commercial establishment; features and dumps/deposits associated with a historic-period
farmstead, ranch, residence, or commercial establishment; or foundations or privies. Features
associated with transportation include roads, highways, bridges, railroad grades and tracks, airfields,
and runways that are at least 50 years old. Linear features may have since been paved over or graded,
but may retain their original alignments, thereby possessing some aspects of integrity.
The built environment generally is considered to describe extant architecture and structures that are
above ground and can still be utilized for the purpose it was originally intended, even if not effectively
due to a loss of integrity. Sections N and VIII of National Register Bulletin 15 (How to Apply the
National Register Criteria for Evaluation) further define a building as "a house, barn, church, hotel, or
similar construction, is created principally to shelter any form of human activity. 'Building' may also be
used to refer to a historically and functionally related unit, such as a courthouse and jail or a house
and barn. If a building has lost any of its basic structural elements, it is usually considered a "ruin" and
is categorized as a site." Bulletin 15 also defines the term 'structure' "to distinguish from buildings
those functional constructions made usually for purposes other than creating human shelter and
include dams and earthworks." The built environment may also include roads, agricultural irrigation
systems, and similar features. These types of resources are studied by architectural historians, rather
than archaeologists.
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Common types of resources within the built environment include buildings, structures, objects, and
signs. A building, such as a house, barn, church, hotel, or similar construction, is created principally to
shelter any form of human activity. Building may also be used to refer to a historically and functionally
related unit, such as a courthouse and jail or a house and barn (OHP 1995).
The term structure is used to distinguish from buildings those functional constructions made usually
for purposes other than creating human shelter, such as roads, bridges, canals, fences, windmills, dams,
etc.) (OHP 1995).
The term object is used to distinguish from buildings and structures those constructions that are
primarily artistic in nature or are relatively small in scale and simply constructed; although it may be,
by nature or design, movable, an object is associated with a specific setting or environment (OHP
1995). This includes signs.
Furthermore, in accordance with Title 22 of the City's Municipal Code, historic district means any area
that contains several historic resources or landmarks that have special character or special historical
value, or which represent one or more architectural periods or styles typical to the history of the City,
that has been designated a historic district pursuant to Title 22 (see Section 3).
Title 22 also defines historic resources as sites, places, areas, landscape, buildings, structures, signs,
features, or other objects of scientific, aesthetic, educational, cultural, architectural, or historic
significance to the citizens of the City and includes both historic landmarks and historic districts. This
is notably different from the term "historical resource," which is defined in the California Public
Resources Code as a cultural resource that warrants further consideration under CEQA.
Historic site, as defined in Title 22, means any parcel or portion of real property that has special
character or special historic, cultural, archeological, paleontological, architectural, community or
aesthetic value.
A cultural landscape is recognized for the relationship between cultural and natural features on a broad
scale. These can be prehistoric or historic, and can be associated with specific cultures. Examples
include large areas of historic mine tailings, prehistoric or ethnographic hunting and gathering
locations, historic agricultural areas, and archaeological or historic districts. A rural historic landscape
is defined as "a geographical area that historically has been used by people, or shaped or modified by
human activity, occupancy, or intervention, and that possesses a significant concentration, linkage, or
continuity of areas of land use, vegetation, buildings and structures, roads and waterways, and natural
features" (McClelland et al. 1999). Cultural landscapes may include historic homesteads, ranching and
grazing lands, or agricultural facilities and fields that have persisted for generations.
An ethnographic landscape is defined as a cultural landscape, composed of natural and cultural
features, which an associated population defines as a heritage resource. In either case, the individual
elements that compose the cultural landscapes (or districts) are always recognized for being related in
time and function. The National Park Service (NPS) initially identified ethnographic landscapes within
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the grouping of four types of "historical landscapes" (historic site, historic vernacular, historic designed,
and ethnographic). The NPS defined ethnographic landscapes as "a landscape containing a variety of
natural and cultural resources that associated people define as heritage resources. Examples are
contemporary settlements, sacred religious sites, and massive geological structures. Small plant
communities, animals, subsistence and ceremonial grounds are often components" (NPS 2000).
The NPS's Applied Ethnography program believed the initial definition of ethnographic landscapes to
be too broad, and thus expanded the definition to include "a relatively contiguous area of interrelated
places that contemporary cultural groups define as meaningful because it is inextricably and
traditionally linked to their own local or regional histories, cultural identities, beliefs and behaviors.
Present-day social factors such as people's class, ethnicity, and gender may result in the assignment
of diverse meanings to a landscape and its component places" (Evans et al. 2001).
A prehistoric landscape falls under the NPS's definition of a "cultural landscape" which includes several
types of historic landscapes. The NPS defines a historic landscape as "a geographic area, including
both natural and cultural resources, including the wildlife or domestic animals therein, that has been
influenced by or reflects human activity or was the background for an event or person significant in
human history" (Melnick 1984). Prehistoric landscapes are similar to ethnographic and historic
landscapes, in that they may include the natural and cultural resources within a designated area. But
unlike ethnographic landscapes, they do not contain landscape features associated with cultural
practices or beliefs of a living community which have been passed down through generations.
Prehistoric landscapes may consist of prehistoric travel routes, quarry sites, or groups of sites
associated by archaeological deposits and/or features within a geographic region.
A rural historic landscape is defined as "a geographical area that historically has been used by people,
or shaped or modified by human activity, occupancy, or intervention, and that possesses a significant
concentration, linkage, or continuity of areas of land use, vegetation, buildings and structures, roads
and waterways, and natural features" (McClelland et al. 1999).
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3.0 Regulatory Context
These Guidelines were developed to satisfy a variety of local, state, and federal requirements, to the
greatest extent that they apply to any given project and for requirements over which the City has either
jurisdiction or the ability to execute. Full compliance with federal law cannot be achieved solely by the
City, and therefore, these procedures will result in project planning and environmental impact
decisions that can be utilized by federal agencies to complete the compliance process. A summary of
the scope of the regulatory context, including excerpts, is provided below. Not all projects under City
jurisdiction will require compliance with all of these regulations.
3.1 Local
3.1.1 City of Carlsbad General Plan
The City of Carlsbad General Plan (2015) affords consideration for the preservation of cultural
resources. The City's Vision Statement Core Values for their General Plan note examples of the
historical resources within the City including the Rancho Carrillo, the Marron Adobe, the Barrio
neighborhood, the Magee House, and the Village. The General Plan includes guidelines to help
revitalize the historic Barrio and Village neighborhoods. The General Plan also states the goal of
enhancing education about the area's Native American history. Following are relevant goals and
policies of the Arts, History, Culture, and Education Element of the City's General Plan:
Goal 7-G-1: Recognize, protect, preserve, and enhance the city's diverse heritage.
Policy 7-P.1 Prepare an updated inventory of historic resources in Carlsbad, with
recommendations for specific properties and districts to be designated in national, state, and
local registries, if determined appropriate and with agreement of the property owners.
Policy 7-P.2 Encourage the use of regional, state and federal programs that promote cultural
preservation to upgrade and redevelop properties with historic or cultural value. Consider
becoming a participant in the Mills Act tax incentive program.
Policy 7-P.5 Encourage the rehabilitation of qualified historic structures through application of
the California Historical Building Code.
Policy 7-P.6 Ensure compliance with the City of Carlsbad Cultural Resource Guidelines to avoid
or substantially reduce impacts to historic structures listed or eligible to be listed in the
National Register of Historic Places or the California Register of Historical Resources.
Policy 7-P.7 Implement the City of Carlsbad Cultural Resources Guidelines to avoid or
substantially reduce impacts to archaeological and paleontological resources.
Policy 7-P.8 During construction of specific development projects, require monitoring of
grading, ground-disturbing, and other major earth-moving activities in previously undisturbed
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areas or in areas with known archaeological or paleontological resources by a qualified
professional, as well as a tribal monitor during activities in areas with cultural resources of
interest to local Native American tribes. Both the qualified professional and tribal monitor shall
observe grading, ground-disturbing, and other earth-moving activities.
Policy 7-P.9 Ensure that treatment of any cultural resources discovered during site grading
complies with the City of Carlsbad Cultural Resource Guidelines. Determination of the
significance of the cultural resource(s) and development and implementation of any data
recovery program shall be conducted in consultation with interested Native American tribes.
All Native American human remains and associated grave goods shall be returned to their
most likely descendent and repatriated. The final disposition of artifacts not directly associated
with Native American graves shall be negotiated during consultation with interested tribes; if
the artifact is not accepted by Native American tribes, it shall be offered to an institution staffed
by qualified professionals, as may be determined by the City Planner. Artifacts include material
recovered from all phases of work, including the initial survey, testing, indexing, data recovery,
and monitoring.
Policy 7-P.10 Require consultation with the appropriate organizations and individuals (e.g.,
Information Centers of the California Historical Resources Information Systems [CHRIS], the
Native American Heritage Commission [NAHC], and Native American groups and individuals)
to minimize potential impacts to cultural resources that may occur as a result of a proposed
project.
Policy 7-P.11 Prior to occupancy of any buildings, a cultural resource monitoring report
identifying all materials recovered shall be submitted to the City Planner.
Goal 7-G.2: Make Carlsbad's history more visible and accessible to residents and visitors.
Policy 7-P.3 Formalize a program of historical markers/plaques at resources in state and
national registers or of local importance.
Policy 7-P.4 Promote community education of historic resources, integration and celebration
of such resources as part of community events:
a. Enhance the community's recognition that objects of historic importance increase both
fiscal and community value.
b. Promote the use of historic resources for the education, pleasure and welfare of the
people of the city. Cooperate with historic societies, schools, libraries, parks and
community members to stimulate public interest in historic preservation.
c. Maintain historical reference materials on file at the Carlsbad City Library.
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The General Plan includes designating Special Resource Areas that help reserve natural and cultural
features within the City. Following is a relevant policy of the Open Space, Conservation, and Recreation
Element of the City's General Plan:
Policy 4-P.32: Where appropriate, designate as open space those areas that preserve historic,
cultural, archeological, paleontological and educational resources. Promote expansion of
recreational and educational use opportunities in areas of significant ecological value, such as
lagoons, where discretionary use of the resource allows. Consider partnering with private
foundations for the conservation of such lands and the development of educational
programming.
Combine historically significant sites with recreational learning opportunities, where
possible.
Utilize community parks in support of historical and cultural programs and facilities
when feasible and appropriate.
Coordinate the efforts of the Historic Preservation Commission on the siting and care
of historic ruins within parks.
3.1.2 City of Carlsbad Municipal Code
The City of Carlsbad Municipal Code Title 22 Historic Preservation discusses historic and archaeological
resources within the City. It includes definitions of local resource types, procedures for owners who
want to voluntarily apply for historic site, landmark or district designations, and some regulatory
provisions that may be available to owners of historic properties. The full text of Title 22 is available on
the City's website. Compliance with Title 22 is voluntary as stated in the ordinance as of the date of
these Guidelines. As such, Title 22 is not a regulatory code for the purposes of implementing CEQA.
The other laws and regulations referenced and discussed in these Guidelines are instead utilized by
the City for CEQA purposes, including Municipal Code Title 19, Environment.
The City of Carlsbad Historic Preservation Commission implements Title 22 and the duties of the
Commission specified in Municipal Code Chapter 2.42. The five-member Historic Preservation
Commission acts in an advisory capacity to the City Council and Planning and Housing Commissions
in all matters relating to the id~ntification, protection, retention, and preservation of historic sites and
areas in the City. Their responsibilities are to recommend the designation of historic landmarks or
historic districts, to maintain a historic resources inventory, to provide advice and guidance on the
restoration or modification of any historical area or site when requested by the property owner, and
to conduct programs to educate local residents regarding historic places, structures, or events. The
Historic Preservation Commission is included on the list of interested parties that receive notices for
Mitigated Negative Declarations and Environmental Impact Reports prepared for development
projects in accordance with CEQA. The notice provides the opportunity for the Commission to
comment on CEQA documents for any development project that would affect a historic structure,
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archaeological or paleontological site that is identified on an adopted city historic resources inventory
or within a project's cultural resources study.
3.1.3 Local Coastal Program
The City of Carlsbad's Local Coastal Program (LCP), which provides guidelines and land use policies for
the City's Coastal Zone, outlines requirements for cultural resources within the Coastal Zone. The
coastal zone is separated into several geographic areas or segments; the first two created in the early
1980s were called Mello I and Mello II, after state legislator Henry Mello, who sponsored the legislation
that created the mechanism for the LCP. Select policies relevant to cultural resources are included
below.
Mello I Segment. Policy 4 -Environmental Impact Report: In the event of commercial and/or residential
development pursuant of a coastal development permit, biological and cultural resources on the site
shall be identified, and any adverse impacts associated with development mitigated, through a site
specific environmental impact report (EIR). Proposed mitigation shall be incorporated in the project
design.
Mello II Segment: There are two applicable policies:
Policy 8-2 Potentially Historic Structures: The City's historic structures which have the potential
to meet criteria for inclusion in the National Register of Historic Places appear to be
economically well-used at present. The sites with historic significance of "local importance"
also appear to be in active use. However, maintenance, repair and use of these properties may
require special attention. The building code flexibility and tax benefits which may be available
to such properties need further study. The City of Carlsbad in conjunction with individual
property owners of historically significant structures should determine which local and federal
programs are applicable and take advantage of them as appropriate.
Policy 8-4 Archaeological and Paleontological Resources: The environmental impact review
process will determine where development will adversely affect archaeological and
paleontological resources. A site-specific review should also determine the most appropriate
methods for mitigating these effects. Most importantly, the City of Carlsbad should require the
implementation of these measures.
West Batiquitos Lagoon/Sammis Properties Segment: A program of preservation and/or impact
mitigation regarding archaeological sites located on the affected area shall be completed prior to any
development.
North Coast Corridor PWP Overlay Local Coastal Program Land Use Plan Amendment (2014). Policy
3.7 Archaeological and Paleontological Resources. 3.7.1: Transportation, community and resource
enhancement projects in the North Coast Corridor shall strive to protect and minimize impacts to
archaeological and paleontological resources. Where North Coast Corridor projects may potentially
adversely impact archaeological or paleontological resources, appropriate mitigation measures shall
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be required and implemented consistent with the policies of the NCC PWP/TREP (as prepared by
Caltrans/SANDAG, dated August 13, 2014). Any future amendment of the original PWP shall not
decrease the level of protection of archaeological and paleontological resources guaranteed by the
policies in the NCC PWP/TREP such that the project as a whole would no longer be, on balance, most
protective of significant coastal resources.
3.1.4 City of Carlsbad Council Policy No. 83
Effective March 1, 2016, the City Council passed Policy No. 83, Tribal Consultation and Treatment and
Protection of Tribal Cultural Resources. The purpose of the policy was to recognize the City's
"responsibility to protect with improved certainty the important historical and cultural values of current
Tribal Cultural Resources within the City limits and to establish an improved framework for the City's
consultation with Native American Tribes that are traditionally and culturally affiliated with the City of
Carlsbad, including the San Luis Rey Band of Mission Indians."
This policy arose out of focused consultation with San Luis Rey Band of Mission Indians and, to the
extent allowed under the authority of the City, urges City and private projects under the jurisdiction of
the City to be designed to avoid or substantially reduce impacts to Tribal Cultural Resources, as defined
in CEQA (see below). The policy also requires the updating of the 1990 Guidelines.
3.2 State
3.2.1 California Environmental Quality Act (CEQA)
The City is similarly bound to comply with applicable sections of CEQA (Pub. Res. Code §21000 et seq.)
as it relates to tribal, cultural, and paleontological resources. The goal of CEQA is to develop and
maintain a high-quality environment that serves to identify the significant environmental effects of the
actions of a proposed project and to either avoid or mitigate those significant effects where feasible.
CEQA pertains to all proposed discretionary projects that require state or local government agency
approval, including the enactment of zoning ordinances, the issuance of conditional use permits, and
the approval of development project maps. Ministerial actions, or those that fall under one of a number
of exemptions, are not subject to CEQA.
In accordance with CEQA, any project with an effect that may cause a substantial adverse change in
the significance of a cultural resource, either directly or indirectly, is a project that may have a
significant effect on the environment. As a result, such a project would require avoidance or mitigation
of impacts to those affected resources. Significant cultural resources must meet at least one of four
criteria that define eligibility for listing on the California Register of Historical Resources (CRHR) (Pub.
Res. Code §5024.1, Title 14 CCR, §4852). Resources listed on or eligible for inclusion in the CRHR are
considered Historical Resources under CEQA.
A Historical Resource is a resource that 1) is listed in or has been determined eligible for listing in the
CRHR by the State Historical Resources Commission; 2) is included in a local register of historical
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resources, as defined in Public Resources Code 5020.l(k); 3) has been identified as significant in an
historical resources survey, as defined in Public Resources Code 5024.l(g); or 4) is determined to be
historically significant by the CEQA lead agency [CCR Title 14, Section 15064.S(a)]. In making this
determination, the CEQA lead agency usually applies the CRHR eligibility criteria.
The eligibility criteria for the CRHR are as follows [CCR Title 14, Section 4852(b)]:
1. It is associated with events that have made a significant contribution to the broad patterns
of local or regional history, or the cultural heritage of California or the United States;
2. It is associated with the lives of persons important to local, California, or national history.
3. It embodies the distinctive characteristics of a type, period, region, or method of
construction, or represents the work of a master or possesses high artistic values; or
4. It has yielded, or has the potential to yield, information important to the prehistory or
history of the local area, California, or the nation.
In addition, the resource must retain integrity. Integrity is evaluated with regard to the retention of
location, design, setting, materials, workmanship, feeling, and association [CCR Title 14, Section
4852(c)]. Impacts to a Historical Resource (as defined by CEQA) are significant if the resource is
demolished or destroyed or if the characteristics that made the resource eligible are materially
impaired [CCR Title 14, Section 15064.S(a)].
Prior to the amendments to the CEQA guidelines that established the significance criteria under the
CRHR and defined Historical Resources, the CEQA statute only required that the lead agency consider
whether or not the project will have a significant impact on unique archaeological sites. A unique
archaeological resource is an archaeological artifact, object, or site about which it can be clearly
demonstroated that, without merely adding to the current body of knowledge, there is a high probability
that it meets any of the following criteria.
1. It contains information needed to answer important scientific research questions and that
there is a demonstrable public interest in that information.
2. It has a special and particular quality such as being the oldest of its type or the best available
example of its type.
3. It is directly associated with a scientifically recognized important prehistoric or historic event
or person (PRC Section 21083.2 [g]).
CEQA Guidelines require that it should first be determined whether an archaeological site is an
Historical Resource (is eligible for the CRHR) (14 CCR Section 15064[c][l]). If the site is a Historical
Resource, then the guidelines for assessing impacts to, and mitigation for, archaeological sites that are
Historical Resources should be followed and the financial limits on mitigation for unique archaeological
sites do not apply (14 CCR Section 15064[c][2]).
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As a practical matter a site that meets any of the three criteria for unique archaeological sites will
almost always meet the definition of a Historical Resource under the CRHR eligibility criteria. Likewise,
a site that fails to meet the definition of a unique archaeological site will similarly not meet the
definition of a Historical Resource. Therefore, in almost all cases the provisions for unique
archaeological sites will not apply if archaeological sites are first evaluated using CRHR criteria to
determine if they are Historical Resources. The State CEQA Guidelines note that if a resource is neither
a unique archaeological resource nor a Historical Resource, the effects of the project on that resource
shall not be considered a significant effect on the environment (14 CCR Section 15064[c][4]).
CEQA also requires that the lead agency consider impacts to Tribal Cultural Resources. A Tribal Cultural
Resource that meets the statutory definition does not have to be further evaluated for significance.
Section 21074(a) of the Public Resource Code defines Tribal Cultural Resources for the purpose of
CEQA as:
Sites, features, places, cultural landscapes (geographically defined in terms of the size and
scope), sacred places, and objects with cultural value to a California Native American tribe that
are either of the following:
a. included or determined to be eligible for inclusion in the California Register of
Historical Resources; and/or
b. included in a local register of historical resources as defined in subdivision (k) of Section
5020.1; and/or
c. a resource determined by the lead agency, in its discretion and supported by
substantial evidence, to be significant pursuant to criteria set forth in subdivision (c) of
Section 5024.1. In applying the criteria set forth in subdivision (c) of Section 5024.1 for
the purposes of this paragraph, the lead agency shall consider the significance of the
resource to a California Native American tribe.
Recognizing that California Native American tribes are experts in their Tribal Cultural Resources and
heritage, AB 52 amended CEQA to require lead agencies initiate consultation with tribes at the
commencement of the CEQA process to identify Tribal Cultural Resources. Furthermore, because a
substantial adverse change to a Tribal Cultural Resource is considered a significant impact on the
environment under CEQA, consultation is required to develop appropriate avoidance, impact
minimization, and mitigation measures.
The process by which consultation with tribes occurs in CEQA was established with the passage of AB
52. Effective July 1, 2015, a lead agency must provide notice to any California Native American tribe
that has requested notice of projects proposed by the lead agency; and for any tribe that responded
to the notice within 30 days of receipt with a request for consultation, the lead agency must consult
with the tribe. Topics that may be addressed during consultation include the presence or absence of
Tribal Cultural Resources, the potential for the project to cause a substantial adverse change to Tribal
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Cultural Resources, type of environmental document that should be prepared, and possible mitigation
measures and project alternatives.
The CEQA Guidelines, Appendix G, include paleontological resources among those resources that
should be considered when evaluating the environmental impacts of a proposed project. Effects to
unique paleontological resources typically occur through ground-disturbing activities. Significance of
the discovery and importance of the resource may determine the level of consideration.
Changes to the CEQA Statute resulting from the passage of AB 52 and revisions to the CEQA Guidelines
to incorporate the requirements of AB 52 have clarified that cultural resources, tribal cultural resources,
and paleontological resources being considered as separate types of resources. This is because all
Tribal Cultural Resources are cultural resources by definition, but not all cultural resources are Tribal
Cultural Resources. In addition, a Tribal Cultural Resource might also meet the legal definition of a
historical resource under CEQA, warranting consideration as both types of resources. Paleontological
resources are natural (related to geology and biology), and not cultural (related to humans), in nature.
3.2.2 Senate Bi/118
SB 18 was signed into law in September 2004 and became effective in March 2005. SB 18 (Burton,
Chapter 905, Statutes of 2004) requires city and county governments to consult with California Native
American tribes early in the planning process with the intent of protecting traditional tribal cultural
places. The purpose of involving tribes at the early stage of planning efforts is to allow consideration
of tribal cultural places in the context of broad local land use policy before project-level land use
decisions are made by a local government. As such, SB 18 applies to the adoption or substantial
amendment of general or specific plans. The process by which consultation must occur in these cases
was published by the Governor's Office of Planning and Research through its Tribal Consultation
Guidelines: Supplement to General Plan Guidelines (November 14, 2005).
3.2.3 California Coastal Act
Section 30244 of the Act, "Archaeological or Paleontological Resources" states that: "Where
development would adversely impact archaeological or paleontological resources as identified by the
State Historic Preservation Officer, reasonable mitigation measures shall be required."
If paleontological resources are present, efforts should be undertaken to monitor construction
activities in potentially significant areas to reduce the adverse effects to paleontological resources and
to salvage any significant fossils, or to avoid the site entirely. The City's certified Local Coastal Program,
in conjunction with the California Coastal Commission, implements the California Coastal Act within
the boundaries of Carlsbad.
3.2.4 Public Resources Code Section 5097.5
Section 5097.5 (a & b) of the California Public Resources Code Section states:
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"No person shall knowingly and willfully excavate upon, or remove, destroy, injure or
deface any historic or prehistoric ruins, burial grounds, archaeological or vertebrate
paleontological site, including fossilized footprints, inscriptions made by human
agency, or any other archaeological, paleontological or historical feature, situated on
public lands, except with the express permission of the public agency having
jurisdiction over such lands. Violation of this section is a misdemeanor.
As used in this section, "public lands" means lands owned by, or under the jurisdiction
of, the state, or any city, county, district, authority, or public corporation, or any agency
thereof."
3.2.5 California Public Resources Code 5097.9
Public Resources Code 5097.9 establishes that no public agency or private party using or occupying
public property or operating on public property, under a public license, permit, grant, lease, or contract
made on or after July 1, 1977 shall interfere with the free expression or exercise of Native American
religion. This code also prohibits damage to a Native American sanctified cemetery, place of worship,
religious or ceremonial site, or sacred shrine located on public property, except on a clear and
convincing showing that the public interest and necessity so require.
3.2.6 California Public Resources Code 5097.98
Public Resources Code 5097.98 specifies procedures to be followed in the event of the discovery of
Native American human remains. This code specifies that the county Medical Examiner shall
immediately notify the persons believed to be most likely descended from the deceased Native
American. It provides that the most likely descendant has the right to inspect the site, with permission
of the land owner, and provide recommendations for treatment of the remains and grave goods within
48 hours of being granted access to the site. The code also provides procedures in the event that the
most likely descendant is unable to be identified or the identified descendants fail to make a
recommendation.
3.2.7 California Public Resources Code 5097.99
Public Resources Code 5097.99 states that no person shall obtain or possess any Native American
artifacts or human remains except as otherwise provided by law. The code further states that unlawful
possession of these items is a felony, punishable by imprisonment.
3.2.8 California Health and Safety Code 7050.5
Health and Safety Code 7050.5 establishes the intentional disturbance, mutilation, or removal of
interred human remains a misdemeanor. This code also requires that upon the discovery of human
remains outside of a dedicated cemetery excavation or disturbance of land cease until a county
Medical Examiner makes a report. The code also requires that the cou_nty Medical Examiner contact
the NAHC within 24-hours if he or she determines the remains to be of Native American origin.
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3.2.9 California Code of Regulations (Title 14, Division 3, Chapter 1}
Section 4307 of the California Code of Regulations regarding Geological Features applicable to lands
administered by the California Department of Parks and Recreation states: "No person shall destroy,
disturb, mutilate, or remove earth, sand, grave, oil, minerals, rocks, paleontological features, or features
of caves."
Section 4309 of the California Code of Regulations regarding Special Permits applicable to lands
administered by the California Department of Parks and Recreation states: "The Department may grant
a permit to remove, treat, disturb, or destroy plants or animals or geological, historical, archaeological
or paleontological materials; and any person who has been properly granted such a permit shall to
that extend not be liable for prosecution for violating the forgoing."
3.3 Federal
3.3.1 National Historic Preservation Act
Regulations implementing Section 106 of the National Historic Preservation Act (NHPA) (36 CFR 800)
provide procedures for federal agencies to identify, evaluate, assess effects, and provide treatment for
adverse effects on historic properties for federal undertakings. A "historic property" is defined in 36
CFR Part 800.16(1)(1) as "any prehistoric or historic district, site, building, structure, or object included
in, or eligible for inclusion in, the National Register of Historic Places maintained by the Secretary of
the Interior. This term includes artifacts, records, and remains that are related to and located within
such properties. The term includes properties of traditional religious and cultural importance to an
Indian tribe or Native Hawaiian organization and that meet the National Register criteria" in 36 CFR
Part 60. Historic Properties, as defined therein, are subject to these Guidelines.
A federal undertaking is a project that receives federal funding or when a federal permit (such as a
Section 404 permit from the USACE) is required. The Section 106 process is the responsibility of the
federal agency that provides the funding or issues the permit. It is the federal agency official who
determines if the project qualifies as an undertaking. However, the City must ensure that projects that
qualify as federal undertakings that are initiated by the City or by applicants to the City go through
the Section 106 process following the requirements of the responsible federal agency. The City or the
applicant may hire a consultant to prepare the reports needed by the federal agency official for the
Section 106 process.
The steps in the Section 106 process generally parallel those carried out for CEQA and include
identification of historic properties, evaluation of historical significance, assessment of effects, and
resolving adverse effects. At various points in the Section 106 process the federal official must consult
with the State Historic Preservation Officer (SHPO) and any Consulting Parties (such as Native American
tribes and local governments, such as the City) identified by the federal official.
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A reasonable and good faith effort to identify potential historic properties in the Area of Potential
Effect (APE) of the undertaking is required. Identification efforts may include background research,
including a records search from the appropriate CHRIS Information Center and the NAHC, consultation
with Native American groups, and field survey.
If potential historic properties are identified, they must be evaluated to assess whether they are historic
properties (have historic or prehistoric significance). Historic properties are those that are eligible for
or are already listed in the National Register of Historic Places (NRHP). The four NRHP eligibility criteria
are as follows (36 CFR 60.4):
"The quality of significance in American history, architecture, archaeology, and culture is present
in districts, sites, buildings, structures, and objects of state and local importance that possess
aspects of integrity of location, design, setting, materials, workmanship, feeling, association, and
a. is associated with events that have made a significant contribution to the broad patterns of
our history;
b. is associated with the lives of a person or persons significance in our past;
c. embodies the distinctive characteristics of a type, period or method of construction, or
represents the work of a master, or possesses high artistic value, or represents a significant and
distinguishable entity whose components may lack individual distinction; or
d. has yielded or may be likely to yield information important in prehistory or history.
In addition, the resource must be at least 50 years old, except in exceptional circumstances (36 CFR 60.4).
Effects to NRHP-eligible resources (historic properties) are adverse if the project may alter, directly or
indirectly, any of the characteristics of an historic property that qualify the property for inclusion in the
National Register in a manner that would diminish the integrity of the property's location, design,
setting, materials, workmanship, feeling, or association.
In addition, the resource must possess sufficient integrity to adequately express the characteristics that
make it eligible. Evaluation procedures include historical research to assess association with important
historical events or persons, assessment of distinctive architectural or engineering characteristics, and
archaeological investigation (may include test excavations) to assess information potential of
archaeological sites. The federal agency official makes the determination of eligibility and the SHPO
reviews the determination. The SHPO may concur or not concur with the determination.
If properties are determined to be eligible (historic properties are identified), it must be determined if
the historic property will be adversely affected by the undertaking. The criteria of adverse effect are
applied. Adverse effects occur when an undertaking may directly or indirectly alter characteristics of a
historic property that qualify it for inclusion in the NRHP (make it eligible for the NRHP). Examples of
adverse effects include physical destruction or damage, alterations to a building or structure that are
not consistent with the Secretary of the Interior's Standards, relocation, and change of use or setting.
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Alteration or destruction of an archaeological site is an adverse effect. After applying the criteria of
adverse effect, the agency official will make a finding that historic properties are or are not adversely
affected. The SHPO will review and concur or not concur with the finding.
When there are adverse effects to historic properties, a Memorandum of Agreement (MOA) is
negotiated between the federal agency and the SHPO, with input from the Consulting Parties. The City
may be a signatory, invited signatory, or concurring party to the MOA. The MOA stipulates the
treatment that will be applied to resolve the adverse effects. Treatment (mitigation measures) may
include documentation of buildings and structures using HABS/HAER standards (including large
format photography), rehabilitation using the Secretary of the Interior's Standards, or data recovery
for archaeological sites. Other types of mitigation could include ethnographic studies, nominations to
the National Register of Historic Places, oral history documentation, coalescing of collections of
imagery, or other types of documentation.
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4.0 Context Statements
4.1 Regional Archaeology and Ancient Native American History
Most archaeologists contend that approximately 10,000 years ago at the beginning of the Holocene,
warming temperatures and the extinction of the megafauna resulted in changing subsistence
strategies with an emphasis on hunting smaller game and increasing reliance on plant gathering. The
San Dieguito Complex was defined based on material found at the Harris site (CA-SDI-149) on the San
Dieguito River near Lake Hodges in San Diego County (Warren 1968). San Dieguito artifacts include:
large leaf-shaped points; leaf-shaped knives; large ovoid, domed, and rectangular end scrapers and
side scrapers; engraving tools; and crescentics (Koerper, Langenwalter, and Schroth 1991). The San
Dieguito Complex at the Harris site dates to 9,000 to 7,500 before present (B.P.) (Gallegos 1991: Figure
3.9). However, sites from this time period in coastal San Diego County have yielded artifacts and
subsistence remains characteristic of the succeeding Encinitas Tradition, including manos, metates,
core-cobble tools, and marine shell (Gallegos 1991; Koerper, Langenwalter, and Schroth 1991).
The Encinitas Tradition (Warren 1968) and the Milling Stone Period (Wallace 1955) refer to a long
period of time during which small mobile bands of people foraged for a wide variety of resources
including hard seeds, berries, and roots/tubers (yucca and agave in inland areas), rabbits and other
small animals, and shellfish and fish in coastal areas.
The La Jolla Pattern of the Encinitas Tradition was found along the San Diego County coast beginning
about 8,500 B.P. Phases within the La Jolla Pattern consist of La Jolla I (8,500 B.P. to 5,000 B.P.), La Jolla
II (5,000 to 4,000 B.P.), and La Jolla III (4,000 B.P. to 1,300 B.P.) (Sutton and Gardner 2010). Most La Jolla
Complex sites are located around the coastal lagoons, which began filling with sea water at the
beginning of this period because of sea level rise as the ice caps melted at the end of the last ice age.
Shellfish from these lagoons were an important part of the diet and most La Jolla sites are classified as
shell middens. During La Jolla I both rocky shores shellfish, such as Mytilus sp. (mussels), and
bay/estuary shellfish, such as Argopecten sp. (scallops), Chione sp. (cockles), and Ostrea lurida (oyster)
are found in La Jollan sites. Later in time (after 3,000 B.P.) the rocky shores species are much reduced
in quantity and almost disappear from the middens. This has been attributed to increased sediment
deposition around the mouths of the lagoons along the northern and central San Diego coast, which
covered the rocky habitats. Fewer sites were occupied in these areas during La Jolla III. However, the
larger bays to the south (Mission Bay and San Diego Bay) never silted in and there are numerous La
Jolla III sites in this area (Masters and Gallegos 1997).
The Encinitas Tradition in inland San Diego County is known as the Pauma Pattern and was originally
defined as the Pauma Complex (True 1958, 1980). The Pauma Pattern is divided into the Pauma I Phase
(7,500-3,000 B.P.) and the Pauma II Phase (3,000-1,000 B.P.) (Sutton and Gardner 2010). Pauma sites
have numerous manos and metates and lack the marine subsistence remains seen in La Jolla sites.
Other Pauma Complex artifacts include core and cobble tools, scraper planes, and unifacial scrapers.
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In most Pauma Pattern sites, the mano-metate tool kit predominates, which suggests that collecting
and processing hard seeds was emphasized. Pauma sites are located on older high elevation alluvial
terraces in valleys and canyons. Some Pauma sites may be buried in shallow alluvium. The inland
Pauma Complex and the coastal La Jolla Complex may be different seasonal manifestations of the
same people with the La Jolla Pattern emphasizing marine resources (shellfish and fish) and the Pauma
Pattern emphasizing hard seeds. There are more planing-scraping tools in the La Jolla Complex and
more manos and metates in the Pauma Complex (Waugh 1986:55-56).
Following the Pauma Complex, Waugh (1986:310) has defined a Transition Phase from about 2,000
B.P. to 1,000 B.P. in inland northern San Diego County. During this phase people lived in small groups
which occupied seasonal camps on knolls and low hills along the San Luis Rey River and the Santa
Margarita River and its major tributaries. These groups used the river as corridors for travel between
the coastal mesas and interior valleys (Temecula Valley on the upper Santa Margarita River and San
Jose Valley on the upper San Luis Rey River) where grass seeds and sage seeds were abundant.
Seasonal residential bases were probably established in these areas. While traveling along the river
corridors, camps were established in areas where chaparral was producing large amounts of seeds.
The knoll locations along the rivers may have been selected in order to see game and members of
other groups approaching. The camps had cached metates indicating the camps were-reused
seasonally by the same groups.
Artifacts found as a result of excavation at CA-RIV-3063, a Transition Phase site on a knoll overlooking
the Santa Margarita River in Temecula Canyon, include 5 domed scrapers, 5 cobble tools, 3 cores, 2
biface fragments, 9 unifacially modified flakes, 18 manos, and 4 metates (slab and flat block). Obdisian
from both the Coso and Obsidian Butte sources was present (Waugh 1986:233-241). Transition Phase
artifacts include artifacts characteristic of the preceding Pauma Complex (core/cobble tools,
hammerstones, cortex-based scrapers, domed scrapers), but they make up a smaller proportion of the
total tool assemblage. Other artifacts found in Pauma Complex sites, such as scraper planes, hammer-
grinders, and discoidals, are absent in the Transition Phase. Small unifacial flake tools and new forms
for metates (slab and flat block) first appear during the Transition Phase (Waugh 1986:312).
The period from 1,000 B.P. to 150 B.P. in northern San Diego County is divided into the San Luis Rey I
Phase (1,000 to 500 B.P.) and the San Luis Rey II Phase (500 to 150 B.P.) (Sutton 2011). San Luis Rey I is
characterized by Cottonwood Triangular arrow points, use of bedrock mortars, stone pendants, shell
beads, quartz crystals, and bone tools. San Luis Rey II sees the addition of ceramics, including ceramic
cremation urns, red pictographs on boulders in village sites, and steatite arrow straighteners. San Luis
Rey II represents the archaeological manifestation of the antecedents of the historically known Luisefio.
A new settlement system developed in the upper San Luis Rey River drainage area (east of Pala) at the
beginning of the San Luis Rey I phase (1,000 -400 B.P.). The most important determinants of the new
settlement system were access to water and access to acorns. Small permanent residential sites were
located in a linear arrangement along the lower reaches of each of the tributaries on the north side of
the San Luis Rey River (Waugh 1986:305). Acorns from coast live oak were available nearby as well as
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plant foods from the riparian woodland and chaparral plant communities. Camps were also established
on Agua Tibia Mountain I Palomar Mountain I Aguanga Mountain above 5,000 feet to collect and
process acorns from black oaks and to hunt deer. These camps were occupied in the fall and were
permanent in the sense that they were re-occupied every year (True and Waugh 1982). The watershed
of each tributary along the north side of the river probably comprised the territory of a corporate kin
group (Waugh 1986:314) or lineage. Settlements within the territory included the multiple residential
sites along the drainage in the lowlands and the fall acorn camps in the uplands. An extended family
within the lineage probably occupied each of the lowland residential sites (Waugh 1986:296), which
together comprised the lineage settlement.
The artifacts and features at the lowland residential sites indicate that a full range of activities took
place at each site. These activities included hunting, tool manufacturing and maintenance, food
processing, and social interaction (Waugh 1986:313). One of these residential sites (CA-SDI-731) is on
lower Frey Creek above its confluence with the San Luis Rey River. The site is within the chaparral plant
community and near coast live oaks. There are 23 bedrock mortars, 8 bedrock metates, and 20 bedrock
slicks or milling surfaces. Ground stone tools include manos, metates, bowl mortars, and pestles. Fire-
affected rock and ash features are present. There are both unifacial flaked stone tools, including domed
scrapers, and bifacial flaked stone tools, including numerous Cottonwood Triangular arrow points
which date to after 700 B.P. in this area (Waugh 1986:179, 262). All, except one, pieces of obsidian were
from the Obsidian Butte source. Primary and secondary flakes among the debitage indicates that lithic
reduction took place (Waugh 1986:303). A cache of burned Olivella shell beads was found adjoining
an ash feature. There were 161 beads, 122 of which were Olivella cupped beads, which date to AD.
1150 -1792 in the Santa Barbara Channel area. Faunal specimens consisted mostly of rabbit and deer.
There are more deer bones and small rodent bones in the upper levels of the site. A few pieces of
marine shell were found (Waugh 1986:179, 222, 266).
The San Luis Rey I Complex indicates decreased residential mobility and increased intensification of
land use, compared to the previous Transition Phase. Residential sites were located so as to control
critical resources, especially water. All residential sites were in direct proximity to water. The
transformation to settlement in stable permanent residential sites occurred within a relatively short
span of time and coincided with the beginning of acorn use (Waugh 1986:313). Acorns required a
much greater labor effort for processing (Basgall 1987), but were storable, allowing year-round
settlement in permanent residential sites. This specialization and intensification of resource
procurement is indicated by the bedrock mortars and pestles for acorn processing and the arrow points
for deer hunting (Waugh 1986:314). At the beginning of San Luis Rey I, decreased mobility in order to
control a water source resulted in multiple season residency, intensified use of restricted or smaller
habitats or territories, and a specialized system of resource use (Waugh 1986:318-319).
There was a consolidation of settlement at the beginning of San Luis Rey II (400-130 B.P.) in the upper
San Luis Rey River drainage area. The number of lowland residential sites decreased from 42 to 13.
Each of the 13 residential sites consisted of a large village located at a reliable water source. Each of
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the 13 villages had a territory that consisted of the watershed of one of the 13 major drainages that
descend from Agua Tibia Mountain -Palomar Mountain -Aguanga Mountain (True and Waugh 1982;
True 1990). Multiple lineages now lived together in one village, probably resulting in the parties
comprised of multiple lineages described ethnographically for the Luisef\o. Each territory had one or
more permanent camps in the uplands for gathering black oak acorns and deer hunting in the fall. San
Luis Rey II villages are recognized by their large size as well as the presence of ceramics and red
pictograph panels on boulder outcrops. The pictographs were painted by girls during their puberty
ceremonies and demonstrated clan (party) affiliation and ownership of their territory and its resources.
The girls' puberty ceremonies symbolized established party and lineage rights to female labor and
reproduction (Waugh 1986:316, 321).
One of the 13 San Luis Rey II villages in the upper San Luis Rey River drainage area, known as Molpa
(CA-SDI-308), was investigated by archaeologists during the 1950s (True, Meighan, and Crew 1974). It
is located on two low knolls overlooking open grassland. There is a reliable spring below the site. The
midden area at Molpa occupies 40,000 square yards (about 33,400 square meters). There are two
pictograph panels and one cupule rock. There are 289 bedrock mortars and 109 bedrock milling
surfaces on 10 outcrops. Seven subsurface features were found consisting of rock clusters and ash.
Flaked stone tools included 327 Cottonwood Triangular arrow points, 10 Desert Side-Notched arrow
points, and 6 leaf-shaped arrow points. There were also 49 knives, 12 drills, 5 domed scrapers, 1 keeled
scraper, 5 flake scrapers, 59 retouched flakes, 7 hammerstones, 2 hammer-grinders, and 1 chopper.
Ground stone tools include 88 manos, 24 metates, 8 pestles, and 9 portable mortars. Other artifacts
consisted of 59 bone tools fragments, most probably representing awls and needles, 1 steatite arrow
shaft straightener, 1 quartz crystal, 1 tourmaline crystal, 1 conically drilled bone fragment which may
have been a pendant, 16 Olivella shell beads, 3 abalone ornaments, and 2 glass beads. Ceramics
consisted of 2,728 sherds, 8 fired clay pipes and 4 fired clay figurines. Most of the ceramics came from
the upper 18 inches of the site, which represents the San Luis Rey II component.
There is less information about settlement along the lower San Luis Rey River west of Pala. However,
a village site occupied during the San Luis Rey II phase, known as Tom-Kav (CA-SDI-682) was excavated
during the 1950s and 1960s (True, Pankey, and Warren 1991). It is located near Bonsall on the San Luis
Rey River where there is no adjacent upland area for collecting black oak acorns. There are 116 bedrock
mortars, 51 bedrock metates, and 31 milling surfaces (slicks) on 7 groups of outcrops at Tom-Kav.
There are small and large cupules on some of the outcrops and there is a pictograph panel on the
ceiling of a rockshelter at the east end of the site. Flaked stone tools consist of 94 Cottonwood
Triangular arrow points, large bifaces used as knives, drills, scrapers, and retouched flakes. Ground
stone tools include 159 manos, 31 metates, 5 pestles, 5 portable mortars, and 29 smoothing. stones.
Bone artifacts consisted of 77 bone awls, 22 needles, and 57 worked bone fragments. Ceramics
consisted of 1,720 Tizon Brown Ware sherds, 76 Colorado Buff Ware sherds, and 18 fired clay pipes.
Animal bone was only classified as small and large mammal. A small amount of marine shell (Chione
sp. and Argopecten sp.) was recovered.
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There were no upland acorn collecting camps associated with Tom-Kav, but there are several small
processing stations with bedrock milling features and camps nearby. Their function is unknown and
they would seem to be superfluous since all the resources collected from Tom-Kav's territory could
have been brought back to the village for processing. It is possible these sites date to San Luis Rey I
because most have no pottery (True, Pankey, and Warren 1991:47). There is a different proportion of
bedrock mortars to bedrock milling surfaces at Tom-Kav compared to Molpa. At Tom-Kav there are
116 mortars and 82 bedrock milling surfaces for a ratio of 1.4 to 1. At Molpa there are 289 mortars and
109 bedrock milling surfaces for a ratio of 2.65 to 1. This indicates that acorn use was less intensive at
Tom-Kav and that hard seeds made up a greater proportion of the plant foods (True, Pankey, and
Warren 1991:47).
Better documentation of a settlement system similar to that around Tom-Kav comes from an
investigation of sites on Rancho Lilac on Keys Creek, a tributary which enters the San Luis Rey River
from the south, west of Pala. The sites in the Rancho Lilac valley include a Late Prehistoric village, 5
temporary camps with bedrock milling features and subsurface deposits including tools, debitage and
animal bone, 9 sites with bedrock milling features only, and 3 lithic scatters. CA-SDI-4909 has been
identified as a Late Prehistoric village (Clevenger, Phillips, and Gallegos 1990). It has four loci with
midden, each with associated bedrock milling features. The number and type of milling features at CA-
SDI-4909 is not provided. Test excavations recovered triangular arrow points, bifaces, utilized and
retouched flakes, worked bone, ground stone tools, ceramics, animal bone, marine shell, a shell
pendant, and glass beads. The ceramics and glass beads indicate a San Luis Rey II occupation at CA-
SDI-4909. The five temporary camps have bedrock milling features (59 mortars and 105 basins/slicks),
flaked and ground stone tools, and animal bone. CA-SDI-4909 appears to be a San Luis Rey II village,
based on the presence of ceramics. The investigators state that all the temporary camps are associated
with the village and that all the sites in the valley comprise a settlement system, implying that were all
occupied at the same time by one group. However, the temporary camps lack ceramics and, as with
sites around Tom-Kav, there is no need for camps so close to the village. As with the Tom-Kav area, it
is more likely that the camps date to the San Luis Rey I Phase.
The temporal and functional relationships of the sites cannot be determined because radiocarbon
dates are not available. The ratio of mortars to milling surfaces (basins to slicks) is 0.56 mortars to 1
milling surface, indicating that in the Keys Creek area acorns were even less important than in the Tom-
Kav area. In the Keys Creek area, hard seeds from the chaparral community which surrounds the sites
were the most important plant resource. Their use could have been intensified through managed
burning of the chaparral to allow grasses to grow and produce new sprouts from the chaparral plants.
This pattern of settlements associated with hard seed processing is probably more characteristic of the
lower San Luis Rey River area and the area around Carlsbad. In these areas there was abundant coastal
sage scrub and chaparral with numerous plants that produced hard seeds, while acorns were available
only from coast live oak trees which had a limited distribution, mostly in canyons.
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4.2 Ethnography and Native American History
The City of Carlsbad is located in a culturally-rich region, which has long since been home to, or within
traditional use areas of, Native American cultures. The cultural history of Carlsbad is complex, and a
representative summary of two main cultures, namely, the Luisef\o and the Kumeyaay, is provided
herein. Figure 1 illustrates the organization of both cultures. The reader is encouraged to seek
additional information through references that are cited throughout.
4.2.1 Luiseno
The Luisef\o were one of the Takic-speaking groups in southern California prior to the arrival of Euro-
Americans. Luisef\o occupied most of the area drained by the San Luis Rey and Santa Margarita Rivers.
The Luiseno lived in sedentary and autonomous village groups, each with specific subsistence
territories encompassing hunting, collecting, and fishing areas. Villages were typically located in valley
bottoms, along streams, or along coastal strands near mountain ranges where water was available and
village defense was possible. Inland populations had access to fishing and gathering sites on the coast,
which they used during the winter months (Bean and Shipek 1978).
Luisef\o subsistence was based on the gathering of acorns, seeds, greens, bulbs, roots, berries, and
other vegetal foods. This was supplemented by hunting mammals such as deer, antelope, rabbit,
woodrat, ground squirrels, and mice, as well as birds including quail, doves, and ducks. Bands along
the coast also exploited marine resources, such as sea mammals, fish, crustaceans, and mollusks.
Inland, trout and other fish were taken from mountain streams (Bean and Shipek 1978).
Hunting was done both individually and by organized groups. Tool technology for food acquisition,
storage, and preparation reflects the size and quantity of items procured. Small game was hunted with
the use of curved throwing sticks, nets, slings, or traps. Bows and arrows were used for hunting larger
game. Dugout canoes, basketry fish traps, and shell hooks were used for near-shore ocean fishing.
Coiled and twined baskets were made for food gathering, preparation, storing, and serving. Other
items used for food processing included large shallow trays for winnowing chaff from grain, ceramic
and basketry storage containers, manos and metates for grinding seeds, and ceramic jars for cooking
(Bean and Shipek 1978).
Luisef\o social organization was based on patrilineal and patrilocal lineages. Exogamy rules required
that a man could not marry a woman related to them within five generations. Women moved to their
husband's village, but kept their identity as a member of their natal lineage (Cultural Systems Research
2005:15).
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The Luisef\o corporate group was a "party" composed of one major lineage with a ceremonial leader
(chief), a ceremonial bundle, and a ceremonial house or enclosure. Members of other lineages within
the party could live in the same village as the major lineage or within other villages within the party
territory. The ceremonial chief was also the hereditary chief of the party who organized religious,
economic, and military activities (Goldberg I:47). An advisory council of ritual specialists and shamans
was consulted for their specialized knowledge. Resources within the party territory were owned by the
party. The party territory was marked by boundary markers and was defended against trespassers
(Waugh 1986:74).
The most important ceremonies were boy and girl initiation ceremonies and mourning ceremonies for
all who had died during the year. The corporate identity of the Luisef\o party was reaffirmed through
these ceremonies. Ceremonies were usually held during fall and winter when stored foods were
available for exchange with other groups. During the girls' initiation ceremony, the girls made
geometric red paintings on boulders with their hands. Luiseno girls painted the same geometric
rectilinear red designs on rocks and their faces for four successive months. Thus, there are red
pictographs associated with every Luisef\o village site usually on a boulder or outcrop in or near the
village (Cultural Systems Research 2005:55-56). Non-geometric designs were made by shamans in
isolated rockshelters and on sheltered outcrops away from the village (Shepard 1996).
Ceremonies were held in and around an unroofed ceremonial enclosure surrounded by a brush fence.
The enclosure could be round, elliptical, or rectangular. One example measured 38 by 58 feet. There
was a ramada (a structure with a thatched roof supported by willow poles) in the center of the
enclosure near fire pits. Spectators watched the dances from outside the fence. The ceremonial
enclosure was located near the chief's house (Cultural Systems Research 2005:11-12).
Houses were circular with conical roofs and were made of a framework of logs covered by tules, sedge,
or bark and a layer of earth. The floors of the houses were about two feet below the ground surface.
Houses had a central fireplace, but most cooking was done outside (Cultural Systems Research 2005:9).
Round earth-covered semi-subterranean sweathouses with an interior fire pit were primarily used by
men and were located next to a stream or pond. Ramadas, flat-roofed open structures, provided shade
for work areas (Cultural Systems Research 2005:12-13). Women's work areas often consisted of a
circular windbreak made of arrow weed or tule. They had a hard-packed earth floor that was swept to
remove debris. Earth ovens consisted of a pit with a ring of rocks. Granaries for storing acorns, seeds,
and nuts were made of woven arrow weed or willow, sealed with mud. They were built on platforms,
on top of houses, or on boulders to keep burrowing animals out. Caves and rockshelters in or near
villages were used for activity areas, as caches, and for ceremonies. Rockshelters away from the village
could be used as temporary camps. Other temporary camps had lean-tos made of willows with an
adjacent fire pit (Cultural Systems Research 2005:12-14).
When the Spanish arrived in southern California in 1769, it is estimated that there were 50 Luisef\o
villages with a population of about 200 each, suggesting a total population of about 10,000 (White
1963:104).
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The first contact with Euro-Americans by Native Americans in southern California came as a result of
the Spanish Portola Expedition in 1769. Missions were established by Franciscan friars to convert,
educate, and control the native population. Mission San Diego was established to convert the Native
Americans that lived in the area, known as the Kumeyaay or Dieguef\o. Mission San Juan Capistrano
was established in 1776 on San Juan Creek (in what is now southern Orange County) to convert the
Agjachemem or Juanef\o. Coastal Luisef\o people were also taken to Mission San Juan Capistrano.
Mission San Luis Rey was established in 1798 on the lower San Luis Rey River (in what is now
Oceanside) to convert the Luisef\o (Castillo 1978:100). Some missions later established outposts in
inland areas. An asistencia (mission outpost) of Mission San Luis Rey, known as San Antonio de Pala,
was built in Luisef\o territory along the upper San Luis Rey River near Mount Palomar in 1810 (Pourade
1961).
Some coastal Luisef\o people were converted and baptized by Franciscan friars and taken to the San
Juan Capistrano Mission after it opened in 1776. However, the friars at San Luis Rey Mission
(established 1798), allowed many native people to remain in their villages, especially along the upper
San Luis Rey River, with a continuation of traditional economic organization and leadership (Bean and
Shipek 1978:558). The friars travelled to the villages to say mass and teach farming skills and European
crafts (Bean and Shipek 1978:558).
Hundreds of Luisef\o who lived near San Luis Rey Mission were converted and brought to live at the
mission. Other Luisef\o converts worked on ranches established by the mission friars. The ranches were
within 10 leagues of the mission and included ranches at Santa Margarita, Las Flores, San Mateo, Pala
(around the asistencia), and Temecula. The friars appointed Luisef\o alcaldes or overseers to manage
the labor of the Luisef\o on the ranches where the Luisef\o grew wheat, barley, and corn and looked
after large herds of cattle. Each ranch had houses, storehouses, and a chapel. The priests from the
mission came to say Mass in the chapels on the ranches. The Luisef\o on the ranches were able to
maintain more of their culture and religious traditions than those at the mission. Other Luisef\o
remained in their villages on the upper San Luis Rey River and the headmen of these villages retained
their authority. People who left the mission usually returned to these villages (Phillips 2014).
The Spanish saw the native people as lower class, conquered people who had obligations which
included obedience, allegiance to the crown, and fidelity to God. The Luisef\o saw these as foreign
obligations that were forced on them. However, the friars saw not fulfilling these obligations as a crime
punishable by forcible return to the mission, public whipping, or incarceration. The friars thought the
Luisef\o had a child-like culture and therefore the friars should serve in loco parentis and have rights
of judgment and punishment (Carrico 2008).
After Mexico became independent of Spain in 1821, the Mexican government said that the Indians
were citizens of Mexico and released some of them from the control of the missions. In 1834, Mexico
secularized the missions. This meant that the friars no longer had political or legal jurisdiction over the
converts. While some Luisef\o returned to the inland villages, others remained at the mission and on
the mission ranches. The Mexican governor of Alta California appointed Pio Pico as administrator of
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Mission San Luis Rey. Pico continued the system the friars had established for running a large
agricultural enterprise using the labor of the Luiseno, but without the religious instruction that the
friars had provided. Pico was assisted by three Mexicans who served as ranch managers. The Luise no
carried out agricultural labor, including plowing, seeding, and harvesting. Craftsmen included
shoemakers, blacksmiths, carpenters, soap makers, and weavers. In 1840 the mission and its ranches
had 25,000 sheep and 3,000 cattle. Pico served as mission administrator from 1835 to 1840 (Phillips
2014).
Under the secularization law Indian pueblos were supposed to be created. The only Indian pueblo in
Luiseno territory was Las Flores on the coast north of the Santa Margarita River which was established
on one of the former mission ranches. In 1836 there were 196 Luiseno at Las Flores and some had
individual plots of farm land. Farm animals were given to the people of Las Flores by the Mexican
government in 1839 (Phillips 2014).
The mission administrators exploited native labor to enrich themselves. The Luiseno were not paid and
were treated like serfs who were given only food. At the mission, some lived in the mission buildings.
Under the Mexican system the Luiseno were free to leave the mission and many returned to the inland
villages. Others went to Los Angeles where they worked as part time laborers or worked on ranches
that had been given as land grants by the Mexican governor to Mexican citizens. One of the land
grants in Luiseno territory included Rancho Santa Margarita y Las Flores which included the former
mission ranch of Santa Margarita and the pueblo of Las Flores which was also on a former mission
ranch. Rancho Santa Margarita was granted to Pio and Andres Pico in 1841 (Avina 1976), one year after
Pio Pico resigned as administrator of Mission San Luis Rey. In 1844 Las Flores was added to the land
grant (Avina 1976). Pio Pico put a large cattle herd on his land grant, possibly taken from the mission
herds. He also had a resident labor force from the pueblo of Las Flores, which was now on his land
grant (Phillips 2014).
Other Mexican land grants in Luiseno territory included Temecula, Little Temecula, Pauba, Monserate,
Guajome, Pauma, and Cuca. Temecula and Little Temecula were located on one of the former mission
ranches. The Little Temecula land grant was given to Pablo Apis, a Luiseno who had been an alcalde
at Mission San Luis Rey. Apis became the headman or captain of a village community of Luiseno on
the little Temecula land grant (Phillips 2014).
During the Mexican-American War in 1846, Manuelito Cota, a mestizo who lived near Pala, led a group
of Indians who killed 11 Mexicans on the Rancho Pauma land grant. In retaliation, 38 Luisenos and
Cupenos were killed at Aguanga. The Cupenos were another Takic-speaking group who lived in San
Jose Valley east of the upper end of San Luis Rey River (Phillips 2014).
After Mexico lost the Mexican-American War, the U.S. government took control of California. California
was governed by the U.S. Army from 1847 to 1849 and became a state in 1850. The U.S. government
considered the Luiseno to be Mission Indians who were not U.S. citizens, but were residents of San
Diego County. As residents of San Diego County, they were required to pay taxes, which caused much
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resentment. The captains of the village communities of Temecula, Pala, Potrero, La Jolla, and Pauma
had to sell some of their cattle in San Diego in order to pay the taxes (Phillips 2014).
George Barbour was appointed by Congress as Indian Commissioner in 1851 and was told to negotiate
treaties with the southern California Indians. Many Luisef\o communities sent representatives to meet
with Barbour at Rancho del Chino east of Los Angeles. Barbour did not attend the meeting and
returned to Washington, D.C. without accomplishing anything (Phillips 2014).
During the Gold Rush, hundreds of gold seekers used the southern route into California, crossing the
Colorado River at Yuma where they came into conflict with the Quechan, a Yuman-speaking group.
Two white men, Lincoln and Glanton, established a ferry at Yuma and the Quechan established a
competing ferry. During a meeting between the two ferry-operating groups, Glanton clubbed the
Quechan chief. In retaliation, the Quechan later killed Glanton and Lincoln. The Morehead Expedition
was sent by the California state militia to punish the Quechan, but was forced to retreat by the
Quechan. However, later in 1850, Camp Yuma, whose name was later changed to Camp Independence,
was established. By 1851 there were only 11 men in the camp. The Quechan attacked a group of
sheepherders who were crossing the river and stole some of their sheep. They then surrounded the
military camp. Captain Davidson of the militia from San Diego went to Camp Independence and
rescued the men there; they abandoned Camp Independence and returned to San Diego. The Quechan
destroyed Camp Independence and the ferry in late 1851 (Phillips 2014).
Perhaps emboldened by the success of the Quechan, Antonio Garra, a Cupef\o leader, organized a
revolt against the Americans. The Mexican land grant known as Valle de San Jose came into the
possession of an American named John Warner and the ranch became known as Warner's Ranch. Most
of the Cupef\o villages were on Warner's Ranch, including the village of Kupa. Garra's son and others
killed four Americans in Kupa. Another group attacked Warner's house. Although Warner escaped,
when he returned he found that all his possessions in his house had been stolen and all his cattle were
gone (Phillips 2014).
The Luisef\o leaders supported the Americans and refused to join the revolt of the Cupef\os. However,
a volunteer force of the California militia was organized in San Diego to put down the "Indian revolt"
and martial law was declared in San Diego County on November 26, 1851. Antonio Garra, Garra's son,
and four other Indians thought to have killed the Americans at Kupa were captured by forces from the
California militia and the U.S. Army, were tried by military tribunals, and executed in December 1851
and January 1852. Kupa and other Cupef\o villages were burned. Captain Heintzelman of the U.S. Army
returned to Yuma where the Quechan were robbing travelers and "subdued" the Quechan by the end
of 1852 (Phillips 2014).
The revolt by Antonio Garra and some of the Cupef\o people was a result of the requirement by the
County officials that the Indians must pay taxes and the unfulfilled promise of treaty negotiations on
I
the part of the federal government. Meanwhile, the Americans in San Diego believed that all of the
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southern California Indians were united against them and that they would be attacked by thousands
of warriors (Phillips 2014).
Indian Commissioner Wozencraft, a representative of the federal government, negotiated a treaty with
the Luisef\o captains at Temecula on January 5, 1852. The purpose of the treaty, from the government's
point of view, was to stop all acts of hostility against U.S. citizens and other Indians. The Indians had
to accept the jurisdiction, authority, and protection of the U.S. Government and to be governed by the
U.S. Indian Bureau. In return, the Luisef\o, Cahuilla, and Serrano would be given a large vaguely defined
reservation that extended from the San Gorgonio and San Jacinto Mountains on the north to a line
running west from the San Jose Valley to Pauma on the south. From Pauma the western boundary
would run north through Temecula. The eastern boundary was the desert. The Indians who signed the
treaty were to be given flour, clothing, cloth, plows and other farm tools, along with horses and oxen.
A similar treaty was negotiated with the Kumeyaay on January 6, 1852. The Kumeyaay were to be given
a reservation that extended south from the Luisef\o reservation through the eastern mountains to the
Mexican border (Phillips 2014).
The California Legislature opposed ratification of the treaties by the U.S. Senate and the Senate
rejected them. Instead, Congress appointed Edward S. Beale as Indian Agent for California. Beale gave
Benjamin D. Wilson of Los Angeles a contract to prepare a report on Indian policy for southern
California. Wilson recommended setting aside smaller reserves (reservations) where the Indians were
currently living, at places including San Gorgonio, San Jacinto, Temecula, Agua Caliente (Kupa), and
Tejon. He noted that some of these places had existing vineyards and orchards from mission times.
There should be one town in each reserve and the government should provide cattle, clothing, and
tools to promote farming. There should be no hereditary chiefs. The Indian agent assigned to the
reserve would appoint leaders based on good behavior who would enforce compulsory labor and
rationing of food from commonly held stores of the produce of the small self-supporting agricultural
community. Congress authorized five reserves, each with a military garrison, in California. One of these
was Tejon (north of Los Angeles), established by Beale in 1853. The others were in northern California.
Once again, the federal government failed to provide any land for the southern California Indians
(Phillips 2014).
Cave Couts was appointed Indian subagent for the Luisef\o in 1853 and John Warner was appointed
subagent for the Cupef\o and Kumeyaay. Couts came from a slave-holding family in Tennessee and
came to California as an officer in the U.S. Army during the Mexican-American War. He served on the
military tribunal in San Diego that sentenced Antonio Garra to be executed. Couts married the
daughter of a wealthy Mexican rancho owner in 1851 and received the Rancho Guajome land grant,
near Mission San Luis Rey, as a wedding present (San Diego History Center 2016). Couts' appointment
as Indian subagent was based on the 1850 Act for the Government and Protection of Indians. Using
his position as Indian subagent to enforce provisions of the Act, he instituted a feudal labor system
that bound Luisef\o to ranch owners who exploited their labor. One of the provisions of the Act allowed
employers to take custody of Indian children until they reached majority age, providing them with free
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child labor. Couts procured Luisefio labor for the development of his Rancho Guajome and for
neighboring ranches. When Indian laborers didn't work hard enough, Couts flogged them, which
sometimes resulted in their deaths. Couts was indicted for the flogging death of a Luisefio captain
named Urbano in 1855 (Hanks 2012).
Couts appointed Manuelito Cota, the mestizo who had killed the Mexicans at Rancho Pauma during
the Mexican-American War, to be a paramount chief over the captains of the Luisefio villages on the
upper San Luis Rey River. Cota had a ranch east of Pala. Because Cota was not part of any Luisefio
lineage, the Luisefio captains did not want to accept his authority. Cota actually served as an Indian
labor recruiter and contractor for his own and neighboring ranches (Hanks 2012).
Couts wrote in 1856 that the Luisefio were industrious agriculturalists, but that the Kumeyaay did not
farm. According to Couts, they subsisted on acorns and stolen cattle (Phillips 2014).
When Cota retired in 1860 the Luisefio captains chose Francisco Majal to succeed him. Couts was
opposed to Majal because Majal was unwilling to recognize Couts' authority over him. Couts
denounced Majal as a drunkard and thief and was successful in getting the Office of Indian Affairs to
re-appoint Manuelito Cota in 1865 (Hanks 2012).
In 1867 Indian Agent Stanley met with 20 Luisefio captains at Temecula. He gave them supplies and
tools and asked them to establish and maintain farms with fruit trees and grape vines. He noted that
the Indians were losing their land to white men who also sold them liquor in exchange for their labor
and for access to their women. In 1868 Stanley recommended establishing a reservation at Pala. In
1869 Cota recommended San Pasqual as a reservation. In 1870 President Grant, by executive order,
set aside land at Pala and San Pasqual for exclusive Indian use (Phillips 2014).
The Luisefio captains, who were not happy with Cota because he was trying to get them to move onto
reservations, elected Manuel Olegario (also known as Olegario Calac) as paramount chief over 12
villages in 1870. Olegario was a member of an important Luisefio lineage, unlike Cota. However,
Olegario was not recognized by the federal government because he had not been appointed by an
Indian agent. Olegario and the Luisefio captains said they would not go to the reservations. The
Luisefio feared that on the reservations they would become dangerously dependent on the federal
government and would lose control over their affairs. Because the Luisefio refused to move onto the
ill-defined reservations, President Grant in February 1871 rescinded his executive order creating the
reservations (Phillips 2014). Rescinding the order reinforced the Luisefio's belief that on the
reservations they would be landless indigents with no claims to the land they currently occupied (Hanks
2012).
Violence erupted between the Cota faction and Olegario's followers at Pala and Pauma in the summer
of 1871. Cota's sister, Margarita, was taken by Olegario's supporters and hung by her wrists (Hanks
2012).
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Olegario and Manuel Largo of the Mountain Cahuilla went to San Bernardino in August 1871 and
convinced Justice Wagner to issue an arrest warrant for Cota. News that the leaders of the Luiseno and
the Cahuilla had joined forces and were trying to overthrow the government-appointed Indian leaders
led to fears of another Indian uprising, such as the one led by Antonio Garra in 1851 (Hanks 2012).
During a meeting with Indian Superintendent Whiting at Temecula in 1871, the Luiseno captains
complained about Cota who they said had abandoned them, did not defend and protect them, and
neglected their welfare. Whiting recognized the forced resignation of Cota. At this meeting Olegario
said that he was the leader elected and chosen by the Luiseno and that the reservations were promoted
by the ranch owners who wanted the land the Indians currently occupied. Whiting said that neither
Cota nor Olegario could be chief and appointed Jose Antonio Sal, Cota's relative, as general chief who
should appoint captains and alcaldes. Like Cota, Sal supported reservations. However, most Luiseno
continued to support Olegario (Hanks 2012, Phillips 2014). In 1873 Olegario complained that whites
were taking Indian lands and sent a petition to the General Land Office in Los Angeles (Phillips 2014).
In 1875, Indian agent Charles Wetmore proposed establishing trust lands for Indians which they could
not sell or buy. He also recommended that the proposed trust lands be surveyed to establish their
boundaries. Wetmore said that there should be a town on the trust lands where there would be a
Catholic church with a priest to "help" the Indians. Olegario opposed the land surveys, saying that
surveying would limit Indian lands to small patches and that whites would take the rest. Surveying,
which had begun at Pauma, was stopped (Phillips 2014).
Olegario began to change his mind about reservations after all of the Luiseno people were evicted
from Rancho Temecula by the San Diego County Sheriff in 1875 (Phillips 2014). The Luiseno people
from Temecula wereJorced into a waterless canyon which later became the Pechanga Reservation
(Hanks 2012). Encroachment on traditional Luiseno lands was also occurring around other Luisefio
villages.
Olegario went to Washington D.C. in November of 1875 and met with Secretary of the Interior
Chandler and President Grant. As a result of this face-to-face appeal, on December 26, 1875 President
Grant created nine small reservations in San Diego County by executive order. The Pala Reservation,
Potrero Reservation (later became the La Jolla Reservation), and the Rincon Reservation were in
Luiseno territory. The Agua Caliente Reservation was created at Kupa for the Cupeno. The other
reservations were in Kumeyaay territory (Hanks 2012, Phillips 2014).
In June 1877 Antonio Varela, who was leasing land at Rancho Cuca near the Potrero reservation, began
grazing his cattle on land outside the rancho, threatening traditional Luiseno food sources. Olegario
and his warriors blocked the access of Varela to the ranch in an effort to keep his cattle off of traditional
Luiseno lands. Several Luisefio were arrested and brought before Justice of the Peace Cave Couts, who
uncharacteristically decided he had no jurisdiction and freed the prisoners (Hanks 2012).
Olegario sought the removal of the owner of Rancho Cuca, Margaret Trujillo, and return of the rancho
land to the Luisefio. Deputy Sherriff Ed Bushyhead was sent to Cuca to arrest Olegario. Olegario and
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his followers refused to recognize the authority of the arrest warrant and a standoff ensued. Bushyhead
returned to San Diego without his prisoner. Olegario went to court and argued that Cuca was
traditional Luisef\o land, owned and worked by his people "since time began." However, the judge
made no ruling in the case (Hanks 2012).
Olegario fought for the sovereign rights of the Luisef\o people using the white's own legal system.
"Olegario Calac redefined the nature of resistance in southern California by his use of the courts as
well as confrontation" (Hanks 2012:47). He led the Luisef\o in their fight for self-determination and
resistance of white domination. "Olegario kept his people together, maintained the tribal integrity of
their reservations, and represented the whole of the Luisef\o nation with dignity and wisdom" (Hanks
2012:47). Olegario died July 31, 1877. Many Luisef\o believed Olegario had been poisoned, but a
Medical Examiner's inquest by Justice Cave Couts found no foul play (Hanks 2012).
The reservation created by President Grant at Agua Caliente for the Cupef\o was rescinded by President
Hayes in 1880 at the request of former Governor Downey who was then the owner of Warner's Ranch
and wanted all Indians removed from his property. In 1903, all Cupef\o were removed to Pala (Phillips
2014).
In 1882, Indian Commissioner Hiram Price authorized Helen Hunt Jackson to investigate the conditions
of the southern California Indians. Accompanied by Abbot Kinney, she visited the Cahuilla, Luisef\o,
and Kumeyaay settlements. In her report she recommended resurveying the reservation boundaries
and issuing federal patents for them, removing white settlers, establishing schools, distributing farm
equipment, and hiring a law firm to represent the Indians. As a result of her visit to Soboba, the Soboba
reservation was established in 1883 (Phillips 2014). She wrote the novel Ramona (published 1884)
based on her investigations.
The Act for the Relief of Mission Indians established trust-patent reservations in 1891 (Bean and Shipek
1978:558-559). The Act created the Pechanga Reservation near Temecula, the Pauma and Yuima
Reservation, and the San Pasqual Reservation (not established until 1910) (CIAP 2004).
The Act also established the Bureau of Indian Affairs (BIA) to "manage" the Native Americans and help
them "assimilate" into American society (Bean and Shipek 1978:558-559). The BIA established native
governments on the reservations (subject to the approval of the BIA) and started boarding schools for
native children so that they would "adapt" to American culture. The Perris Indian School opened as a
manual training boarding school for Indians in 1892, but lack of water resulted in a move to the
Sherman Indian Institute in Riverside in 1901. The purpose of the boarding schools was to remove
Indian children from their native environment in order to ensure "the transculturation of American
Indians" which included "imposed assimilation" to American culture "and the subsequent loss of a
distinct Indian culture," according to Albert Smiley, an Indian commissioner for southern California
(Hanks 2012:87).
Many Luisef\o children were taken to the Perris Indian School and, later to the Sherman Indian Institute.
Conditions were poor at the Perris Indian School, resulting in poor health of the children. This caused
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great distress among the parents at Temecula who also thought their children were not being fed
properly. This may have contributed to the murder of Mrs. Platt, the teacher at the day school at the
Pechanga Reservation in 1894. The schoolhouse was burned with Mrs. Platt in it, resulting in her death.
Some of the Luisefio parents had asked her for money so they could go to investigate conditions at
the Perris Indian School and see their children, but Mrs. Platt refused. At Sherman Institute, children
were beaten when caught speaking their native language and many had to steal food from the kitchen
to get enough to eat. Many escaped and went home, only to be sent back to the school (Hanks 2012).
Constance G. Dubois visited the southern California reservations and villages in 1900. She found that
the Indians lived a miserable existence in terrible poverty. They had some legal rights on the
reservations, but on private land were vulnerable to the white civil justice system (Phillips 2014).
Native Americans were finally granted U.S. citizenship when Congress passed the Indian Citizenship
Act in 1924. It was thought that granting citizenship would help assimilate Native Americans into
mainstream society. However, this did little to change the authority of the BIA and its agents on the
reservations. Indian agent police brutally enforced Prohibition on the reservations during the 1920s
(Hanks 2012).
The Mission Indian Federation was organized in 1920 to counter the control of the BIA and its agents.
The Federation was made up of representatives from all the reservations in southern California, but
was led by Jonathan Tibbet of Riverside who could serve as an intermediary with white society. The
Federation put its own police on the reservations in order to solve problems before the BIA agents
could intervene. The Federation was also a lobbying organization and assisted in convincing Congress
to pass the Indian Citizenship Act and other federal legislation affecting Native Americans (Hanks
2012).
4.2.2 Kumeyaay
The Kumeyaay (also known as Tipai and Ipai) were Yu man speakers (part of the Hokan language family)
who occupied San Diego County. The Kumeyaay have been ancestrally located in the southern part of
the City of Carlsbad, southeast into Imperial County and south of the United States into Baja California.
From west to east, the Kumeyaay occupied the coast, coastal hills, mountains, and desert.
The primary source of Kumeyaay subsistence was vegetal food. Seasonal travel followed the ripening
of plants from the lowlands to higher elevations of the mountain slopes. Acorns, grass and sage seeds,
cactus fruits, wild plums, pinyon nuts, and agave stalks were the principal plant foods. Deer, rabbits,
small rodents, and birds provided meat. Residential bases were selected for seasonal use and were
occupied by exogamous, patrilineal clans or bands. Three or four clans might winter together and then
disperse during the spring and summer (Luomala 1978).
The Kumeyaaywere loosely organized into exogamous patrilineal groups termed sibs, clans, gens, and
tribelets by ethnographers. The Kumeyaay term was cimul. The cimul used certain areas for hunting
and gathering, but apparently did not control a bounded and defended territory, as did the Luisefio.
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In addition, members of several different cimul usually lived in the same residential base, unlike the
Luiseno where a single lineage, party, or clan controlled a village and its territory. Kumeyaay lived in
residential bases during the winter and subsisted on stored resources. No permanent houses were
built. Brush shelters were temporary and were not re-used the next year. Ceremonies, including rites
of passage and ceremonies to insure an abundance of food, were held in the winter residential bases.
The cimul leader directed the ceremonies and settled disputes (Christenson 1990:58, 62).,0ne of the
most important ceremonies was the mourning ceremony. Upon death, the Kumeyaay cremated the
body of the deceased. Ashes were placed in a ceramic urn and buried or hidden in a cluster of rocks.
The family customarily held a mourning ceremony one year after the death of a family member.
(Luomala 1978).
The Kumeyaay were geographically and linguistically divided into western and eastern Kumeyaay. The
western and eastern Kumeyaay spoke two different dialects (Christenson 1990:64). The western
Kumeyaay lived along the coast and in the valleys along the drainages west of the mountains. The
eastern Kumeyaay lived in the canyons and desert east of the mountains. The western Kumeyaay spent
the winter in residential bases in the lowland valleys and then broke into smaller cimul groups that
moved gradually eastward toward the mountains, following ripening plants and occupying temporary
residential sites along the way. Thus, each group occupied several different residential bases during
the course of a year (Christenson 1990:292-293). The eastern Kumeyaay spent the winter in villages on
the desert margin where water was available from springs at canyon mouths. They moved up the
canyons toward the mountains during spring and summer. The eastern and western Kumeyaay met in
the mountains in the fall where they gathered black oak acorns, traded, and held ceremonies
(Christenson 1990:63).
It is estimated that the precontact Kumeyaay population was about 9,000 (Luomala 1978). Beginning
in 1775, the semi-nomadic life of the Kumeyaay began to change as a result of contact with European-
Americans, particularly from the influence of the Spanish missions. Through successive Spanish,
Mexican, and Anglo-American control, the Kumeyaay were forced to adopt a sedentary lifestyle and
accept Christianity (Luomala 1978).
4.3 Euro-American History
Euro-American colonization of California began with the Spanish Portola land expedition. The
expedition, led by Captain Gaspar de Portola of the Spanish army and Father Junipero Serra, a
Franciscan missionary, explored the California coast from San Diego to the Monterrey Bay area in 1769.
As a result of this expedition, Spanish missions to convert the native population, presidios (forts), and
towns were established. The Franciscan missionary friars established 21 missions in Alta California (the
area north of Baja California) beginning with Mission San Diego in 1769 and ending with the mission
in Sonoma established in 1823. The purpose of the missions and presidios was to establish Spanish
economic, military, political, and religious control over the Alta California territory. As previously
mentioned, missions were established at San Diego in 1769, at San Juan Capistrano in 1776 and San
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Luis Rey Mission was established in 1798 on the lower San Luis Rey River (in what is now Oceanside)
(Castillo 1978:100). Some missions later established outposts in inland areas.
The missions sustained themselves through cattle ranching and traded hides and tallow for supplies
brought by ship. Large cattle ranches were established by Mission San Luis Rey at Temecula and San
Jacinto (Gunther 1984). The Spanish also constructed presidios, or forts, at San Diego and Santa
Barbara, and a pueblo, or town, was established at Los Angeles. The Spanish period; in California began
in 1769 with the Portola expedition and ended in 1821 with Mexican independence.
After Mexico became independent from Spain in 1821, what is now California became the Mexican
province of Alta California. The Mexican government closed the missions in the 1830s and former
mission lands were granted to retired soldiers and other Mexican citizens for use as cattle ranches.
Much of the land along the coast and in the interior valleys became part of Mexican land grants or
"ranchos" (Robinson 1948). During the Mexican period there were small towns at San Diego (near the
presidia), San Juan Capistrano (around the mission), and Los Angeles. The rancho owners lived in one
of the towns or in an adobe house on the rancho. The Mexican Period includes the years 1821 to 1848.
Most of what is now Carlsbad was the Mexican land grant known as Rancho Agua Hedionda, granted
to Juan Marfa Marron by the Mexican governor of Alta California in 1842 (Avina 1976:92). When
originally granted, the rancho covered three square leagues. When surveyed by the U.S. Surveyor
General's Office, the area of the grant was 13,311 acres. Marron had been a ship captain and arrived
in San Diego in the 1820s. He married the daughter of the Alcalde of San Diego and was a regidor (city
councilman) in San Diego. Marron raised cattle and horses on his rancho. He supported the Americans
during the Mexican War which caused trouble with his neighbors when they used his support for the
Americans as a pretext to remove all the livestock from his rancho in 1846 (Anderson 2007).
The American period began when the Treaty of Guadalupe Hidalgo, which ended the Mexican War,
was signed between Mexico and the United States in 1848. As a result of the treaty, Alta California
became part of the United States as the territory of California. Rapid population increase occasioned
by the Gold Rush of 1849 allowed California to become a state in 1850. Most Mexican land grants were
confirmed to the grantees by U.S. courts, but usually with more restricted boundaries which were
surveyed by the U.S. Surveyor General's office. Land that was not part of a land grant was owned by
the U.S. Government until it was acquired by individuals through purchase or homesteading. Floods
and drought in the 1860s greatly reduced the cattle herds on the ranchos, making it difficult to pay
the new American land taxes on the thousands of acres that comprised many of the ranchos. Many
Mexican-American cattle ranchers borrowed money at usurious rates from newly arrived Anglo-
Americans. The resulting foreclosures and land sales transferred most of the land grants into the hands
of Anglo-Americans (Cleland 1941:137-138).
Don Juan Marfa Marron died in 1853 at the age of 45, leaving most of Rancho Agua Hedionda to his
widow and four children. His brother, Silvestre Marron, received 360 acres. In 1860 the heirs took a
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loan of $6,000 from Francis Hinton with the rancho as collateral. Drought, which greatly reduced the
Marron's cattle herd, left the Marron family unable to repay the debt and Hinton foreclosed in 1865.
Hinton was born in New York and came to California as part of the Boundary Commission Guard during
the Mexican War. He previously was a merchant in Yuma (Allen and Harmon n.d.). Hinton never married
and lived at the rancho until his death in 1870. Robert Kelly, who had come to San Diego from Yuma
with Hinton as a member of the Boundary Commission Guard, became a partner in the Jamacha
Rancho near San Diego where he raised cattle. In 1860 Kelly became ranch foreman on Hinton's
Rancho Jamul and later became a partner with Hinton in Rancho Agua Hedionda. Hinton had no
children and, upon Hinton's death in 1870, Hinton's half interest in Rancho Agua Hedionda was
bequeathed to Robert Kelly who now fully owned the Rancho (Allen and Harmon n.d.). When Robert
Kelly died without heirs in 1890 the rancho passed to the nine children of his brother, Matthew Kelly,
who had died in 1885. Matthew Kelly had come to California as part of the Gold Rush and then moved
to the San Diego area to join his brother, Robert. The Kelly children divided the rancho equally among
them and the new parcels were surveyed in 1895 (Allen and Harmon n.d.).
Matthew Kelly lived outside the rancho Gust east of the southeastern rancho boundary) on land (in
Section 19 of T3 W, R 12 S) that he purchased from the federal government in 1881 and 1884 (BLM
2016). Kelly's land was known as Rancho de los Kiotes. His heirs sold Rancho de los Kiotes to a San
Francisco syndicate in 1922. They sold the land (840 acres) to actor Leo Carrillo in 1938. Carrillo
remodeled the adobe house Kelly had built and lived there until his death in 1961 when the ranch
passed to his adopted daughter, Mrs. Marie Antoinette Carrillo Delpy (Anderson 2007a). Leo Carrillo
Ranch, located in Carlsbad, is now California Historical Landmark No. 1020 and is listed on the NRHP.
The original town of Carlsbad was located outside of Rancho Agua Hedionda on federal land along
the coast south of Buena Vista Lagoon. The town began as a station (Frazier's Station) on the new
California Southern Railroad which completed its line from National City (south of San Diego) to Colton
in 1882. The railroad was later completed through San Bernardino to Barstow, where it connected with
the transcontinental AT&SF (Santa Fe) Railroad in 1885. The railroad became part of the AT&SF Railway
in 1906 (Robertson 1998).
John A. Frazier, a former ship captain, arrived in the area in 1883 and dug a well near the railroad to
provide water for the steam locomotives when they stopped at what became known as Frazier's Station
beginning in 1884. Frazier dug another well that produced mineral water. Frazier had the mineral water
analyzed and the mineral content was found to be similar to the water of one of Europe's most popular
health spas, Karlsbad, in Bohemia (now known as Karlovy Vary, Czech Republic) (Anderson 2007b,
Gudde 1969:54). Frazier bought land from the federal government around Frazier's Station and along
the coast (in Section 1 of TS W, R 12 S) in 1886 and purchased additional land in 1892 (BLM 2016).
Frazier and several businessmen from the eastern U.S. formed the Carlsbad Land and Mineral Water
Company Frazier provided the land and the other partners in the company provided the
capital. Frazier's Station was renamed Carlsbad when the company divided some of the land into town
lots and filed a town plat with the County. The company began bottling the mineral water and sold it
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nationwide as (The American) Carlsbad Mineral Water. The Company built a large hotel and spa (the
Carlsbad Hotel) near the mineral water well for those who wanted to take the waters in person (by
drinking and bathing) (Carlsbad Spa 2016). Frazier sold lots around the hotel and those who bought
the lots built businesses and residences that formed the beginning of the town of Carlsbad. In 1890
there were a telegraph office, Wells Fargo Express, a school, a Methodist and a Congregational church,
a hotel, and another hotel under construction. The Carlsbad Hotel was destroyed by fire in 1896 (Allen
and Harmon n.d.).
Several of the partners in the Carlsbad Land and Mineral Water Company, including Samuel C. Smith
and Gerhard Schutte, moved to Carlsbad. Gerhard Schutte's home, built in the Queen Anne style,
became one of the two Twin Inns. The Twin Inns was greatly expanded and redecorated with exotic
foreign themes and later became a fried chicken restaurant. The Shipley family purchased the Smith
home, as well as large tracts of land around Carlsbad (Allen and Harmon n.d.).
There was little further development in Carlsbad until 1914 when the South Coast Land Company
bought up all the remaining lands of the Carlsbad Land and Mineral Water Company, as well as other
adjoining properties. The new company drilled wells to provide water for farming. New settlers arrived
and bought farm land, growing winter vegetables, grains, and poultry. During the 1920s Carlsbad
became a major avocado production area. The Carlsbad Avocado Growers Club was formed in early
1923 with John Newberry as president. The peak years for avocado production were 1947 and 1948.
Commercial flower and bulb production also began in the 1920s. In 1949, it was estimated that 90 per
cent of the nation's freesia bulbs came from Carlsbad's annual production of nearly three million bulbs
(Allen and Harmon n.d.). After a vote about whether to join Oceanside or incorporate, Carlsbad
incorporated as a city in 1951 (Allen and Harmon n.d.).
In 1930, the Eastman Hotel Company acquired the mineral water well and built the California-Carlsbad
Mineral Springs Hotel. The hotel had 130 rooms with a spa and clinic for taking mineral water baths.
The hotel was purchased by the Lutheran Services of San Diego in 1956 and became a retirement
home (Allen and Harmon n.d.). By the early 1950s, the mineral water well had been buried and
forgotten. B. M. Christiansen rediscovered and reopened the well and made a Bohemian-themed well
house to protect and commemorate the well (Allen and Harmon n.d.). In 1995, the mineral well was
reopened as the Carlsbad Mineral Water Artesian Well by Ludvik and Veronica Grigoras from Karlovy
Vary, Czech Republic. A new spa opened as the Carlsbad Mineral Water Spa and the water was sold as
Carlsbad Alkaline Water (Carlsbad Spa 2016).
4.4 Paleontological Resources
The sediments of the City of Carlsbad contain a geological sequence of marine and non-marine
sedimentary rocks that record portions of 140 million years of the earth's history (Figure 2). The primary
geologic formations present are marine and non-marine Pleistocene and Holocene sediments, the
Santiago Formation, Point Loma Formation, Lusardi Formation, and the Delmar Formation. Other
geologic units present in the area consist of the Torrey Sandstone, alluvial flood-plain deposits, paralic
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deposits which consist of both marine and continental sediments, marine beach deposits, paralic
estuarine deposits, Tonalite, Dacite stock, Leucogranodiorite of Lake Hodges, and some
metasedimentary and metavolcanic rocks.
The area contains abundant alluvial and flood-plain deposits from the early Pleistocene and Holocene
(about 2 million years ago [Mya] to present). The City of Carlsbad also contains many paralic deposits
from the Pleistocene (approximately 2 Mya to 10,000 years ago). These paralic deposits are deposits
that contain intertwined marine or continental sediments. Based on grain size and depositional history,
most of these units have low to moderate fossil potential and should be surveyed to determine fossil
potential in individual locations.
The Santiago Formation (49-45 Mya) and the Delmar Formation (49-47 Mya) are part of the La Jolla
Group and are primarily middle Eocene (49-38 Mya) sandstones and siltstones. The Santiago Formation
contains lenses of fossiliferous claystone and siltstone. The accompanying Delmar Formation is a sandy
claystone interbedded with sandstone. This formation is not well known for producing fossils, but has
the potential to yield specimens. Before the Eocene, this area was a shallow sea (approximately 74
Mya). This sea deposited the sands and silts which comprise the major formations from this time.
The Point Loma Formation (76-72 Mya) is a sandstone and siltstone unit with significant fossil potential.
This Upper Cretaceous unit is known to contain abundant calcareous nannoplankton. The Lusardi
Formation (90-75 Mya), also Upper Cretaceous in age, is primarily a cobble and boulder conglomerate
which is unlikely to produce any fossil material, but does contain lenses of medium grained sandstone
which have the potential to yield fossil material.
There are also zones of metasedimentary and metavolcanic deposits which have low to marginal
potential to produce any significant fossil discoveries.
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5.0 Roles and Responsibilities
Implementation of these Guidelines requires effort from, and collaboration with, a number of City staff;
professionally qualified City and consultant staff; and tribes, agencies and interested parties. Those
that are expected to either materially participate in their implementation, or those that will contribute
important information to the process, are presented below.
5.1 City of Carlsbad
The City of Carlsbad will serve either as a CEQA lead or responsible agency for discretionary approval
of private-sector projects, or as lead agency and a project proponent for City projects. The City also
administers the issuance of ministerial approvals, plan checks, and non-discretionary actions related
to projects under its jurisdiction, which are not subject to compliance with CEQA. The City Building
Division monitors and enforces the building and safety standards contained in the state Building Codes
and in various municipal codes and policies. This includes oversight of ministerial actions, which are
not subject to these Guidelines. There are three primary divisions or departments that may be expected
to implement these Guidelines, in whole or in part, as follows.
• The City Planning Division and Land Development Engineering are responsible for ensuring
compliance of all development proposals with the City's zoning, subdivision, and
environmental ordinances, as well as various codes, standards, and policies.
• The Public Works Department is responsible for administering and planning City projects that
affect public streets, the water and sewer system, and other important infrastructure in the City.
• The Parks and Recreation Department operates 40 parks and nearly 68 miles of trails, as of
May 2017, throughout the City, and plans and administers City projects in these areas. This
includes areas of public open space that contain, or may contain, tribal, cultural, or
paleontological resources.
The Planning Division, Public Works, and Parks and Recreation Departments are the departments most
likely to be responsible for CEQA compliance.
In addition, the Historic Preservation Commission will receive Notices of Preparation for Environmental
Impact Reports and notices of public review periods for other CEQA documents prepared for
development projects under consideration by the Planning Department. Such notices allow the Historic
Preservation Commission to comment during the public review period on environmental documents
for projects that involve historic structures, and archaeological or paleontological sites, as shown on
the historic resources inventory or as identified in an environmental study.
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5.2 Private Applicants for Projects
Developers and citizens who propose development projects within the City, which are typically funded
wholly with private money on privately-owned property, are considered private-sector applicants.
These applicants are subject to compliance with all applicable laws, codes, regulations, and permits,
both discretionary and ministerial. Although the City is ultimately responsible for approval or denial of
a proposed project, the applicants and City may engage third-party consultants to implement portions
of these Guidelines and carry out technical analyses used to support decision-making of discretionary
projects.
5.3 Consultants
To ensure that consultants implementing these Guidelines are professionally qualified and produce
technical documentation that can be used to support CEQA and discretionary approval of projects,
minimum qualifications standards are required. These standards apply to both City-contracted
consultants and those retained directly by private-sector project applicants.
5.3.1 Minimum Qualifications for Cultural Resources Professionals
The Principal Investigator (PI) is the professional that is primarily responsible for the design,
preparation, execution, and results of a cultural resources study, and is the individual responsible for
ensuring that the study is conducted in accordance with the terms of these Guidelines and all
applicable laws and regulations. Pis implementing these guidelines shall meet the Secretary of the
Interior's Professional Qualification Standards (PQS) that pertain to the particular area of study. The
PQS standards are published in 36 CFR Part 61 and Volume 62, No 119 of the Federal Register (June
20, 1997) and state:
The qualifications define minimum education and experience required to perform
identification, evaluation, registration, and treatment activities. In some cases,
additional areas or levels of expertise may be needed, depending on the complexity of
the task and the nature of the historic properties involved. In the following definitions,
a year of full-time professional experience need not consist of a continuous year of
full-time work but may be made up of discontinuous periods of full-time or part-time
work adding up to the equivalent of a year of full-time experience.
The NPS (NPS n.d.) published more detailed and comprehensive professional qualifications standards
that apply to these Guidelines. Qualification standards are provided for Pis in the following disciplines
and can be found in their entirety at https://www.nps.gov/history/local-law/gis/html/quals.html. All of
the following disciplines also require a demonstrated ability to carry out applicable research or work,
and education and experience must be in the relevant field:
• Prehistoric Archaeologist: graduate degree plus 2.5 years of experience
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• Historical Archaeologist: graduate degree plus 2.5 years of experience
• Architectural Historian: graduate degree plus 2 years of experience or an undergraduate
degree plus 4 years of experience
• Conservator: graduate degree plus 3 years of experience or an undergraduate degree plus 3
years of experience and another 3 years of full-time apprenticeship
• Cultural Anthropologist: graduate degree plus 2 years of experience or an undergraduate
degree plus 4 years of experience
• Curator: graduate degree plus 2 years of experience or an undergraduate degree plus 4 years
of experience
• Historic Engineer: licensed civil engineer plus 2 years of experience or a Masters of Civil
Engineering plus 2 years of experience or a Bachelors of Civil Engineering plus 2 years of
experience
• Folklorist: graduate degree plus 2 years of experience or an undergraduate degree plus 4 years
of experience
• Historical Architect: licensed architect plus 2 years of experience, or a Masters of Architecture
degree plus 2 years' experience or a Bachelors of Architecture with 2 years of experience
• Historical Landscape Architect: licensed landscape architect plus 2 years of experience, or a
Masters of Architecture degree plus 2 years of experience or a Bachelors of Architecture with
3 years of experience
• Historic Preservation Planner: licensed land use planner plus 2 years of experience or a
graduate degree in planning plus 2 years of experience, or an undergraduate degree plus 4
years of experience
• Historic Preservationist: graduate degree plus 2 years of experience or an undergraduate
degree plus 4 years of experience
• Historian: graduate degree plus 2 years of experience or an undergraduate degree plus 4 years
of experience
The Secretary of the Interior's Professional Qualification Standards allow for lead agencies to use some
discretion in the combination of education and experience criteria required for each specialty.
Consultants who may not definitively meet the criteria presented above must obtain approval from
the City, in consultation with applicable agencies, prior to acceptance of work products intended to be
utilized under these Guidelines, and may be subject to a mandatory peer review of the resulting
documentation. Technical staff working under the direct supervision of the qualified PI need not meet
the above criteria.
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5.3.2 Minimum Qualifications for Paleonto/ogica/ Professionals
The qualifications listed below were derived from professional societies, federal, state, and local
agencies. The roles are summarized from the same sources.
A Principal Paleontologist is an individual with a graduate degree in paleontology, geology, or related
field, with at least one year of prior experience as a principal investigator. Generally, such persons will
have a total of five or more years of paleontology experience; however, an advanced degree is less
important than demonstrated competence. Competence in paleontology can be demonstrated by a
thesis or dissertation on paleontological topics, at least three peer-reviewed publications on
paleontological topics, or at least 10 paleontological resources consulting reports.
The Principal Paleontologist is responsible for ensuring that all subordinate personnel are
appropriately qualified and trained. In addition, the Principal Paleontologist is responsible for the
evaluation of fossils to determine if they meet legal significance standards, production of a final report
with a complete catalog, and for ensuring the curation of significant specimens. Specimens not
meeting significance standards may be donated for educational use in the City.
Other members of a paleontological field team may include Field Directors, Supervisors, and
Technicians/Monitors. Laboratory work and use of specialists may be required to remove rock from
fossils, obtain radiocarbon dates and perform other needed tasks. An undergraduate degree in
paleontology, geology, or related field is preferable, but is less important than documented experience
performing paleontological mitigation. These personnel must work under the supervision of a Principal
Paleontologist.
5.4 California Office of Historic Preservation
The California OHP is a state agency led by the SHPO that, through delegation of authority by
Congress, acts on behalf of the Advisory Council on Historic Preservation in the implementation of the
regulations in 36 CFR Part 800 that implement Section 106 of the NHPA. The OHP is also responsible
for maintaining the California Historical Resources Information System (CHRIS), and for administering
the CRHR, NRHP, CHL, and various grants and programs related to historic preservation in California.
Although OHP does not participate in the CEQA process for individual private-sector projects, it may
enter into consultation as part of Section 106 compliance or when state-owned historical resources
may be affected by a project.
5.5 California Native American Heritage Commission
The California NAHC is composed of a nine-member governor-appointed advisory body responsible
for the identification and cataloging of places of special religious or social significance to Native
Americans, including sacred sites and known Native American graves and cemeteries. The NAHC may
serve as a trustee agency under CEQA, and is responsible for identifying a Most Likely Descendant for
Native American human remains that are unearthed in California.
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5.6 California Native American Tribes
California Native American tribes are defined in Section 21073 of the California Public Resources Code
and Chapter 905 of the Statutes of 2004. Those that notified the City in writing of their request to
receive notice of all projects subject to CEQA are subject to the procedures enacted by AB 52. These
tribes need not be physically located in or near Carlsbad, but must be traditionally and culturally
affiliated with the land currently under the jurisdiction of the City.
In addition, California Native American Tribes, including but not limited to those that do not request
that the City notice them under AB 52, may be consulted under SB 18, as determined by the NAHC.
The SB 18 lists typically provided by the NAHC in response to City requests include the San Luis Rey
Band of Mission Indians, but also include other tribes. The City is required to offer consultation under
SB 18 to all of the tribes named by the NAHC on its SB 18 list.
5.6.1 San Luis Rey Band of Mission Indians
The San Luis Rey Band of Mission Indians (SLRBMI) and the City enjoy a special planning partnership
for all discretionary actions carried out or contemplated by the City. This relationship, which was further
fortified by the passage of Council Policy No. 83 in 2016, allows for a higher level of involvement in
project planning than is typically afforded to tribes, which is reflected in portions of these Guidelines.
The SLRBMI is also a participant in the City's CEQA compliance under AB 52. Although the tribe is not
federally-recognized, SLRBMI is a California Native American tribe and is considered by federal
agencies as a consulting party in Section 106 consultation.
5. 7 Federally-Recognized Tribes
Federally recognized tribes are those defined in 25 CFR Part 83 and identified as such by the Bureau
of Indian Affairs. These tribes are recognized by the federal government as having special sovereignty,
immunities, and privileges by virtue of their government-to-government relationship with the United
States. Federally-recognized tribes are eligible for funding and services from the BIA and are afforded
special consultation rights under Section 106 of the NHPA. Federally-recognized tribes may include,
but are not limited to, California Native American tribes as described in Section 5.6.
5.8 Other Permitting or Approving Agencies
There are several federal agencies that may issue federal approvals, permits, licenses, or funding for
projects in the City, which will trigger compliance with Section 106 NHPA and potential consultation
with interested parties including but not limited to California Native American tribes, historical
societies, and preservation organizations, etc.:
• U.S. Army Corps of Engineers (USACE): issuance of a permit for temporary and permanent
discharge of fill into Waters of the United States, in accordance with Section 404 of the Clean
Water Act
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• U.S. Fish and Wildlife Service (USFWS): issuance of a biological opinion or incidental take permit
for federally-listed biological species
• Federal Highways Administration (FHA), and its designee, California Department of
Transportation (Caltrans): issuance of Federal pass-through funds, which will require separate
compliance with the Caltrans Section 106 PA, or issuance of encroachment permits, which will
require separate review by Caltrans
• Other federal agencies that may provide funding to City or private projects such as the U.S.
Department of Housing and Urban Development's Community Development Block Grant
program
5.9 Interested Parties
Other parties may express interest or provide input in planning and project approval decisions that are
based, in part, on the implementation of these Guidelines. These include the City's Historic Preservation
Commission, external historical societies and organizations, the City's Cultural Arts Office, professional
societies, academia, and the general public. Although these entities do not have responsibility for
implementing these Guidelines, any input will be taken into consideration as appropriate.
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6.0 Sensitivity Models
6.1 Uses
Cultural resources come in a variety of forms, and range from historic, existing architecture to deeply
buried archaeological and tribal cultural resources. The very nature of the latter makes identification
and avoidance difficult, as some archaeological and tribal cultural resource sites sometimes do not
manifest on the surface, such that they would be detectable by typical surface or near-surface methods
alone. The ability to predict the presence of cultural resources is not always possible; however, the use
of modeling to produce sensitivity and compliance status maps can be very helpful in long-range
planning efforts. There are a number of benefits and uses for a sensitivity model for the City including:
• serving as a screening tool for planners and developers to determine if cultural resources
surveys and evaluations have already been completed for a project area, thereby reducing the
effort necessary to inventory for cultural resources;
• serving as a planning tool to identify to developers particularly sensitive areas that have a high
potential for cultural resources, which may result in larger areas set aside for avoidance and
preservation of cultural resources;
• identifying areas that may require additional or more specialized studies, such as geo-
archaeological investigations;
• identifying areas that may require focused consultation with Native American tribes;
• identifying areas that may require consultation with specific special interest groups, like,
historical societies, or other ethnic groups;
• serving as a model for predicting the types of cultural resources that may be expected in a
project area;
• allowing for the development of research themes and questions, guidelines for treatment, and
an overall compliance framework that can be applied in a consistent manner over time; and
• being housed in a Geographic Information System (GIS) database and continually updated and
refined, as information generated through implementation of the City's Guidelines is fed back
into the model.
However, as discussed further in Section 7.3, confidential information in the possession of the City
cannot be disclosed to the public. Only City staff, professionally qualified consultants meeting the
qualifications in Section 5, and California Native American tribes (when appropriate) may have access
to information about specific site locations and descriptions.
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More important than the purpose of this sensitivity model is acknowledgement of what this model is
not-it does not provide a predictive map of where resources are located, does not represent an
inventory of resources, and must not be used as a substitute for appropriate level of study under
applicable state and federal law.
The initial sensitivity model for the City was developed through a broad and high-level records search
and literature review, a review of geological maps and soils data, aerial photograph review, and from
professional expertise in cultural resources management efforts throughout the City. General maps
were created based on the model, which show general areas sensitive for archaeology, built
environment resources (Figure 2), and paleontology (Figure 3). In the future, tribes may elect to submit
information about areas of special concern, which may be included in the sensitivity model with their
authorization.
In accordance with Section 7.3 of these Guidelines, archaeological information is restricted from public
distribution or access under a variety of laws and regulations. Therefore, the sensitivity model for
archaeological resources has been redacted from these Guidelines and will be kept in a secure location
at the City. Only City planning staff and those qualified professionals meeting the applicable Secretary
of the Interior's Professional Qualifications will be permitted to view the information. However, the
CHRIS information centers are the primary source of archaeological information available to qualified
professionals.
6.2 Architectural History Sensitivity Model
The three types of areas depicted on Figure 3 are High Sensitivity, Moderate Sensitivity, and Low
Sensitivity for resources in the built environment.
High Sensitivity: areas shown in red in Figure 3 represent those areas that have known historic districts
and features. These include Historic Village and Barrio Neighborhoods; McClellan Palomar Airport; and
neighborhoods built before 1968 (as determined by reviewing historic aerial photographs and historic
USGS quadrangle maps).
Moderate Sensitivity: areas shown in green in Figure 3 represent those areas that can be classified
neither as high nor low, because they have not been surveyed for cultural resources or do not otherwise
fall into either the high or low categories. These include developments that were built between 1968
and 1983 (as determined by reviewing historic aerial photographs and historic USGS quadrangle
maps).
Low Sensitivity: areas shown without highlight in Figure 3 represent areas that are reflected in the files
at CHRIS for having been previously surveyed, and/or have lower frequencies of previously recorded
sites, or have recently been fully developed (as determined from historic through modern aerials), or
have no visible indication of cultural resources on aerial photographs, or are set back from major water
courses, such that the potential for cultural resources is relatively low. This includes heavily developed
areas and areas built after 1983.
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The categories presented above are considered preliminary only, and are expected to shift over time;
thus, they should be considered only for screening and are not definitive. For example, where a
property is currently situated in an area of high sensitivity, and such property is subject to the
Guidelines for identification, evaluation, and treatment of cultural resources, it will eventually be
surveyed. If the survey concludes, with agency concurrence, that there are no cultural resources located
within its boundaries, then the model would be updated by the City to reflect a lower sensitivity,
regardless if the development were to proceed; the color would change from red to green or no color.
If development of that property is delayed, the classification of low sensitivity would alert the City to
require, perhaps, a field visit to confirm ground conditions, but not necessarily a full re-survey. Also,
with the passage of time, built environment resources age and new context statements emerge, so
these resources may achieve higher sensitivity levels. Overtime, over the course of the implementation
of the Guidelines, the sensitivity model would more accurately reflect the actual inventory of cultural
resources. As such, this model will not be available in its entirety to the public, but will be utilized by
qualified City staff. However, at any time, a potential applicant for a project within the City can request
information about whether the project is located in a high, moderate, or low sensitivity area.
Knowledge of the relative sensitivity of the project location may help make a determination about
whether development, adaptive re-use or strict preservation is the appropriate land use.
6.3 Archaeological Sensitivity Model
Similar to the architectural history model presented above, the three types of areas depicted in the
sensitivity model are High Sensitivity, Moderate Sensitivity, and Low Sensitivity. These sensitivity levels
were initially developed not by actual site locations, but by the presence or absence of development,
or by existing landform.
High Sensitivity: these represent those areas that are situated in landforms that typically contain
archaeological sites, or for which signatures of cultural resources are visible from aerial photography,
or for which there is a higher concentration of previously recorded cultural resources.
Moderate Sensitivity: these represent those areas that can be classified neither as high nor low, because
they have not been surveyed for cultural resources or do not otherwise fall into either the high or low
categories.
Low Sensitivity: these areas represent areas that are either reflected in the files at CHRIS for having
been previously surveyed, and/or have lower frequencies of previously recorded sites, or have recently
been fully developed (as determined from historic through modern aerials), or have no visible
indication of cultural resources on aerial photographs, or are set back from major water courses, such
that the potential for cultural resources is relatively low. This includes heavily developed areas and
areas built after 1983.
This model will not be available to the public, but will be utilized by City staff. However, at any time, a
potential applicant for a project within the City can request information about whether the project is
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located in a high, moderate, or low sensitivity area. While the City cannot release confidential
information to the requesting party, knowledge of the relative sensitivity of the project location may
help make a determination about whether development or conservation is the appropriate land use.
The sensitivity model is also useful in suggesting the types of cultural resources that may be
encountered, which, in turn, can be used to pre-define research themes and topics. It can also be used
to develop standard treatment methods when avoidance or mitigation of significant cultural resources
is necessary.
6.4 Paleontological Sensitivity Model
The sensitivity of each rock unit in the City was determined by considering the known yield of fossils
in each geologic formation. A rank of high, moderate, or low sensitivity for paleontological resources
was based on this information. Figure 4 shows the model in its current form. Table 1 provides a
summary.
High: High sensitivity was assigned to geologic formations known to contain paleontological localities
with fossils meeting significance criteria as defined above. These formations have the highest potential
to produce unique invertebrate fossil assemblages or unique vertebrate fossil remains.
The High potential units in the City of Carlsbad are the Point Loma Formation, Santiago Formation and
some of the old paralic deposits which are equivalent to the Bay Point Formation (130,000-80,000
years old).
Moderate: Moderate sensitivity was assigned to geologic formations known to contain paleontological
localities or to represent depositional environments that should preserve fossils, but not in every
location. This is described as patchiness. These geologic formations are judged to have a strong, but
often unproven, potential for producing unique fossil remains (Demere and Walsh 1993).
The Moderate sensitivity units in the City of Carlsbad include the Lusardi Formation, Delmar Formation,
a few of the paralic deposits from the late to middle Pleistocene, the late Holocene marine beach
deposits, and the late Holocene paralic estuarine deposits.
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Table 1. Summary of Paleontological Sensitivity by Map Unit
Map Unit Description
Oa alluvial flood-plain deposits
Omb marine beach deposits
Ope paralic estuarine deposits
Oya young alluvial flood-plain deposits
Ols landslide deposits
Ooa old alluvial flood-plain deposits,
undivided
Ooa6 old alluvial flood-plain deposits, unit 6
Ooa5 old alluvial flood-plain deposits, unit 5
Oop7-8 old paralic deposits, units 7-8
Oop6-7 old paralic deposits, units 6-7
Oop6 old paralic deposits, unit 7
Oop2-4 old paralic deposits, units 2-4
Ovoa very old alluvial flood-plain deposits,
undivided
Ovop very old paralic deposits, undivided
Ovop13 very old paralic deposits, unit 13
Ovop12 very old paralic deposits, unit 12
Ovop10-11 very old paralic deposits, units 10-11
Ovop10 very old paralic deposits, unit 10
Tda Dacite Stock
Td Delmar Formation
Tsa Santiago Formation
Tt Torrey Sandstone
Kp Point Loma Formation
Kl Lusardi Formation
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Age
late Holocene
late Holocene
late Holocene
Holocene and late
Pleistocene
Holocene and Pleistocene
late to middle Pleistocene
late to middle Pleistocene
late to middle Pleistocene
late to middle Pleistocene
late to middle Pleistocene
late to middle Pleistocene
late to middle Pleistocene
middle to early
Pleistocene
middle to early
Pleistocene
middle to early
Pleistocene
middle to early
Pleistocene
middle to early
Pleistocene
middle to early
Pleistocene
Miocene
middle Eocene
middle Eocene
middle Eocene
Upper Cretaceous
Upper Cretaceous
65
High Moderate Low
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
X
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Table 1. Summary of Paleontological Sensitivity by Map Unit
Map Unit Description Age High Moderate Low
Kt Tonalite, undivided mid-Cretaceous X
Klh Leucogranodiorite of Lake Hodges mid-Cretaceous X
Mzu Metasedimentary and metavolcanic Mesozoic X rocks, undivided
Low: Low sensitivity was assigned to geologic formations that, based on their relatively young age
and/or high-energy depositional history, are judged unlikely to produce unique fossil remains. Low
resource potential formations rarely produce fossil remains of scientific significance and are considered
to have low sensitivity. However, when fossils are found in these formations, they are often very
significant additions to the geologic understanding of the area. Low resource potential and low
sensitivity is also assigned to geologic formations that are composed either of volcanoclastic (derived
from volcanic sources) or metasedimentary rocks, but that nevertheless have a limited probability for
producing fossils from certain formations at localized outcrops. Volcanoclastic rock can contain
organisms that were fossilized by being covered by ash, dust, mud, or other debris from volcanoes.
Sedimentary rocks that have been metamorphosed by head and/or pressure caused by volcanoes or
plutons are called metasedimentary. If the sedimentary rocks had paleontological resources within
them, those resources may have survived the metamorphism and still be identifiable with the
metasedimentary rock, but since the probability of this occurring is so limited, these formations are
considered to have a low sensitivity. Low resource potential and low sensitivity also applies to geologic
formations that are composed entirely of volcanic or plutonic igneous rock, such as basalt or granite,
and therefore do not have any potential for producing fossil remains. These formations have very low
paleontological resource potential; i.e. they are not sensitive.
Those formations within the City of Carlsbad with Low potential include the Pleistocene and Holocene
alluvial and flood-plain deposits, most of the paralic deposits, and the Torrey Sandstone (middle
Eocene). It would be unlikely to find paleontological resources in the metasedimenta·ry and
metavolcanic rocks, as the heat and pressure these rocks experienced would likely have destroyed any
fossil material. The volcanic units in the area, including the Dacite stock (Miocene; 23-5 Mya), and the
Cretaceous (146-65 Mya) Tonalite and Leucogranodiorite of Lake Hodges, are also in the Low potential
sensitivity and are highly unlikely to yield any paleontological resources.
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6.5 Management of the Models
The City Planning Division will periodically obtain updates to the models presented in these Guidelines.
Formal updates will be carried out by qualified professionals or with collaboration with the CHRIS, or
both; however, in the interim, the City will keep confidential records of the results of cultural resources
studies that affect the level of sensitivity on a parcel-by-parcel basis. Periodic official updates to the
sensitivity models shall not require a revision to these Guidelines; however, any subsequent revisions
may be accompanied by an update to the models. In addition, the Planning Division shall notify the
secretary to the Historic Preservation Commission upon the updating of non-confidential sensitivity
models.
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7.0 General Methods and Standards of Analysis
7.1 General Standards
There are numerous standards and guidelines that currently apply to cultural resources management.
While modifications to these standards are expected to occur over the lifetime of the Guidelines and
its individual projects, the fundamental standards for professional cultural resources management will
always apply.
These fundamental standards and guidelines include:
• CEQA and applicable sections of the CEQA Guidelines and Public Resources Code;
• Archaeological Resource Management Reports: Recommended Contents and Format
(February 1990), published by the California OHP;
• Instructions for Recording Historical Resources (March 1995), published by the OHP;
• Section 106 of the NHPA and its implementing regulations at 36 CFR Part 800;
• Standards for curation of archaeological collections in 36 CFR Part 79;
• Ethical and professional standards of the Society for California Archaeology, the Society for
American Archaeology, and the Register of Professional Archaeologists (RPA); and
• Secretary of Interior's Standards and Guidelines for the identification, evaluation, and
treatment of archaeological and historical resources as appropriate.
The following sections present the specifications for project work that meet the standards and
guidelines above. These specifications are also based on standard practice by the NPS for similar
projects. Deviation from any standards, guidelines, or work plan specifications must be approved by
the City, in consultation with applicable federal agencies, in advance of implementation.
7.2 Thresholds of Review
There are two broad types of actions that the City is responsible for: discretionary projects and
ministerial actions. Discretionary projects are those that require that the City exercise judgement or
deliberation when determining whether or not to approve a project. Because discretionary projects
can result in no approval (denial), they are subject to compliance with CEQA and, by extension, these
Guidelines.
Ministerial actions are agency decisions involving little or no judgment by City staff as to the wisdom
or manner of carrying out the project. These actions include plan checks, over-the-counter building
permit issuance, dog or business licenses, and other similar actions for which an agency official has no
ability to deny or reject the action, as long as-the subject of the action meets the pre-approved
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parameters and the required terms and conditions are met. Ministerial actions are not subject to CEQA
or to these Guidelines. Therefore, the following procedures for the identification, evaluation,
determination of effect, and mitigation of significant impacts to tribal, cultural, and paleontological
resources apply only to discretionary projects (in which the City has the ability to deny a project
through the exercise of judgment as to the wisdom or manner of carrying out the project), or to
applicable City projects not exempt under CEQA.
7 .3 Confidentiality
Maintaining confidentiality of the location and nature of archaeological sites and TC Rs is of the utmost
importance to the City. Similarly, federal and state law recognize this need. As it pertains specifically
to CEQA and these Guidelines, the City shall make best efforts to meet the following objectives in the
California Public Resources Code, which are provided herein:
"Any information, including, but not limited to, the location, description, and use of the tribal cultural
resources, that is submitted by a California Native American tribe during the environmental review
process shall not be included in the environmental document or otherwise disclosed by the lead
agency or any other public agency to the public, consistent with subdivision (r) of Section 6254 of, and
Section 6254.10 of, the Government Code, and subdivision (d) of Section 15120 of Title 14 of the
California Code of Regulations, without the prior consent of the tribe that provided the information. If
the lead agency publishes any information submitted by a California Native American tribe during the
consultation or environmental review process, that information shall be published in a confidential
appendix to the environmental document unless the tribe that provided the information consents, in
writing, to the disclosure of some or all of the information to the public. This subdivision does not
prohibit the confidential exchange of the submitted information between public agencies_ that have
lawful jurisdiction over the preparation of the environmental document" (Section 21082.3[c][l]).
"This subdivision does not prohibit the confidential exchange of information regarding tribal cultural
resources submitted by a California Native American tribe during the consultation or environmental
review process among the lead agency, the California Native American tribe, the project applicant, or
the project applicant's agent. Except as provided in subparagraph (B) or unless the California Native
American tribe providing the information consents, in writing, to public disclosure, the project
applicant or the project applicant's legal advisers, using a reasonable degree of care, shall maintain
the confidentiality of the information exchanged for the purposes of preventing looting, vandalism, or
damage to a tribal cultural resources and shall not disclose to a third party confidential information
regarding tribal cultural resources" (Section 21082.3[c][2][A]).
"This paragraph does not apply to data or information that are or become publicly available, are
already in the lawful possession of the project applicant before the provision of the information by the
California Native American tribe, are independently developed by the project applicant or the project
applicant's agents, or are lawfully obtained by the project applicant from a third party that is not the
lead agency, a California Native American tribe, or another public agency" (Section 21082.3[c][2][B]).
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"This subdivision does not affect or alter the application of subdivision (r) of Section 6254 of the
Government Code, Section 6254.10 of the Government Code, or subdivision (d) of Section 15120 of
Title 14 of the California Code of Regulations" (Section 21082.3[c][3]).
"This subdivision does not prevent a lead agency or other public agency from describing the
information in general terms in the environmental document so as to inform the public of the basis of
the lead agency's or other public agency's decision without breaching the confidentiality required by
this subdivision" (Section 21082.3[c][4]).
"Consistent with subdivision (c), the lead agency shall publish confidential information obtained from
a California Native American tribe during the consultation process in a confidential appendix to the
environmental document and shall include a general description of the information, as provided in
paragraph (4) of subdivision (c) in the environmental document for public review during the public
comment period provided pursuant to this division" (Section 21082.3[f]".
In addition, information obtained or derived from information provided by the California Historical
Resources Information System maintained by the California Office of Historic Preservation cannot be
disclosed to the public.
The California Public Records Act exempts from public disclosure the "records of Native American
graves, cemeteries, and sacred places and records of Native American places, features, and objects
described in Section 5097.9 and 5097.993 of the Public Resources Code maintained by, or in the
possession of, the Native American Heritage Commission, another state agency, or a local agency" (GC
§ 6254(r)); and "records that relate to archaeological site information and reports maintained by, or in
the possession of, the Department of Parks and Recreation, the State Historical Resources Commission,
the State Lands Commission, another state agency, or a local agency, including the records that the
agency obtains through a consultation process between a California Native American tribe and a state
or local agency" (GC § 6254.10).
Although no federal lands currently exist within the City boundaries, dissemination of archaeological
site information is also prohibited by Exemption 3 of the federal Freedom of Information Act (5 USC
5), because the disclosure of cultural resources location information is prohibited by the Archaeological
Resources Protection Act of 1979 (16 USC 470hh) and Section 304 of the NHPA. Therefore, it is also
exempted from disclosure under the Freedom of Information Act.
Therefore, in light of these requirements for confidentiality, the City shall not make publicly available
the locations of cultural and paleontological resources, and dissemination of such information will be
tightly guarded on a "need to know" basis only. Such circumstances are generally limited to City staff,
landowners of property that contain resources, and consultants and engineers who are responsible for
designing proposed projects in accordance with these Guidelines.
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8.0 Tribal Cultural Resources Procedures
Tribal cultural resources (TCR) are identified by California Native American Tribes through a
consultation process in CEQA prescribed by AB 52. In recognition of the special relationship between
the City and SLRBMI, this process, at minimum, requires consultation by the City with SLRBMI; however,
in compliance with AB 52, this does not preclude additional California Native American Tribes from
participation. No delegation of consultation authority from the City to Applicants or consultants is
provided by these Guidelines, although these parties may be asked to provide technical and
administrative support.
8.1 Tribal Outreach and Coordination
There are three regulatory mechanisms by which government-to-government consultation between
tribes and agencies may occur: Section 106 NHPA, AB 52, and SB 18. Not all three will apply for any
given project; however, the following procedures will be conducted when applicable, and
documentation of compliance with these procedures shall be kept separate.
The City of Carlsbad made a commitment to SLRBMI when it adopted City Council Policy No. 83. To
follow through on that commitment, these Guidelines contain specific additional tribal consultation
procedures that will apply to SLRBMI, in addition to their participation under the three regulatory
mechanisms, when applicable. The procedures under Notices of Exemption are not required by any of
the regulatory mechanisms listed previously, and are above and beyond what is normally required.
Because these procedures are outside of the strictly regulatory process, they are listed first.
8.1.1 Notices of Exemption
Section 15061 of the CEQA Guidelines requires that the City first consider whether or not the project
is subject to CEQA, if not exempted by statute or by category. Statutory exemptions are provided in
Article 18 of the CEQA statute, from Section 15260 to 15285 and include, but are not limited to:
• projects ongoing since 1970;
• feasibility and planning studies;
• discharge requirements;
• adoption of coastal plans and programs;
• general plan time extensions;
• financial assistance to low or moderate income housing;
• ministerial projects;
• emergency projects;
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• family day care homes;
• specified mass transit projects;
• transportation improvement and congestion management programs;
• application of coatings;
• air quality permits; and
• specifically named projects either in the CEQA guidelines (Section 15282) and CEQA statute
(Section 21080 et seq.).
Statutory exemptions under CEQA are not subject to these Guidelines.
In addition, Section 21084 of the Public Resources Code required the development of a list of classes
of projects that have been determined not to have a significant effect on the environment and are
therefore exempt from CEQA, as long as there is no exception to the exemption as specified in Section
15300.2 of the CEQA Guidelines. These categorically exempted projects currently include, but are not
limited to the following projects in Sections 15301 through 15333:
• operation, repair, maintenance, permitting, leasing, licensing, or minor alteration of existing
public or private structures, facilities, mechanical equipment, or topographical features,
involving negligible or no expansion of use;
• replacement or reconstruction of existing structures and facilities;
• new construction or conversion of small structures;
• minor alterations to land;
• minor alterations in land use limitations;
• information collection; inspections;
• loans;
• accessory structures;
• surplus government property sales;
• minor additions to schools;
• minor land divisions;
• acquisition or transfers of lands for conservation or preservation of parks, wilderness, historical
resource, or wildlife conservation;
• transfer of ownership of land in order to create parks;
• open space contracts or easements;
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• annexation of existing facilities;
• educational or training programs;
• normal operations of facilities for public gatherings;
• leasing facilities;
• small hydroelectric or cogeneration projects at existing facilities;
• some types of hazardous materials responses;
• in-fill development; and
• small areas of habitat restoration.
In accordance with Section 15300.2(f) of the CEQA Guidelines, categorical exemptions cannot be used
for a project that may cause a substantial adverse change in the significance of a historical resource or
under unusual circumstances. Because some TCRs may also meet the regulatory definition of historical
resources under CEQA, consideration of the project's effects on TCRs must be taken into consideration
before determining that a Notice of Exemption (NOE) is the appropriate CEQA document, and such
consideration will include input from the California Native American tribes. This additional
consideration (the process of which is provided below) is above and beyond what is required under
AB 52 in order to meet the spirit and intent of City Council Policy No. 83.
8.1.1.1 Procedure for Pre-NOE Consultation with SLRBMI
The City will first screen every discretionary project to determine whether or not it is categorically
exempt from CEQA and these Guidelines and does not invoke the exception to the exemption rule.
The following types of projects are expected to be categorically exempt and have no reasonable
potential to impact either historical resources or TCRs, and therefore, shall not be subject to the tribal
notifications below:
• statutory exemptions, including ministerial projects;
• subdivisions without construction;
• wireless communication projects without ground-disturbing activity;
• changes of use of existing structures and facilities without ground-disturbing activity;
• sign permits;
• Consistency Determinations;
• time extensions;
• repair, minor alteration, repaving or replacement of existing infrastructure within previously
excavated alignments, trenches or facilities; and
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• other similar projects or permits, without ground disturbing activities or occurring within
previously excavated graded areas, alignments, or trenches, as determined by the City Planner.
Some projects that are found to be eligible for Categorical Exemptions may still warrant consultation
with the SLRBMI in order to determine whether or not a NOE is the appropriate CEQA document. In
the event that the City screens a project activity, taking into consideration applicable sensitivity models,
and determines that it otherwise qualifies for a Categorical Exemption under CEQA, then no later than
14 calendar days after deeming the application complete, City shall provide written notice by email to
the SLRBMI of the intent to determine that a NOE will be prepared under CEQA. No response is
necessary from SLRBMI if the tribe has no concerns.
If the tribe has concerns, the tribe shall provide confidential comments to the city within 10 business
days of receiving the notice of intent. Upon receipt of comments from SLRBMI, within 5 calendar days
the City shall acknowledge by email or letter its receipt of the comments. The City shall review and
evaluate the comments as follows:
• to determine if the comments provide specific evidence about the presence of potential tribal
cultural resources within the project area;
• to determine if the comments provide specific information that the project may result in
potentially significant impacts to tribal cultural resources that may affect the City's ability to
utilize a Categorical Exemption;
• if the comments are provided in verbal form only, to make a reasonable and good faith effort
to interpret the comments in a way that is respectful of the tribe's concerns;
• to determine if additional consultation is warranted and would lead to important information
prior to the project, as opposed to being conducted as part of implementation of standard
unanticipated discovery measures; and
• to determine if the information presented meets the definitions and thresholds established by
AB 52.
The above shall factor into the City's determination of the appropriate CEQA document for the project,
as reflected in the CEQA determination letter prepared by the City for the project in accordance with
the timelines prescribed by the Permit Streamlining Act. The City shall copy SLRBMI on CEQA
determination letters.
If comments are received after the prescribed comment period, then the City shall evaluate those
comments, but is not obligated to halt the project review and approval process in the meantime.
Evaluation and notification of determinations following the receipt of late-arriving comments shall
follow the same procedure above.
The City may coordinate with SLRBMI and the applicant regarding potential project conditions that
may still be desirable for projects that do not meet AB 52 thresholds and warrant a NOE. However, in
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the event that the above procedure indicates that a potentially significant TCR is present as defined by
CEQA and may be adversely impacted, then the City shall not prepare a NOE, but shall undertake an
Initial Study.
8.1.2 Section 106 of the NHPA
As a non-federal lead agency, the City is not directly responsible for compliance with Section 106 of
the NHPA. However, some projects for which the City is the proponent will require federal permits,
approval, or funding assistance. The legal responsibility to consult under Section 106 falls to the federal
agency and therefore, the lead federal agency may direct the consultant otherwise; these Guidelines
are not intended to supersede federal law or agency directives. To ensure that cultural resources
investigations are compatible with the federal requirements under Section 106 and its implementing
guidelines, the qualified professional consultant may implement the following procedures, subject to
approval by the federal lead agency.
For projects subject to Section 106 of the NHPA, the City, or its designee which is likely to be the
qualified professional consultant, shall first contact the NAHC to request a search of the Sacred Lands
File and list of contacts. Upon receipt of the results, the City or its designee shall send by mail or email
a project notification letter to each contact named by the NAHC. The notification letter shall, at
minimum, include a boundary map of the project area and a brief description of the project, and the
name and contact information to whom comments should be addressed. No sooner than one week
following the delivery of the project notification letters, the City or its designee shall attempt, up to
two times, to reach each contact by phone or email to verify receipt of the project notification letter
and solicit comments. All non-written correspondence shall be documented in a log or appropriate
record of conversation, which includes both successful and non-successful attempts to contact each
individual.
Copies of the written correspondence and logs shall be forwarded by the City or designee to the
applicable federal agencies with the applicable technical report in order for the federal agency to follow
up and continue with government-to-government consultation.
8.1.3 A852
Each CEQA lead agency maintains its own file of general request letters from California Native
American tribes under AB 52. The City shall first review project applications and within 14 days of
determining that the application is deemed complete and it is ready to undertake CEQA review, it shall
notify in writing those tribes that specifically requested notification under CEQA. The tribes notified
may be different than the tribes being consulted under SB 18 or Section 106, although some overlap
may occur. For tribes that respond within 30 days with a request to consult, the City shall initiate
consultation within 30 days of receiving the written request to consult. Consultation concludes when
either the parties come to agreement on impacts to, and mitigation measures for, TCRs, or, when the
City determines, after acting in good faith and in a reasonable manner, that mutual agreement cannot
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be reached. The procedures outlined in AB 52 shall be conducted as specified in the California Public
Resources Code Sections 21074, 21080.3 et seq., 21082.3, 21083.09, and 21084.3.
8.1.4 SB 18
If a project will require a general plan or specific plan adoption or amendment, the City must comply
with SB 18, which requires local agencies, including cities and counties, to contact and consult with
California Native American tribes prior to amending or adopting a general plan or specific plan, or
designating land as open space containing Native American cultural resources. The consultation that
is conducted under SB 18 is different than that which is normally conducted in conjunction with cultural
resources studies under AB 52 or Section 106 of the NHPA. In addition, consultation under SB 18 must
be government-to-government, between the Native American community and the local agency and
in accordance with the Governor's Office of Planning and Research's Tribal Consultation Guidelines
(2005).
First, the City or its designee will obtain the list of applicable Native American tribes and organizations
to contact for SB 18 consultation for the project from the NAHC. Each listed tribe will be contacted by
letter to provide them with information about the project and ask if they wish to consult with the City.
Follow-up phone calls will be made to each group and the results of all correspondence will be
documented in a summary report. Native American consultation meetings will be conducted by City
staff.
8.2 Identification of Tribal Cultural Resources
The determination of whether or not a TCR is present in or near a project site falls to the City, in
consultation with the California Native American tribes through the AB 52 consultation process.
A TCR, defined in Section 21074 as sites, features, places, cultural landscapes, sacred places, and
objects with cultural value to a Native American tribe that are:
• Included or determined to be eligible for inclusion in the California Register of Historical
Resources;
• Included in a local register of historical resources as defined in subdivision k of Section 5010.1;
and/or
• Determined by the City to be significant, as supported by substantial evidence, including a
cultural landscape with a geographically defined boundary.
Therefore, when determining that a resource meets the definition of a TCR, the City must, through
tribal consultation, specify which of the seven aspects of integrity are present during pre-project
(current) conditions. National Register Bulletin 38 provides some guidance on establishing integrity of
Traditional Cultural Properties, which is the equivalent of TC Rs under the Section 106 process. City staff
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may also rely upon professional cultural resources consultants to assist in determining or verifying
integrity.
8.2.1 Impact Analyses and Mitigation Measures
AB 52 established that a substantial adverse change to a TCR has a significant effect on the
environment. In making this determination, the City must determine if the Project will cause a
substantial adverse change to the TCR. However, because the nature of TCRs can vary, and because
they represent a new type of resource in the CEQA process since the adoption of the original
Guidelines, and because some TCRs (particularly religious and sacred resources) may be difficult to
quantify, determining whether or not a project will significantly impact a TCR may be difficult.
Determining impacts to TCRs may initially follow the process typically used to assess impacts to
Historical Resources, which relates to integrity. Determination of impacts to TCRs must take into
account the significance ascribed to them by the California Native American tribe and may not always
parallel impact assessments for Historical Resources.
Integrity of a resource is evaluated with regard to the retention of location, design, setting, materials,
workmanship, feeling, and association [CCR Title 14, Section 4852(c)]. Impacts may be significant if the
resource is demolished or destroyed or if the characteristics that made the resource eligible are
materially impaired [CCR Title 14, Section 15064.S(a)]. Accordingly, impacts to a TCR would likely be
significant if the project negatively affects the qualities of integrity that made it significant in the first
place, as determined through consultation with the California Native American tribe.
Once the significance of that TCR has been established and further defined by one or more of those
aspects of integrity, the City must next determine whether or not the project will adversely affect
(significantly impact) those applicable aspects of integrity. In making this determination, the City
should address the aspects of integrity that are important to the TCR's significance, which were
identified by the tribal experts.
8.2.2 Preferred Treatment Options and Mitigation Measures
In the event thatthe City applies these thresholds and determines that there will be a significant impact
on a TCR, the following are preferred treatment options and mitigation measures. Some or all of these
options or measures may be required of projects, depending on the particular TCR and/or nature of
the impact.
8.2.2.1 Avoidance and Preservation
Avoidance and preservation of TCRs can only be accomplished when a legal mechanism prevents
future development and there are appropriate measures in place for long-term maintenance. For TCRs,
this may require either the recording of a deed restriction or the dedication of a conservation easement
over the resource, recorded with the County, to restrict development in perpetuity. Management of
the protected resource in perpetuity will be the responsibility of either a qualified third-party easement
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manager or the affiliated California Native American tribe. Long-term funding will be required to be
demonstrated by the project proponent in either case.
The management shall include, but is not limited to, the following measures, as deemed appropriate:
• fence and gate repair;
• sign replacement;
• regular monitoring and associated reporting by a professional archaeologist for damage;
• erosion control;
• trash removal;
• vegetation and weed control with no or minimal ground intrusiveness;
• security patrols;
• vandalism abatement; and
• removal of trespassers.
No signs indicating the presence of TCRs shall be permitted. In addition, the deed restriction or
conservation easement will be subject to negotiated conditions that restrict certain uses of the
property, depending on the nature of the resource. This will be determined in consultation with the
California Native American tribe.
The Applicant shall provide a copy of the recorded deed or conservation easement that includes the
preserved resource as proof of the restriction of future activities that could affect the integrity of the
site. Proof of compliance will typically be submitted to the City prior to ground-disturbing activities.
8.2.2.2 Dignified and Respectful Treatment
It is important that TCRs be treated with dignity and respect. The City may require as mitigation the
implementation of a Contractor Sensitivity Training Session to allow a tribal representative to instill a
sense of appropriate respect for TCRs in its construction contractors, and to educate workers about
the proper level of respect.
8.2.2.3 Repatriation
The City recommends that the landowner or project proponent (if not the City) enter into an agreement
with the applicable California Native American tribe on an appropriate reburial location on the property
for any cultural materials or human remains that may be unearthed during ground disturbing activities
during the project. The location shall be one that will not be subjected to ground disturbing activities
in the future. This location will be documented as a reinternment location by the Native American tribe,
and the tribe may file it as such with the NAHC, County, City, and the CHRIS. The site of any reburial
of Native American human remains shall be kept confidential and not be disclosed pursuant to the
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California Public Records Act, California Government Code §§ 6254.10, 6254(r). The Medical Examiner
shall also withhold public disclosure of information related to such reburials pursuant to the specific
exemption set forth in California Government Code § 6254.S(e).
8.2.2.4 Tribal Monitoring
The presence of a Native American monitor will be necessary during ground-disturbing activities that
have the potential to affect TCRs. Monitoring may be required for an entire site or portions of a site,
depending on discussions and consultation with the tribes and other information based on where
native soils occur, a site's geomorphology, geotechnical reports, prior grading plans for disturbed soils,
or other reasons. In cases where the TCR is also considered a historical resource under CEQA (i.e., it is
also significant for archaeological characteristics), then archaeological monitoring may also be
required. In other cases, where the TCR is not significant archaeologically, only a tribal monitor may be
required.
When monitoring is required to address potential impacts to TCRs, then prior to the commencement
of any ground-disturbing activities, including but not limited to exploratory geotechnical
investigations/borings for contractor bidding purposes, the project developer shall enter into a Pre-
Excavation Agreement, otherwise known as a Tribal Cultural Resources Treatment and Tribal
Monitoring Agreement, with the SLRBMI or other Luisef\o tribe. This agreement will contain provisions
to address the proper treatment of any tribal cultural resources and/or Luisef\o Native American
human remains inadvertently discovered during the course of the project. The agreement will outline
the roles and powers of the Luisef\o Native American monitors and the archaeologist, and may include
the following provisions. In some cases, the language below may be modified in consultation with
SLRBMI if special conditions warrant.
1. A Luisef\o Native American monitor shall be present during all ground disturbing activities.
Ground disturbing activities may include, but are not be limited to, archaeological studies,
geotechnical investigations, clearing, grubbing, trenching, excavation, preparation for utilities
and other infrastructure, and grading activities.
2. Any and all uncovered artifacts of Luisef\o Native American cultural importance shall be
returned to the San Luis Rey Band of Mission Indians, and/or the Most Likely Descendant, if
applicable, and not be curated, unless ordered to do so by a federal agency or a court of
competent jurisdiction.
3. The Luisef\o Native American monitor shall be present at the project's preconstruction meeting
to consult with grading and excavation contractors concerning excavation schedules and
safety issues, as well as to consult with the archaeologist PI concerning the proposed
archaeologist techniques and/or strategies for the project.
4. Luisef\o Native American monitors and archaeological monitors shall have joint authority to
temporarily divert and/or halt construction activities. If tribal cultural resources are discovered
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during construction, all earth-moving activity within and around the immediate discovery area
must be diverted until the Luiseno Native American monitor and the archaeologist can assess
the nature and significance of the find.
5. If a significant tribal cultural resource(s) and/or unique archaeological resource(s) are
discovered during ground-disturbing activities for this project, the San Luis Rey Band of
Mission Indians shall be notified and consulted regarding the respectful and dignified
treatment of those resources. Pursuant to California Public Resources Code Section 21083.2(b)
avoidance is the preferred method of preservation for archaeological and tribal cultural
resources. If, however, the Applicant is able to demonstrate that avoidance of a significant
and/or unique cultural resource is infeasible and a data recovery plan is authorized by the City
of Carlsbad as the lead agency, the San Luis Rey Band of Mission Indians shall be consulted
regarding the drafting and finalization of any such recovery plan.
6. When tribal cultural resources are discovered during the project, if the archaeologist collects
such resources, a Luiseno Native American monitor must be present during any testing or
cataloging of those resources. If the archaeologist does not collect the tribal cultural resources
that are unearthed during the ground disturbing activities, the Luiseno Native American
monitor may, at their discretion, collect said resources and provide them to the San Luis Rey
Band of Mission Indians for dignified and respectful treatment in accordance with their cuJtural
and spiritual traditions.
7. If suspected Native American human remains are encountered, California Health and Safety
Code Section 7050.5(b) states that no further disturbance shall occur until the San Diego
County Medical Examiner has made the necessary findings as to origin. Further, pursuant to
California Public Resources Code Section 5097.98(b) remains shall be left in place and free from
disturbance until a final decision as to the treatment and disposition has been made. Suspected
Native American remains shall be examined in the field and kept in a secure location at the
site. A Luiseno Native American monitor shall be present during the examination of the
remains. If the San Diego County Medical Examiner determines the remains to be Native
American, the Native American Heritage Commission (NAHC) must be contacted by the
Medical Examiner within 24 hours. The NAHC must then immediately notify the "Most Likely
Descendant" about the discovery. The Most Likely Descendant shall then make
recommendations within 48 hours, and engage in consultation concerning treatment of
remains as provided in Public Resources Code 5097.98.
8. In the event that fill material is imported into the project area, the fill shall be clean of tribal
cultural resources and documented as such. Commercial sources of fill material are already
permitted as appropriate and will be culturally sterile. If fill material is to be utilized and/or
exported from areas within the project site, then that fill material shall be analyzed and
confirmed by an archeologist and Luiseno Native American monitor that such fill material does
not contain tribal cultural resources.
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9. No testing, invasive or non-invasive, shall be permitted on any recovered tribal cultural
resources without the written permission of the SLRBMI.
10. Prior to the release of the grading bond, a monitoring report and/or evaluation report, if
appropriate, which describes the results, analysis and conclusions of the monitoring program
shall be submitted by the archaeologist, along with the Luiseno Native American monitor's
notes and comments, to the City of Carlsbad for approval. Said report shall be subject to
confidentiality as an exception to the Public Records Act and will not be available for public
distribution.
The above measures are intended as guidance for the development of an agreement, which may or
may not be accompanied by a mitigation measure in a CEQA document. Each project will be evaluated
for the presence or potential presence of TCRs individually, and when an agreement is deemed
appropriate, measures will be tailored to that specific project.
8.2.2.5 Data Recovery and Curation
TCRs can also be archaeological sites that are eligible under NRHP Criterion D / CRHR Criterion 4
because they possess information that is important in history or prehistory. In such a case, data
recovery excavations are one method of mitigating for adverse effect. Data recovery or curation, or
both, may not be appropriate for TCPs or TCRs and thus would be a last resort.
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9.0 Cultural Resources Procedures
9.1 Sensitivity Model Review
In reviewing the cultural resources sensitivity maps, the City shall first determine the sensitivity of the
project for archaeological and architectural historical resources. In the event that the project is wholly
located within an area of low sensitivity for either or both, the City shall require the applicant to retain
a professionally qualified consultant to first request a records search from the South Coastal
Information Center (SCIC) at San Diego State University. The SCIC is a clearinghouse (part of the CHRIS)
that contains previous cultural resources reports, site records, historic maps, text, and lists of historically
important sites, buildings, districts, and other locations. The SCIC results may indicate that the project
area has never been surveyed by a qualified professional. In those cases, the City shall cause the
implementation of a survey using professionally qualified consultants.
If the review of the sensitivity models reflect either moderate or high sensitivity, the City shall require
a professionally qualified consultant to be retained to carry out a records search and literature review
with SCI(, and any additional survey or evaluation that may be required based on the qualified
consultant's professional judgement.
9.2 Records Searches and Literature Reviews
All archival research conducted as part of identification efforts for a particular project area within the
boundaries of the City shall begin with a record search and literature review at the SCIC. All records
searches must be no more than one year old at the time of submission to the City.
The records search must include the project under consideration. The consultant, meeting the
applicable Professional Qualifications Standards published by the Secretary of the Interior, shall utilize
best judgment for the review of a radius around the project area.
In addition to the site records and reports on file at the SCI(, the Office of Historic Preservation's Historic
Property Data File for San Diego County (HPDF), on file at the SCIC, should be consulted to obtain an
inventory of evaluated resources from the historic period. The California Historical Resource Status
Codes (OHP 2004, plus updates) for each inventoried resource in the HPDF in the records search radius
should be consulted to determine if the resource has been determined eligible for, or listed in, the
NRHP or the CRHR.
In addition to information from the records search at the SCIC, the following sources should be
consulted, if available and appropriate:
• California Inventory of Historic Resources
• The National Register Information System
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• California Historical Landmarks
• Historic Spots in California (Kyle 2002)
• Historic GLO land patent records and plat maps available from the BLM's General Land Office
Records
• The City of Carlsbad historic resources inventory (see Policy 7-P.1 of Goal 7-G-1 of the General
Plan) or other relevant documents including but not limited to other city document inventories
and building permits, etc.
• Caltrans Bridge Local and State Inventories
• Handbook of North American Indians for lists and maps of nearby Native American villages
• Local historical societies
• Historical aerial photographs and historical maps to provide information on the past land uses
of the property and locations of historical buildings
• County Assessor records
All archival research efforts, regardless of outcome and particularly if such research failed to yield
information on cultural resources, should be documented in the technical report, including the name
of repository and any personnel assisting in the research, the date that the research was conducted,
the individual conducting the research, and what sources were consulted or reviewed.
The reporting of records search results within technical reports must include the title and author of
each report, its SCIC report number, author, and date. In addition, technical reports must include an
accounting of all previously-recorded resources within the records search radius, and whether or not
each is located within the project area. Given privacy concerns surrounding the distribution of records
search information for property that is not included in the project, the results of the records search for
the radius around the project area shall not be transmitted to the City or any third party.
As part of the identification efforts, the NAHC should be contacted to carry out a search of the Sacred
Lands File. The NAHC holds files containing information about sacred lands and other cultural
resources of importance to Native Americans. The NAHC will also provide lists of Native American
contacts that may be able to provide information about Native American cultural resources in and near
the project area, should the AB 52 process not result in tribal comment on TCRs. The list should be
forwarded to any federal agencies that will carry out Section 106 consultation.
9.3 Field Surveys
All surveys, either archaeological or for historic structures, must be conducted using the Secretary of
the Interior's standards for the identification of Historic Properties, including any future updates, and
in accordance with these Guidelines. For archaeological surveys, fieldwork must be systematic and
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pedestrian, using parallel transects no more than 15 meters apart, unless wider transect widths are
justified by the PL Vehicular, All Terrain Vehicle, or horseback surveys are not permitted for survey or
identification; however, consultants who are only using such means to transport themselves to a site
location for a site-specific investigation may utilize any method of transportation that is acceptable to
the landowner. For surveys of the built environment, typically a pedestrian survey will be conducted,
but can include combination of a vehicular survey if appropriate at the discretion of the qualified
professis:mal consultant. Field surveys are generally considered valid for five years, and a new or an
updated survey will be required for surveys older than five years. However, should a case be made to
the City that demonstrates that the ground conditions have not changed since a previous, older survey,
and that the methods used in older surveys are consistent with these guidelines, then an updated
survey may not be required.
In accordance with Council Policy No. 83, it is the City's policy that California Native American Tribes
be invited to participate in all archaeological pedestrian field surveys. Moreover, it is the City's policy
that any archaeological fieldwork that disturbs the ground shall be carried out in coordination with a
Luisef\o Native American monitor, under the following parameters. Cultural resources surveys that are
intended to inventory built environment resources only (not archaeology) are exempt from this
requirement.
• If the City is the project proponent, then the City's archaeological consultant shall provide
written proof, upon contract or task order award, that a Luisef\o Native American monitor has
been invited to participate in the archaeological pedestrian field survey, and retained in the
event that ground-disturbing archaeological fieldwork is required.
• If the City is not the project proponent but is only serving as the lead agency under CEQA, and
the proponent or property owner retains the services of an archaeologist to survey his or her
property and no documentation of outreach or participation by a Luisef\o Native American
monitor can be provided, then the archaeological inventory shall be deemed incomplete until
outreach to the tribe, and a tribal survey if requested by the tribe, is carried out. If the
proponent or property owner's archaeologist conducts archaeological fieldwork that disturbs
the ground and no documentation of participation by a Luisef\o Native American monitor can
be provided (subject to the exception below), then the archaeological inventory shall be
deemed incomplete until a tribal survey is carried out.
• In the event that a Luisef\o Native American monitor elects to not participate in the
archaeological field survey or does not report at the agreed upon time and location, then the
survey may proceed without the monitor present and the resulting technical study shall be
deemed complete with the incorporation of documentation demonstrating reasonable and
good faith effort to include a Luisef\o Native American monitor. In such a case, the tribe shall
be provided a copy of the archaeological inventory report for review and comment prior to
submittal to the City.
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Site recording shall include any physical evidence of human activities over 45 years old. Any cultural
resource that contains at least three artifacts in a 10-square-meter area or consists of one or more
features should be considered a site. Any indications of cultural presence in the project area that fail
to meet the definition of a site should be recorded as isolates or noted on a location map. Any building
that is at least 45 years of age or older warrants at least initial consideration under these Guidelines.
The PI shall exercise professional judgment when drawing site boundaries and in recording resources,
which must be justified in the technical report.
9.4 Site Records and Survey Reports
Site recording, or updates to previously recorded sites, shall be documented by the qualified
professional using the most current revision of the California OH P's DPR 523 series Historical Resources
Inventory forms following the Instructions for Recording Historical Resources (OHP 1995). Photography
and submeter GPS precision for mapping of site boundaries is strongly encouraged. All completed
DPR 523 forms should be sent by the qualified professional to the SCIC as soon as possible, so that
primary numbers and trinomials (if appropriate) can be assigned, which will then be included in the
technical reports in place of the temporary numbers assigned in the field.
Survey or inventory reports for all required archaeological surveys of a project area shall be prepared
in a manner consistent with the California OHP's Archaeological Resource Management Reports:
Recommended Contents and Format, the "Secretary of the Interior's Standards and Guidelines for
Identification" (48 FR 44720-23; NPS 1998), and the NPS's publication, "The Archeological Survey:
Methods and Uses" (1978: GPO stock #024-016-00091).
9.5 Evaluations of Significance
9.5.1 Properties Exempt from Evaluation of Eligibility
Buildings, structures, and facilities less than 45 years old at the time of study are exempt from
evaluation as modern resources, unless determined to be of exceptional significance and meet
Criterion Consideration (g) of the NRHP (A property achieving significance within the past 50 years and
is thereby subject to the guidance in National Register Bulletin 22 (Sherfy and Luce 1979, rev. 1998).
Historic archaeological sites that consist of refuse dumps containing only surface items that are less
than 45 years old are also exempt from evaluation.
9.5.2 General Methods
All evaluations of eligibility shall be conducted relative to all four of the CRHR and NRHP eligibility
criteria, regardless of the type of resource.
9.5.3 Archival Research
For historic-era archaeological sites or resources in the built environment, this may require additional
property-specific archival research, beyond that which is conducted generally during an inventory or
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survey. The research may use sources including county records, historical aerials, historical USGS
topographic maps, General Land Office (GLO) Plat maps and patent records, and assessor property
records in an attempt to gather historical property and building information relevant to the
construction and use of the building. Archival research may also be conducted to gather more detailed
property history and information regarding use of the building, architectural designs and styles, and
other history, as necessary.
9.5.4 Architectural History and Built Environment
Evaluation of eligibility of the built environment is often initiated during the inventory stage, but cannot
be completed until evaluated within its historic context. Developing a historical context generally
begins with compiling information from sources on relevant historical themes. National Register
Bulletin 15 defines a theme as "a means of organizing properties into coherent patterns based on
elements such as environment, social/ethnic groups, transportation networks, technology, or political
developments that have influenced the development of an area during one or more periods of
prehistory or history. A theme is considered significant if it can be demonstrated, through scholarly
research, to be important in American history." Historical research, scaled appropriately for the size
and nature of the undertaking, should be conducted to identify and develop the appropriate themes
to determine whether those themes are significant and to establish the context within which to assess
significance of the built environment or for archaeological resources. If a significant historic context is
identified by the qualified professional, then evaluation requires an identification of the essential
physical features -commonly referred to as "character-defining features" -that must be present to
represent the property's significance. Following procedures outlined by OHP and NPS, the qualified
professional must determine if the character-defining features are visible enough to convey their
significance, often through a comparison of archival materials or similar properties elsewhere;
determine which aspects of integrity are particularly important to the property and if they are present;
and, if present, with what period of significance the resource is associated.
9.5.5 Historic Districts
As described in Section 2.0, a district is "a significant concentration, linkage, or continuity of sites
important in history or prehistory" by plan or by physical development (Keller and Keller, n.d.; OHP
1995). When determining whether or not a district is present, consideration must be paid to whether
or not individual buildings or sites contribute to the significance of the district as a whole. Contributing
elements are those that possess some aspect that the significance or historic theme, such as a common
architectural style. Non-contributing elements may be associated with the period of significance of the
district, but may be minor or heavily remodeled such that they fail to convey the significance of the
district as a whole. Elements may or may not also be individually significant.
9.5.6 Archaeological Excavation
In all cases where evaluation of eligibility of cultural resources cannot be ascertained from survey-level
data alone, and archaeological testing is necessary, the PI, in consultation with the Luisef\o Native
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American monitor, shall prepare and implement a testing program to guide evaluation of cultural
resources using research themes and questions, as presented below. The testing program should be
consistent with the "Secretary of the Interior's Standards and Guidelines for Evaluation" (48 FR 44723-
26; NPS 1998).
Prior to the initiation of subsurface excavation, the PI shall review utility maps, when appropriate, to
determine what areas lack subsurface integrity due to utility trenches or past earth-moving activities.
The PI shall utilize Underground Service Alert (USA) North services (http://www.usanorth.org/; 1-800-
227-2600) to assist in the identification of subsurface utility lines, in accordance with state law.
Any archaeological testing shall be limited to disturbing no more than 5 percent of the surface area of
the resource or four cubic meters, whichever is less. No complete (100 percent) surface collections are
allowed under these Guidelines for evaluations of eligibility in order to avoid a significant effect during
testing. Suggested subsurface testing methods include shovel test pits (STPs) or auguring placed
systematically across the site and one by one meter excavation units. Testing must proceed downward
until either culturally-sterile soil is encountered, or, if possible, the maximum depth of project
disturbance is reached, so that the full extent of impacts is understood early. If the full extent cannot
be tested for any reason, then monitoring may be required during ground-disturbance. Even after
testing, if new deposits are found, previously unknown during testing, then unanticipated discovery
measures would apply.
The following documentation should be prepared during all excavation work: (1) general site
photographs taken before, during, and at the completion of excavation work; (2) photographs of at
least one wall of every excavation unit and all features; (3) excavation records and field notes for each
unit, level, and feature; (4) individual feature records; (5) scale profile drawings of unit walls with
associated Munsell soil color readings; and (6) photograph record forms, field catalog forms, and
sample artifact catalog forms (may be combined with field catalog forms).
9.5. 7 Research Topics and Questions for Archaeological Sites
The significance of a historic property can be assessed only when it is evaluated within its historic
context. Developing a historical context generally begins with compiling information from sources on
relevant historical themes. National Register Bulletin 15 defines a theme as "a means of organizing
properties into coherent patterns based on elements such as environment, social/ethnic groups,
transportation networks, technology, or political developments that have influenced the development
of an area during one or more periods of prehistory or history. A theme is considered significant if it
can be demonstrated, through scholarly research, to be important in American history." Historical
research, scaled appropriately for the size and nature of the undertaking, should be conducted to
identify and develop the appropriate themes to determine whether those themes are significant and
to establish the context within which to assess significance of the built environment or for
archaeological resources.
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The California OHP requires the use of a research design that "should present important research
questions recognized for the region and relevant to the study, based on previous research" (OHP
1989:9). Research questions serve to guide research methods and to assess the potential for the
recovery of scientifically valid data, ethnographic background, or oral history that are likely to satisfy
any of the four CRHR and NRHP criteria. Sources of data sought in the evaluations of eligibility shall
be selected by the PI, using professional judgment, as appropriate for the nature and type of the
resource being evaluated and may vary according to criterion and resource. Sources may include, but
are not limited to: archaeological data; architectural style; records, maps, and historical accounts in the
archival record; oral history information; ethnographic and prehistoric contexts, and comments from
California Native American Tribes. Comments from tribes can only be included in the consultation and
administrative record if express permission has been granted by the commenting tribe. For
documentation of compliance with AB 52 or SB 18, the City may contain a confidential (non-public)
administrative record of tribal comments, when such comments have been identified by the tribe as
being restricted from public distribution.
Following are examples of research themes and questions; however, the PI will utilize professional
judgement in developing the research design that is appropriate for the resource being evaluated.
Research themes and questions may be suggested by consulting tribes and shall be taken into
consideration during the testing. In the event that testing is not supported, then evaluations of
eligibility shall utilize all other available data and may result in an assumption of eligibility for the
purpose of the project only.
Prehistoric Sites
Research topics for the prehistoric sites in the project area include activities and site function, internal
site organization, subsistence patterns, and chronology and temporal patterning.
Activities and Site Function. Collecting site function and activities data is an important research theme
in regard to explaining the past. Cultural material and feature data could explain the relationship
between humans and their environment. Research questions could include:
• Is there a full range of activities represented, such as would be characteristic of a habitation
site, or is there only a limited set of activities characteristic of a location? For example, are
activities limited to resource procurement, or do they represent more permanent occupation?
• Is there evidence of flaked stone tool use?
• Is there evidence of flaked stone tool manufacturing?
• Is there evidence of food processing?
• Is there evidence of food preparation and cooking?
• Is there evidence of overnight stays?
• Is there evidence for flaked stone tool production and what techniques were used?
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• Is there evidence for ceremonial activity?
• Do the site activities suggest a contribution to broad settlement patterns or mobility patterns?
Data requirements to address these questions include tools classified functionally and debitage
classified technologically. If subsurface features (hearths, ovens) are present, the type and number of
features will also help address these questions.
Internal Site Organization. Habitation sites are often composed of features that can be ascribed to
living, food processing, refuse, religion or ceremonial functions, and many other aspects of prehistoric
society. Identification of such features, and analysis of the internal site organization, can give insight
into the social organization. Pertinent research questions could include:
• Are there distinct manufacturing, processing, food preparation, or ceremonial areas within the
site?
• Were male and female activities conducted in different areas of a site?
• If bedrock milling features are present, are distinct activity areas associated with each outcrop
containing bedrock milling features, or was a single activity area used by everyone using any
of the bedrock milling features at the site?
• Does the arrangement of the features within the site suggest a broader prehistoric community
design or sense of planning?
Data requirements include maps of the spatial distribution of tools, debitage, subsistence remains, and
features. If the site is small and there are few categories that do not vary spatially, this domain cannot
be addressed.
Subsistence Patterns. How prehistoric populations acquired food and water is a fundamental question
studied by archaeology. While reflections of subsistence patterns are found in various features within
habitation sites, such as hearths and midden deposits, reconstruction of subsistence systems often
require information from multiple sites. These kinds of patterns may be indicative of eligibility under
NRHP Criterion A or CRHR Criterion 1. Research questions could include:
• Where were the food procurement locations utilized by the occupants of the site?
• What resources were brought to the sites, and were they processed, prepared, or consumed
at the site?
• Is there evidence for specialization or intensification of resource use?
• Are subsistence strategies narrowly focused on a few resources, or are they broad-based?
• Do subsistence strategies change through time?
• Can changes in the natural or cultural environment account for change?
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• Do the site activities suggest a contribution to broad subsistence patterns or mobility patterns?
Specialization would be indicated by large numbers of the remains of a few species. Intensification
would be indicated by reliance on resources that require greater amounts of labor to procure or
process. Data categories necessary to address these questions include fauna! remains, protein and
blood residue analysis, artifact use-wear analysis, and landscape-site associations.
Chronology and Temporal Patterning. In order for archaeologists to study cultural similarities and
differences in cultures of the past, they must first put sites in temporal order. Patterns may be indicative
of eligibility under NRHP Criterion A or CRHR Criterion 1. Research questions could include:
• Can the site be assigned to a particular period, complex, or phase?
• Were the sites used at the same time as other nearby sites or sequentially?
• Were the sites used continuously for a short or long period of time?
• Were there periods of time when the sites were not used (continuous occupation or periodic
abandonment)?
• What portions of local chronological sequences are represented by cultural resources in the
project area?
• What are the chronological ranges for particular projectile point types?
• Can we identify chronological patterns in lithic raw material procurement practices or flaking
technologies? If so, can these be used to date sites lacking other diagnostic artifacts?
• Do significant correlations exist between the timing of climatic shifts and technological
innovations?
• Do the sites suggest a contribution to broad cultural change?
Chronological dating of sites often relies on the presence of subsurface material rather than surface
material alone. Substantial subsurface material combined with a necessary degree of site integrity and
preservation may aid in the dating of the archaeological site. Sites most likely to contribute to this
theme include habitation sites that may contain thermal features, refuse deposits, and stratified
middens. These sites may contain stone artifacts, such as projectile points, with temporally indicative
stylistic characteristics. Also, charcoal, animal bone, and shell may be dated by radiocarbon assay. Some
indication of the time range (relative dating) for obsidian artifacts may be obtained from measurement
of obsidian hydration rinds.
Trade and Exchange. Archaeological information about trade and exchange comes mostly from exotic
lithic and shell materials. These are materials with no known local source that must have been obtained
from elsewhere through trade or exchange. Research questions could include:
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• What inferences about mode of exchange can be made between the site area and the source
area(s)?
• Do exotic artifacts present at the site reflect inter-tribal relationships or broad patterns of
mobility or settlement?
Historic Archaeological Sites
Material from rural archaeological sites from the nineteenth and early twentieth centuries can provide
information about the developing domestic economy of farmsteads and ranches, changes in socio-
economic status, and changes in the spatial organization of activities within the farmstead. Early
settlers may have been relatively self-sufficient, producing most food for their own consumption on
the farm. Over time they may have increasingly participated in the developing market economy,
exchanging their agricultural products for manufactured goods obtained from towns. Some
farmers/ranchers may have specialized in a single crop or product and ceased to produce food for
domestic consumption, obtaining all food from stores in the nearest town. The socio-economic status
of rural residents may also have changed, based on increased access to markets for their agricultural
products and changing commodity prices. By about 1920, most rural residents fully participated in the
national economic system and agriculture had become mechanized. For the period after about 1920,
there is little information that historical archaeology can provide about rural ranching and farming that
is not already known from historical sources.
Research topics could include:
• Self-sufficiency versus participation in a market economy. Were food and household items
produced on the farm or obtained from local, regional, or national sources? Did the degree of
self-sufficiency decrease over time?
• Socio-economic status. What was the socio-economic status of rural residents, as reflected in
material possessions? Did socio-economic status change over time?
• Organization of activities. What was the spatial organization of activities within the farmstead
and did this change over time in conjunction with increased production for the market?
More specific research questions should be developed based on the historic context for the resource
being evaluated.
Data categories necessary to address the research topics and questions include artifacts from before
1920 classified functionally. Technological attributes will provide a date range. Features, such as
foundations, wells, privies, pits, walls, and fences will provide information on the organization of
activities.
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9.5.8 Evaluation Reports
Evaluation reports for archaeological sites will provide a prehistoric or historic context for the
resource(s) evaluated, the methods employed, the results of archival research, the results of subsurface
testing, and an evaluation of the resource using all four NRHP and CRHR eligibility criteria. Note that
tribal consultation by the agency may be required in order to complete the evaluations, and so any
partial evaluations advanced by consultants during pre-project planning studies must clearly identify
any resources that require consultation to complete.
9.6 Impact Analyses and Mitigation Measures
9.6.1 Thresholds
In the event that any cultural resources are found to be eligible for either the CRHR or NRHP or both
(hereafter, "eligible cultural resources"), then an impact assessment must be conducted, as described
below. Assessment of impacts to non-eligible cultural resources, as required by CEQA (unique
archaeological resources) and NEPA will be addressed separately by the project's CEQA and NEPA
documentation.
As discussed in Section 3, the determination of whether or not a historical resource under CEQA will
be significantly affected by a project parallels the comparable process under federal law. A significant
impact under CEQA, or an adverse effect under Section 106, occurs when a project may alter, directly
or indirectly, any of the characteristics of a resource that negatively affect its significance. These include
reasonably foreseeable effects caused by the project, or those that may occur later in time or those
that may be cumulative. Examples of adverse effects include, but are not limited to: physical destruction
or damage to all or part of the property; alteration, restoration, rehabilitation, repair, maintenance,
stabilization, or remediation; removal of the property from its historic location; change of the character
or physical features; introduction of visual, atmospheric, or audible elements; neglect; or transfer, lease,
or sale out of federal ownership (36 CFR 800.5[a][2] et seq.).
It is important to be specific as to the effect that will occur to the resource. This will assist in the
determination of impact significance and, if warranted, the measures that are appropriate to mitigate
the impact. Adverse effects on historic properties include, but are not limited to:
(i) Physical destruction of or damage to all or part of the property;
(ii) Alteration of a property, including restoration, rehabilitation, repair, maintenance,
stabilization, hazardous material remediation, and provision of handicapped access,
that is not consistent with the SOI's standards for the treatment of historic properties
(36 CFR part 68) and applicable guidelines;
(iii) Removal of the property from its historic location;
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(iv) Change of the character of the property's use or of physical features within the
property's setting that contribute to its historic significance;
(v) Introduction of visual, atmospheric or audible elements that diminish the integrity of
the property's significant historic features;
(vi) Neglect of a property which causes its deterioration, except where such neglect and
deterioration are recognized qualities of a property of religious and cultural
significance to an Indian tribe or Native Hawaiian organization; and
(vii) Transfer, lease, or sale of property out of Federal ownership or control without
adequate and legally enforceable restrictions or conditions to ensure long-term
preservation of the property's historic significance.
In addition, impacts to a Historical Resource (as defined by CEQA) are significant if the resource is
demolished or destroyed or if the characteristics that made the resource eligible are materially
impaired [CCR Title 14, Section 15064.S(a)].
Therefore, the PI, in consultation with the City, project applicant, and, if applicable, SLRBMI or California
Native American Tribes, shall determine whether or not the project will have a significant impact on a
cultural resource. This determination may be combined with an evaluation of eligibility report if
sufficient information exists for the PI to make a determination of effect.
For the purpose of these Guidelines, there are three categories of measures: Standard Conditions (for
complete avoidance and preservation); Standard Treatment Measures (agreed-upon mitigation that
will minimize or mitigate adverse effect without further review); and Non-Standard Treatment
Measures (for other mitigation measures that are atypical, require phased implementation, or are
otherwise not accounted for herein). The findings are summarized below and the following section
provides details of each condition.
• If there are eligible cultural resources within the project area that will not be affected by the
project because the criteria for adverse effect are not met, then the report shall specify a finding
of "No Adverse Effect to Historic Properties" for Section 106 and/or "No Significant Impact to
Historical Resources" under CEQA. The CEQA document findings would be "Less Than
Significant Impact to Historical Resources."
• If there are eligible cultural resources within the project area that will not be affected by the
project because of the incorporation of Standard Conditions presented in the following
section, then the report shall specify a finding of "No Adverse Effect to Historic Properties, with
Standard Conditions" and/or "No Significant Impact to Historical Resources, with Standard
Conditions." This finding applies only to complete avoidance and preservation of eligible
resources. The standard conditions must be included in the CEQA document as mitigation
measures or conditions of approval. The CEQA document findings would be "Less Than
Significant Impact with Mitigation Measures Incorporated."
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• If there are eligible cultural resources within the project area that will be adversely affected by
the project and the Applicant has determined that one or more of the Standard Treatment
Measures provided in the following section will minimize or mitigate adverse effect, then the
report shall specify a finding of "Adverse Effect to Historic Properties, with Standard Treatment
Measures" and/or "Significant Impact to Historical Resources, with Standard Treatment
Measures." The standard treatment measures must be included in the CEQA document as
mitigation measures or conditions of approval. The CEQA document findings would also be
"Less Than Significant Impact with Mitigation Measures Incorporated."
• If there are eligible cultural resources within the project area that will be adversely affected by
the project, and the Applicant has determined that non-standard treatment measures are
required to minimize or mitigate adverse effect, then the report shall specify a finding of
"Adverse Effect to Historic Properties, with Non-Standard Treatment Measures" and/or
"Significant Impact to Historical Resources, with Non-Standard Treatment Measures." A
treatment plan must be prepared to specify the non-standard mitigation, phased mitigation,
or other circumstances not accounted for in the standard treatment measures. The CEQA
document findings would also be "Less Than Significant Impact with Mitigation Measures
Incorporated."
9.6.2 Preferred Treatment Options and Mitigation Measures
9.6.2.1 Standard Treatment Measures
Avoidance is the preferred treatment method for all eligible cultural resources, including
archaeological sites, TCPs, TCRs, historic structures, and ethnographic landscapes. The project
proponent for a specific project area must consider redesigning the development project to avoid
adverse effects to resources. This could include converting a lot that had been planned for residential
development to open space designation or redesigning a road to curve around a Historic Property.
However, not all eligible cultural resources can be avoided; if such redesign is not feasible, then the
Applicant may be asked to justify why that is the case prior to project approval or permit issuance, and
this may require additional consultation with interested parties and California Native American Tribes.
Standard Treatment 1: Conservation Easement
Avoidance and preservation of eligible cultural resources can only be accomplished when a legal
mechanism prevents future development and there are appropriate measures in place for long-term
maintenance. For archaeological resources on privately owned property, this will require the dedication
of a conservation easement over the site, recorded with the County, to restrict development in
perpetuity. The easement may be held either by the City, the County, a non-profit corporation, or a
California Native American tribe, as long as the land owner and the easement holder are not the same.
For archaeological resources on City-owned property, this will require the placement of a deed
restriction and incorporation into the appropriate City department's operations and management plan
(O&M Plan). For archaeological resources within public rights-of-way or under roadways, where a legal
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encumbrance is not possible, then the City Planning Division shall note the confidential location both
on the archaeological sensitivity model and in a confidential section of the project's file, and all future
projects in that location shall be subject to additional tribal consultation prior to ground disturbance.
Management of the preserved site will be the responsibility of a qualified third-party preserve manager
(which also may be the City, the County, a non-profit corporation, or a California Native American tribe)
and in accordance with the applicable O&M Plan with sufficient long-term funding. Management shall
include but is not limited to the following measures, as deemed appropriate: fence and gate repair;
sign replacement; regular monitoring and associated reporting by a professional archaeologist for
damage; erosion control; trash removal; vegetation and weed control; security patrols; vandalism
abatement; and removal of trespassers. No signs indicating the presence of tribal cultural resources
shall be permitted. In addition, the following activities are prohibited within the boundaries of
preserved sites, unless otherwise agreed to by SLRBMI, even if such activities are permissible in other
areas of larger biological or open space preserves, within which the site may be located):
• Unseasonable watering; use of fertilizers, pesticides, biocides, herbicides or other agricultural
chemicals
• Use of off-road vehicles and use of other motorized vehicles except on existing roadways
• Agricultural cultivation activity of any kind
• Recreational activities, including, but not limited to, camping, with the exception of the use of
a pedestrian trail adjacent to the site boundaries
• Construction, reconstruction, erecting or placement of any building, billboard or sign (except
for that which is designed to keep the public out), or any other structure or improvement
• Depositing or accumulation of soil, trash, ashes, refuse, waste, bio-solids or any other materials
• Lighting fires, incendiary devices, or flammable substances
• Planting, introduction or dispersal of nonnative or exotic plant or animal species (animal
grazing is permitted for fire control)
• Filling, dumping, excavating, draining, dredging, mining, drilling, removing or exploring for or
extracting artifacts, minerals, loam, soil, sand, gravel, rock or other material on or below the
surface of the sites, or granting or authorizing surface entry for any of these purposes
• Altering the surface or general topography of the sites, including but not limited to any
alterations to habitat, building roads or trails, over paving or otherwise covering the sites with
concrete, asphalt or any other impervious material, except for capping as described below or
another form of capping with no objection from SLRBMI
• Removing, destroying, or cutting of trees, shrubs, or other vegetation, except as required by
law for fire control and prevention or treatment of disease
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• Mechanical or chemical weed abatement activities (hand and grazing methods are acceptable)
• Manipulating, impounding or altering any natural water course, body of water or water
circulation on the sites, and any activities or uses detrimental to water quality, including but
not limited to degradation or pollution of any surface or sub-surface waters
• Engaging in any use or activity that may violate, or may fail to comply with, relevant federal,
state, or local laws, regulations, permit conditions, or applicable policies
Conservation Easements may also be used to preserve resources of the built environment, and the
terms and limitations of such easements will need to reflect the type of resources being preserved.
The Applicant shall provide a copy of the recorded Conservation Easement as proof of the restriction
of future activities that could affect the integrity of the site. Proof of compliance must be submitted to
the City Planner, or city project manager for a city project, in accordance with the schedule that was
agreed upon through consultation.
If avoidance and preservation of eligible cultural resources is not possible, then implementing one of
the following Standard Treatment Measures may minimize or mitigate adverse effects. If a project will
implement one or more of these measures without modification (except where allowed, below), and
the agencies determine that no other mitigation is necessary, then the standard treatment measures
will become mitigation measures or conditions of approval without the need for developing a separate
treatment plan.
In this case, the determination of effect must be explicit about the site-specific requirements for each
treatment measure, include a schedule for implementation relative to pre-construction, construction,
and post-construction phases, and provide the means by which proof of compliance will be provided.
If the City concludes that enough modifications to the measures have occurred that change the
following pre-approved measures in a manner than could alter the purposes for which they are
intended, then a separate treatment plan may be required to negotiate Non-Standard Treatment
Measures.
Standard Treatment 2: Capping
In certain cases, the use of capping with natural materials will be desirable as a supplement to a
conservation easement. This could include sites that are located in highly visible areas where public
access could otherwise present a risk to the preservation of the site, where existing topography or
future grade differentials could cause erosion and stabilization issues, or where there is not sufficient
horizontal separation from project activities, but that vertical separation could be achievable. In these
scenarios, the use of capping with soil, vegetation, and/or geotextile fabric may be preferred over
complete exposure of the site. Figure 5 illustrates this in concept Exceptions to these guidelines can
be negotiated in consultation with all parties.
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Where capping is considered an appropriate treatment measure, the following guidelines will be
employed:
• The thickness of the soil cap must take into consideration the size and shape of the site,
particularly the elevation of above-surface features like bedrock outcrops.
• The methods used to cap the resource must be designed to avoid damage to the resource
during the process of installing the cap (such as prohibition of heavy equipment during
installation).
• Caps may be covered with vegetation (without invasive root systems) to discourage erosion
and unauthorized digging.
• No buildings or structures shall be placed on top of the cap.
• Non-motorized pedestrian paths may be placed over the cap, but only when constructed of
natural materials such as bark or pea gravel (i.e., no pavement, brick, imported stone) and only
when the entire site is capped by at least 18 inches of soil.
• No signage to indicate the location of a site beneath the cap shall be installed.
• Design and final implementation of the capping plan will be developed and monitored by a
qualified professional archaeologist and Native American monitor, when appropriate.
• The area subject to capping must be legally restricted from future development, in perpetuity
(with a conservation easement or documented in accordance with Standard Treatment #1
above if located within public rights-of-way); however, long-term management can be scaled
accordingly.
• As appropriate, the capping should include a combination of layers of culturally-sterile and
chemically-compatible soil of different colors and/or the layering of cyclone, chain link, or
orange barrier fencing to discourage digging.
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Standard Treatment 5: Construction Monitoring
Monitoring by a qualified professional archaeologist, Native American monitor, and/or tribal
representative shall only be used after reasonable and good-faith efforts, as determined by the City
and through consultation, have been made to identify eligible cultural resources or significant tribal
cultural resources prior to project approval. Monitoring can also be used to ensure avoidance of
eligible cultural resources or significant tribal resources during ground-disturbing activities.
Monitoring is appropriate in the following circumstances (and shall follow the requirements and
provisions of Section 8.2.2.4 when tribal cultural resources are involved):
• when buried archaeological or known or potential tribal cultural resources are likely in the
vicinity, but their specific location is unknown;
• when ground-disturbing activities will come within 100 feet of a recorded non-tribal eligible
cultural resource;
• When within, or within close proximity to, a known or potential TCR;
• when installing or verifying the placement and integrity of temporary exclusionary (orange
barrier or silk) fencing around resources that must be avoided; and/or
• when "pioneering" (breaking ground for) temporary/preliminary access roads for geotechnical
trenching or boring.
Monitoring is considered a last resort to minimizing or mitigating adverse effects and is not the default
treatment for all projects. Any monitoring required must be justified and balanced by a reporting
schedule.
Should the City determine that monitoring is not an appropriate mitigation, then the City, with
permission from the landowner, may extend an opportunity to members of the public or consulting
parties to visit the project during construction on a volunteer basis, provided that the visitors receive
safety training and sign liability release waivers. The City shall not have the authority to grant property
access to private property over the objections of the landowner.
Standard Treatment 6: HABS/HAER/HALS-Like Documentation
The Historic American Building Survey (HABS), Historic American Engineering Record (HAER), and
Historic American Landscape Survey (HALS) programs are administered by the NPS, in consultation
with the federal agency and SHPO. These programs provide documentation for eligible buildings and
structures. For the purpose of these Guidelines, federal agencies, NPS, and SHPO are not involved;
however, documentation comparable with this program may be utilized. It should be noted that this
documentation does not mitigate certain impacts to CEQA-defined Historical Resources to a less-than-
significant level.
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Standard Treatment 7: CC&Rs
The collecting, digging, disturbance, or removal of any artifact or other prehistoric or historic object
located in an open space area, conservation easement, a lot subject to a deed restriction, or to any
archaeological site or Historic Property that may become unearthed in the future, is prohibited.
Notification of such restrictions shall be included in a restrictive type of covenant recorded on each
parcel. Homeowners shall not be provided the locations of known cultural resources and
archaeological sites, as these are confidential and restricted from public dissemination under state and
federal law. A copy of the recorded covenant shall be provided to the City as proof of compliance.
Standard Treatment 8: Tribal Access Agreements
Upon transfer to the holder of any portion of a conservation easement that is intended to preserve
confidential Native American or tribal resources, and upon request from a federally recognized and/or
California Native American tribe to gain access to the tribal resource for visitation, the City shall
develop a right-of-access authorization for requesting tribes, in cooperation with the landowner. The
authorization shall specify the terms under which tribal access can be legally achieved and shall define
the acceptable and prohibited uses thereof, and appropriate liability waivers. Use of this Standard
Treatment Measure cannot occur over the objection of the private landowner, if applicable.
Standard Treatment 9: Contractor Awareness Training
There always remains a possibility that unanticipated discoveries may occur during project
construction. For this reason, an archaeological sensitivity training program (Contractor Awareness
Training) will be developed and delivered by a qualified professional archaeologist during a pre-
construction meeting for construction supervisors prior to beginning any ground-disturbing work in
the project. The sensitivity training program will provide information about notification procedures
when potential archaeological material is discovered, procedures for coordination between
construction personnel and monitoring personnel, and information about other treatment or issues
that may arise if cultural resources (including human remains) are discovered during project
construction. This protocol shall be communicated to all new construction personnel during
orientation, prior to the employee beginning ground-disturbing work on the project, and on a poster
that is placed in a visible location inside the construction job trailer.
Standard Treatment 10: Controlled Grading Procedures
A program of controlled grading may be implemented during the excavation of soil that is identified
as part of a prehistoric cultural deposit at a particular location. Controlled grading is a method
employed to peel away layers of soil to reveal cultural materials in a manner that significantly enhances
the opportunity to identify and understand the relationship of artifacts and features within a prehistoric
site. Controlled grading will not be required for soil that is identified as non-cultural formational soil
or fill dirt imported to the site. The determination of the transition from cultural soil to formational soil
will be made jointly by the project archaeological consultant, the Native American representative, and
the project geologist, if applicable.
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Controlled grading will involve use of a small piece of equipment or a road grader to peel away native
soil using shallow cuts made in approximately five-inch-deep layers. The grading equipment will push
the shallow cuts of soil to the outside of the cultural deposit area. This deposited soil may be sampled
and screened to ensure adequate detection of any cultural materials that may be present. The project
archaeologist and Native American representative will direct the controlled grading process, including
the pace of the grading and the depth of layers to be removed. The potential exists that discoveries
may temporarily suspend the controlled grading process if significant discoveries are made that
require focused archaeological excavations.
As successive layers of the prehistoric site are exposed, any cultural features or artifact concentrations
that are exposed and identified will be excavated as part of the data recovery program. In the event
that a human burial or human remains are exposed, the protocol stated in the data recovery program
will be implemented. The archaeological monitor and Native American monitor will follow closely
behind the grading equipment and mark any cultural material with pin flags. Each artifact will be
recorded to provide horizontal and vertical locational data. If no cultural deposits are encountered, the
road grader will continue to make passes until one of two conditions are met (whichever occurs first):
Grading will continue to a depth of 30 centimeters below the depth of any recorded artifacts,
suggesting an end to the potential for cultural deposits, or
Non-cultural formational soils are encountered that predate any human occupation of this
location.
Once the cultural deposit has been completely removed, the controlled grading process will be
terminated and mass grading may proceed.
Standard Treatment 11: Post-Review Discoveries
There always remains the potential for ground-disturbing activities to expose previously unrecorded
cultural resources, even for phases that do not have known resources present. If subsurface deposits
believed to be cultural or human in origin are discovered during construction, then all work must halt
within a 100-foot radius of the discovery and the following procedures apply.
A qualified professional archaeologist, meeting the Secretary of the Interior's Professional Qualification
Standards for prehistoric and historic archaeologist, shall be retained to evaluate the significance of
the find, and shall have the authority to modify the no-work radius as appropriate, using professional
judgment and in consultation with the Luisefio Native American monitor. The following notifications
shall apply, depending on the nature of the find:
• If the professional archaeologist, in consultation with the Luisefio Native American monitor,
determines that the find does not represent a cultural resource, then work may resume
immediately and no agency notifications are required.
• If the professional archaeologist, in consultation with the Luisefio Native American monitor,
determines that the find does represent a cultural resource from any time period or cultural
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affiliation, then he or she shall immediately notify the City and applicable landowner. The City
shall consult with the other permitting agencies, if applicable, and the San Luis Rey Band of
Mission Indians on a finding of eligibility and implement appropriate treatment measures, if
the find is determined to be eligible for inclusion in the NRHP or CRHR. Work cannot resume
within the no-work radius until the City, through consultation as appropriate, determines that
the site either: 1) is not eligible for the NRHP or CRHR; or 2) that the treatment measures have
been completed to their satisfaction.
• If the find includes human remains, or remains that are potentially human, then he or she shall
ensure reasonable protection measures are taken to protect the discovery from disturbance
(AB 2641). The archaeologist shall notify the San Diego County Medical Examiner (per Section
7050.5 of the Health and Safety Code). The provisions of Section 7050.5 of the California Health
and Safety Code, Section 5097.98 of the California Public Resources Code, and Assembly Bill
2641 will be implemented. If the Medical Examiner determines the remains are Native
American and not the result of a crime scene, then the Medical Examiner will notify the Native
American Heritage Commission, which then will designate a Native American Most Likely
Descendant (MLD) for the project (Section 5097.98 of the Public Resources Code). The
designated MLD will have 48 hours from the time access to the property is granted to make
recommendations concerning treatment of the remains. Further, pursuant to California Public
Resources Code Section 5097.98(b) remains shall be left in place and free from disturbance
until a final decision as to the treatment and disposition has been made. If the landowner does
not agree with the recommendations of the MLD, then the NAHC can mediate (Section 5097.94
of the Public Resources Code). If no agreement is reached, the landowner must rebury the
remains where they will not be further disturbed (Section 5097.98 of the Public Resources
Code). This will also include either recording the site with the NAHC or the appropriate
Information Center; using an open space zoning designation or conservation easement as
appropriate; and/or recording a reinterment document with the County in which the property
is located (AB 2641). Work cannot resume within the no-work radius until the lead agencies,
through consultation as appropriate, determine that the treatment measures have been
completed to their satisfaction.
Non-Standard Treatment Measures
Based on the number and type of resources within a project, or based on the construction timing of
the project, there may be a need to develop and negotiate certain types of mitigation that are not
provided for above. These may be alternate ways of resolving adverse effect (e.g., Section 6.3.1, below),
or may require the phased implementation of mitigation measures for long-term buildout.
Compensatory mitigation (such as the analysis and proper curation of pre-existing artifact collections)
is one such measure; however, in recognizing that no two cultural resources are the same, care must
be taken to ensure that such a mitigation, if entertained, actually mitigates the impacts caused by a
project.
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In such circumstances where a non-standard treatment measure is considered, the Applicant shall
propose mitigation measures in a treatment plan that is submitted to the City for review and
consultation with the other applicable agencies and tribes.
9.7 Curation
Should permanent curation be necessary (such as for curation of historic-era archaeological artifacts),
archaeological specimens, including their associated documentation (i.e., field notes, photographs,
maps, and all environmental materials such as pollen, soils, sediments, bone, and shell) shall be curated
using the standards set out in 36 CFR Part 79 to the greatest extent that facilities in southern California
meet such standards. The San Diego Archaeological Center is the preferred location for curated
collections of historic (non-Native American) artifacts and prehistoric artifacts that are not claimed by
a culturally and traditionally affiliated California Native American tribe. Other curation facilities may
become available in the future. Approval for the use of alternate facilities is at the discretion of the
City, in consultation with the applicable federal agencies and SHPO.
Native American human remains, grave goods, items of cultural patrimony, and sacred objects
encountered during the undertaking that are located on state or private land shall be treated in
accordance with the requirements of Section 7050.5 of the California State Health and Safety Code
and Section 5097.98 of the California Public Resources Code, which collectively penalize the intentional
disturbance or removal of human remains and require that activity stop in the event of a discovery of
human remains so that the Medical Examiner and, if applicable, NAHC, can determine the identity
and/or historical significance of the find.
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10.0 Paleontological Resources Procedures
10.1 Sensitivity Model Review
In reviewing the paleontology sensitivity map, the City shall first determine whether or not the project
is located in a medium or high sensitivity area, which will require a paleontological survey. Projects
located entirely within low sensitivity areas require no further study for paleontology; however, the
result of the sensitivity model check shall be reported in the CEQA document and, at minimum, a
standard mitigation measure for unanticipated discovery shall apply to all non-exempt projects
(described further below).
10.2 Records Searches and Literature Reviews
The San Diego Natural History Museum (SDNHM) is the sole institution holding fossils for San Diego
County, and therefore, represents the best source for information about fossil-bearing sediments and
rock. For projects that require a paleontological survey, the City or qualified consultant shall first
request a paleontological assessment from the SDNHM for the project area plus a one-mile radius.
Other sources that may be reviewed include online paleontology databases, the published literature,
and project or nearby geotechnical boring reports to obtain information on subsurface rock unit
depths.
10.3 Field Surveys
If the underlying geologic formation is exposed on the site, a field survey may be warranted. All
paleontological field surveys for the project area must be completed by or under the direction of the
Principal Paleontologist, who is responsible for ensuring that the surveyor is knowledgeable about
local geology and paleontology.
All paleontological resources encountered during the survey shall be documented on standard locality
forms, and documented with photography and GPS coordinates. The surveyor shall describe the
sediments of the project in detail and evaluate the potential for specific sediments to be conducive to
the preservation of fossils.
Only qualified, trained paleontologists with specific expertise in the type of fossils being evaluated can
determine the scientific significance of paleontological resources. Fossils are considered to be
significant if one or more of the following criteria apply:
1. The fossils provide information on the evolutionary relationships and developmental
trends among organisms, living or extinct;
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2. The fossils provide data useful in determining the age(s) of the rock unit or sedimentary
stratum, including data important in determining the depositional history of the region
and the timing of geologic events therein;
3. The fossils provide data regarding the development of biological communities or
interaction between paleobotanical and paleozoological biotas;
4. The fossils demonstrate unusual or spectacular circumstances in the history of life;
5. The fossils are in short supply and/or in danger of being depleted or destroyed by the
elements, vandalism, or commercial exploitation, and are not found in other geographic
locations; and/or,
6. All identifiable vertebrate fossils are considered significant due to the rarity of their
preservation.
As so defined, significant paleontological resources are determined to be fossils or assemblages of
fossils that are unique, unusual, rare; uncommon, or diagnostically important. Significant fossils can
include remains of large to very small aquatic and terrestrial vertebrates or remains of plants and
animals previously not represented in certain portions of the stratigraphy. Assemblages of fossils that
might aid stratigraphic correlation, particularly those offering data for the interpretation of tectonic
events, geomorphologic evolution, and paleoclimatology, are also critically important (Scott and
Springer, 2003; Scott et al., 2004).
10.4 Impact Analyses and Mitigation Measures
Under current law, an analysis of the record search and survey results, if survey is required, must be
used in a determination of whether or not "unique" (or "significant") paleontological resources will be
impacted by the project, and whether or not that impact is significant. This conclusion must be based
on actual information indicating a high probability of potential to damage or destroy significant fossils
and documented in a Paleontological Assessment Report, used to support a CEQA document.
10.4.1 Negative Surveys
If the survey resulted in a negative finding for paleontological resources, then the paleontology
sensitivity model should be updated to reflect low sensitivity for that project area. The Principal
Paleontologist shall determine whether or not, based on professional judgement, the designation of
low sensitivity can be extended outside of the project area.
In addition, the CEQA document shall require the adoption of a standard unanticipated discovery
measure that instructs construction personnel to immediately halt ground-disturbing activity at the
location of a suspected paleontological exposure plus a SO-foot radius around the find. Work shall be
halted within the no-work radius until the City can consult with a qualified paleontologist on the
identification and evaluation of the find.
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At the discretion of the Principal Paleontologist, an additional mitigation measure requiring contractor
awareness training may be warranted. However, unlike the unanticipated discovery measure, this is not
a default mitigation measure for all projects that result in a negative suNey for paleontological
resources.
10.4.2 Positive Surveys
If the survey and/or Paleontological Assessment Report resulted in a positive finding for
paleontological resources or a high probability for fossil-bearing sediments below the surface, then a
Principal Paleontologist shall be retained to prepare a Paleontological Mitigation and Monitoring Plan
to address the following information, as applicable and appropriate:
• the level of monitoring (spot checks, part time or full time), protocols and authorization for
work stoppages, and safety procedures
• the need for Contractor Awareness Training for all earthmoving personnel for any projects
where a monitor will not be present full time
• a research design listing the research questions and the data requirements for those questions
• the level and type of assistance from the contractor needed by the paleontologist to take bulk
samples and place them into a safe area for processing
• the methods for fossil collection, fossil preparation, fossil identification, stratigraphic profiles,
and curation
• the types of progress reports that will be provided to the project proponent and City (weekly
or monthly)
• the schedule for reporting
• a recommendation for the updating of the paleontology sensitivity model, which takes into
consideration the presence or absence of paleontological resources, the amount of ground
disturbance, and the potential for future discoveries
• the identity of the financially-responsible party
10.4.3 Preferred Treatment Options and Mitigation Measures
Vertebrate fossils are rare in contrast with invertebrate and plant fossils. Due to this factor, all
vertebrate fossils are generally recovered while samples of invertebrates and plants are taken.
Documentation and curation is the preferred treatment method for paleontological resources.
10.5 Curation
In accordance with the Paleontological Mitigation and Monitoring Plan, specimens of significant fossils,
all paleontological data, and a copy of the final report shall be curated at the SDNHM.
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11.0 Document Review and Consultation
As discussed earlier, the City is ultimately responsible for the compliance with these Guidelines. As
such, the City planning staff will be responsible for receiving applications, reviewing documentation
generated under these Guidelines, carrying out non-federal Native American consultation, preparing
CEQA documentation, and, ultimately, making a project decision. Appendix 1 to these Guidelines
provides the Implementation Manual with template forms and letters.
11.1 Application Requirements
Applicants or consultants implementing these Guidelines are required to submit two bound copies
and one PDF on a CD of every cultural resources and paleontological resources technical document
prepared for the project. One hard copy is intended for City use. One hard copy of technical documents
that address archaeological resources will be transmitted to SLRBMI for review. Depending on the
number of consulting tribes and parties, if electronic copies are not acceptable, additional hard copies
of the reports may be requested by the City. All hard and electronic copies of technical documentation
containing confidential information that is restricted from public distribution must be bound
separately in a confidential appendix, and clearly marked on the cover of the document.
11.2 Completeness Review
A completeness review of the cultural and paleontological technical documentation will be conducted
by the planning staff using a Cultural Resources Compliance Review Checklist (Appendix 1). Upon
receipt of the documentation, the City shall first acknowledge in writing the date on which the materials
were received. This begins a 30-day review period for the City staff to review the submitted materials
and identify any additional technical information that is necessary. The checklist prompts the City to
verify specific information. This includes:
• Does the project boundary provided by the applicant take into account all areas of ground
disturbance, conservation, construction staging, infrastructure, and off-site mitigation?
• Is the records search and literature review less than one year old?
• Has a search of the Sacred Lands File with the NAHC been conducted within the past year?
• Has the project area and any off-site improvement areas been surveyed for cultural resources
in accordance with the methods in these Guidelines?
• Is there documentation that Native American tribes were invited to participate and/or
participated in the archaeological field survey and any archaeological testing?
• Are all identified cultural resources recorded and evaluated under all four NRHP and CRHR
criteria?
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• Have the criteria of adverse effect been applied to all significant cultural resources?
• Have Standard Conditions, Standard Treatment Measures, or Non-Standard Treatment
Measures been proposed, if applicable?
• What federal agency approvals or permits, if any, will be required?
• What state agency approvals or permits, if any, will be required?
• What local agency approvals will be required?
If the documentation is not complete or is not in conformance with these Guidelines, it will be returned
to the project proponent with an explanation and request for additional information. Until the
requested information is submitted to the City, processing of the cultural resources compliance will
pause. However, tribal consultation will proceed in accordance with the schedules noted in AB 52 and
SB 18, as applicable.
11.3 Consultation
The city shall verify that all information identified on the Cultural Resources Compliance Review
Checklist has been received and that no additional cultural resources information is required in
conjunction with determining the overall project's completeness in accordance with Section 15060 of
the CEQA Guidelines. When such determination is made, the City shall issue a written Notice of
Completeness to the applicant and shall initiate the following actions within 14 days:
• Only if applicable, the City shall notify the point-of-contact for each agency that is expected to
issue a federal approval or permit for the project by letter (or other agreed upon notification
method). The notice shall serve to alert the agency that consultation under Section 106 may
be required and request coordination of efforts.
• The City shall mail project notification letters to each tribe who requested notification letters
under AB 52 and afford them an opportunity to consult on the project if they respond
affirmatively within 30 days.
• If the project requires a federal permit, approval, or funding, the City shall mail separate project
notification letters to each tribe identified on the NAHC contact list to solicit information about
the project, and shall copy the federal agency on all letters.
• If the project requires a General Plan or Specific Plan adoption or amendment, or the
dedication of open space that includes a tribal resource within it, the City shall mail separate
project notification letters to the tribes identified on the SB 18 list obtained from the NAHC,
and offer them an opportunity to consult if they respond within 90 days.
• The City sliall notify any other consulting parties it feels appropriate.
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The City shall conduct the consultation in accordance with the regulatory requirements, which may
require meetings, field visits, providing copies of or making revisions to cultural resources technical
reports and documents, or both.
11.4 Compliance Verification
The City shall be responsible for ensuring that any mitigation or permit conditions are implemented.
Upon verification that all requirements are satisfied in full, and unless the mitigation requires further
coordination and review by other agency staff, the City shall issue a written notice to the other lead
agencies to notify them of the completion of mitigation requirements.
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12.0 References Cited
ACHP
2012 Native American Traditional Cultural Landscapes and the Section 106 Review Process:
Questions and Answers. Electronic document dated July 11, 2012,
http://www.achp.gov/docs/landscapes%20q%20&%20a%207 -11-12.pdf.
Allen, Mary and John Harmon, Jr.
n.d. A History of Carlsbad. Friends of the Library. Carlsbad Historical Society.
http://www.ca rlsbad h istorica I society.com/Ca rlsbad%20 H istorica 1%20Society files/
AHistoryofCarlsbad.htm
Anderson, Dan
2007a Carlsbad: Rancho Agua Hedionda. Carlsbad, California.
http://www.carlsbad.ca .us/hed iond a.htm I
2007b Carlsbad History Tour. Carlsbad, California. http://www.carlsbad.ca.us/hedionda.html
Basgall, Mark E.
1987 Resource Intensification Among Hunter-Gatherers: Acorn Economies in Prehistoric
California. Research in Economic Anthropology 9:21-52.
Bean, Lowell J., and Florence C. Shipek
1978 Luisef\o. In Handbook of North American Indians, Volume 8: California, edited by
Robert F. Heizer, pp. 550-563. Smithsonian Institution, Washington, D.C.
Bean, Lowell J., and Charles R. Smith
BLM
1978 Serrano. In Handbook of North American Indians, Volume 8: California, edited by
Robert F. Heizer, pp. 570-574. Smithsonian Institution, Washington, D.C.
2016 General Land Office Records. U.S. Department of the Interior, Bureau of Land
Management. http:ljwww.glorecords.blm.gov/default.aspx
Brown, Jeffrey D., Geologic Formations of Western San Diego County.
http:Uwww.geiconsultants.com/stuff/contentmgr/fi1es/0/3aaf5188d802ff649166ba80c318e43
3/download/geologic formations of western san diego.pdf
California Department of Transportation
2016 Standard Environmental Reference, EH Vol 1, Chapter 8.
http://www.dot.ca.gov/ser/voll/sec3/physical/Ch08Pa1eo/chap08pa1eo.htm
California Natural Resources Agency
2016 CEQA: The California Environmental Quality Act. http:Uresources.ca.gov/ceqa/
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Carlsbad Spa
2016 Home and History. Carlsbad Mineral Water Spa.
http://www.ca rlsbad mine ra Is pa.com/ra Is pa.com/
Carrico, Richard
2008 Strangers in a Stolen Land. Sunbelt Publications, San Diego.
Castillo, Edward D.
1978 The Impact of Euro-American Exploration and Settlement. In Handbook of North
American Indians, Volume 8, California, edited by R. F. Heizer, pp. 99-127.
Smithsonian Institution, Washington D.C.
Christenson, Lynn E.
1990 The Late Prehistoric Yuman People of San Diego County, California: Their Settlement
and Subsistence System. Ph.D. dissertation, Department of Anthropology, Arizona
State University, Tempe. UMI Dissertation Services, ProQuest, Ann Arbor.
Cleland, Robert G.
1941 The Cattle on a Thousand Hills: Southern California, 1850-1870. Huntington Library,
San Marino, California.
Clevenger, Joyce M., Roxana Phillips, and Dennis Gallegos
CIAP
1990 Cultural Resource Evaluation at Prehistoric and Historic Sites at Rancho Lilac, San
Diego County, California. ERC Environmental and Energy Services, Co., San Diego.
Report #1122412 on file at the South Coastal Information Center, San Diego State
University.
2004 2004 Field Directory of the California Indian Community. California Indian Assistance
Program (CIAP), Department of Housing and Community Development, State of
California. Sacramento.
City of San Diego,
2007 Draft General Plan; 3.11 Paleontological Resources.
https:ljwww.sandiego.gov/sites/default/files/legacy/planning/genplan/pdf /peir/pale
onto log ica l.pdf
City of San Diego Development Services
2011 California Environmental Quality Act, Significance Determination Thresholds.
https://www.sandiego.gov/sites/default/files/legacy/development-
services/pdf/news/sdtceqa.pdf
Demere, T.A. and Walsh, S.L.,
1993 Paleontological Resources, County of San Diego. Prepared for the San Diego
Planning Commission.
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Department of Planning and Lane Use Department Work,
2009 County of San Diego Guidelines for Determining Significance and Report Format and
Content Requirements; Paleontological Resources.
http://www.sandiegocounty.gov/content/dam/sdc/pds/ProjectPlanning/docs/Biologi
cal Guidelines.pdf
Evans, Michael J., Alexa Roberts, and Peggy Nelson
2001 Ethnographic Landscapes. CRM 24(5): 53-56.
Gallegos, Dennis
1991 Antiquity and Adaptation at Agua Hedionda, Carlsbad, California. In Hunter-Gatherers
of Early Holocene Coastal California, edited by J. M. Erlandson and R. H. Colten, pp.
19-41. Perspectives in Cal ifornia Archaeology, Volume 1. Institute of Archaeology,
University of California, Los Angeles.
Gudde, Erwin G.
1969 California Place Names: The Origin and Etymology of Current Geographical Names.
Third edition. University of California Press, Berkeley and Los Angeles.
Gunther, Jane D.
1984 Riverside County, California, Place Names: Their Origins and Their Stories. Rubidoux
Printing Company, Riverside, California.
Haenszel, Arda M., and Jennifer Reynolds
1975 The Historic San Bernardino Mission District. San Bernardino County Museum
Association, Redlands, California.
Hanks, Richard A.
2012 This War Is for a Whole Life: The Culture of Resistance Among Southern California
Indians, 1850-1966. Ushkana Press, Dorothy Ramon, Learning Center, Inc., Banning,
California.
Keller, Timothy J. and Genevieve P. Keller
n.d. How to Evaluate and Nominate Designated Historic Landscapes. National Register
Bulletin 18. National Park Service.
Kennedy, Michael P., and Tan, Siang S.
2007 Geologic Map of the Oceanside 30' x 60' Quadrangle, California. California
Department of Conservation California Geological Survey.
http:llca.water.usgs.gov/sandiego/data/gis/geology/kennedy2005/RGM2 Oceanside
2007 Pamphlet.pdf
Koerper, Henry C., Paul Langenwalter II, and Adella Schroth
1991 Early Holocene Adaptations and the Transition Problem: Evidence from the Allan 0 .
Kelly Site, Agua Hedionda Lagoon. In Hunter-Gatherers of Early Holocene Coastal
California, edited by J.M. Erlandson and R.H . Colten, pp. 81-88. Perspectives in
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California Archaeology, Volume 1. Institute of Archaeology, University of California,
Los Angeles.
Kyle, Douglas
2002 Historic Spots in California. Stanford University Press. Stanford, California.
Luomala, Katharine
1978 Tipai-Ipai. In Handbook of North American Indians, Volume 8, California, edited by R.
F. Heizer, pp. 592-609. Smithsonian Institution, Washington.
Masters, Patricia M. and Dennis R. Gallegos
1997 Environmental Change and Coastal Adaptations in San Diego County during the
Middle Holocene. In Archaeology of the California Coast During the Middle Holocene,
edited by J.M. Erlandson and M.A. Glassow, pp. 11-21. Perspectives in California
Archaeology, Volume 4. Institute of Archaeology, University of California, Los
Angeles.
Melnick, Robert
1984 Cultural Landscapes: Rural Historic Districts in the National Park System, NPS, Park Historic
Architecture Division
McClelland, Linda F., J. Timothy Keller, Genevieve P. Keller, and Robert Z. Melnick
1999 Guidelines for Evaluating and Documenting Rural Historic Landscapes. National Register
Bulletin 30. U.S. Department of the Interior, National Park Service. http://www.nps.gov/
history/nr/publications/
Native American Historic Resource Protection Act; Archaeological, Paleontological, and Historical
Sites; Native American Historical, Cultural, and Sacred Sites; Public Resources Code Section
5097-5097.993.
http://online.sfsu.edu/mgriffin/California%20Public%20Resources%20Code%205097.pdf
Parker, Patricia L. and Thomas F. King
1998 Guidelines for Evaluating and Documenting Traditional Cultural Properties. National
Register Bulletin 38. U.S. Department of the Interior, National Park Service.
Phillips, George H.
2014 Chiefs and Challengers: Indian Resistance and Cooperation in Southern California,
1769-1906. University of Oklahoma Press, Norman.
Pourade, Richard
1961 The History of San Diego: Time of the Bells. San Diego Historical Society.
http://www.sand i eg oh istory.org/books/pou rad e/ti me/ti mecha pter9 .htm
Robertson, Donald B.
1998 Encyclopedia of Western Railroad History, Volume IV, California. The Caxton Printers,
Caldwell, Idaho.
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Robinson, W.W.
1948 Land in California: The Story of Mission Lands, Ranchos, Squatters, Mining Claims,
Railroad Grants, Land Scrip, Homesteads. University of California Press, Berkeley.
San Diego History Center
2016 Cave Johnson Couts (1821-1874). Biography. San Diego History
Center.http://www.sandiegohistory.org/archives/biographysubject/cjcouts/
Scott, E., and Springer, K.
2003 CEQA and fossil preservation in southern California. The Environmental Monitor,
Winter: 4-10, 17.
Scott, E., Springer, K., and Sagebiel, J.C.,
2004 Vertebrate paleontology in the Mojave Desert: The continuing importance of "Follow-
Through" in preserving paleontological resources. In M. W. Allen and Reed, J. editors,
The Human Journey and ancient life in California's deserts: proceedings from the 2001
Millennium Conference, 65-70.
Sutton, Mark Q.
2011 The Palomar Tradition and Its Place in the Prehistory of Southern California. Pacific
Coast Archaeological Society Quarterly 44(4):1-74.
Sutton, Mark Q. and Jill K. Gardner
2010 Reconceptualizing the Encinitas Tradition of Southern California. Pacific Coast
Archaeological Society Quarterly 42(4):1-64.
True, D. L.
1958
1980
An Early Complex in San Diego County, California. American Antiquity 23:255-263.
The Pauma Complex in Northern San Diego County. Journal of New World
Archaeology III(4).
1990 Site Locations and Water Supply: A Perspective from Northern San Diego County.
Journal of New World Archaeology VII(4):37-60.
True, D. L., Clement W. Meighan, and Harvey Crew
1974 Archaeological Investigations at Molpa, San Diego County. University of California
Publications in Anthropology 11.
True, D. L., R. Pankey, and Claude N. Warren
1991 Tom-Kav: A Late Village Site in Northern San Diego County, California, and Its Place in
the San Luis Rey Complex. University of California Publications, Anthropological
Records, vol. 30. University of California Press, Berkeley.
True, D. L. and Georgie Waugh
1982 Proposed Settlement Shifts During San Luis Rey Times, Northern San Diego County.
Journal of California and Great Basin Anthropology 4:34-54.
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Wallace, William J.
1955 A Suggested Chronology for Southern California Coastal Archaeology. Southwestern
Journal of Anthropology 11:214-230.
Warren, Claude N.
1967 The San Dieguito Complex: a Review and Hypothesis. American Antiquity 32:168-185.
1968 Cultural Tradition and Ecological Adaptation on the Southern California Coast. In
Archaic Prehistory in the Western United States, edited by Cynthia Irwin-Williams.
Eastern New Mexico University Contributions in Anthropology 1(3):1-14. Portales,
New Mexico.
Waugh, Georgie
1986 Intensification and Land-Use: Archaeological Indications of Transition and
Transformation in a Late Prehistoric Complex in Southern California. Ph.D. dissertation,
Department of Anthropology, University of California, Davis. UMI Dissertation
Services, ProQuest, Ann Arbor, Michigan.
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I LIST OF ATTACHMENTS
Attachment A -Carlsbad City Council Policy No. 83
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ATTACHMENT A I
Carlsbad City Council Policy No. 83
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update its Cultural Resource Guidelines to incorporate State definitions of Tribal Cultural Resources,
require consultation in the detection, treatment and protection of Tribal Cultural Resources for all
Projects on City-owned lands and on private property to the full extent of the City's authority, ensure
a complete understanding by project proponents, including the City and Tribal Representatives, of
current and previous mitigation commitments for Tribal Cultural Resources, and provide improved
protocols for ensuring the permanence of preservation mitigation measures.
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pedestrian, using parallel transects no more than 15 meters apart, unless wider transect widths are
justified by the PL Vehicular, All Terrain Vehicle, or horseback surveys are not permitted for survey or
identification; however, consultants who are only using such means to transport themselves to a site
location for a site-specific investigation may utilize any method of transportation that is acceptable to
the landowner. For surveys of the built environment, typically a pedestrian survey will be conducted,
but can include combination of a vehicular survey if appropriate at the discretion of the qualified
professional consultant. Field surveys are generally cons idered valid for five years, and a new or an
updated survey will be required for surveys older than five years. However, should a case be made to
the City that demonstrates;__ll that the ground conditions have not changed since a previous, older
survey,; 2) that no additional sites and/or resources have been identified within 114 mile of the survey
area; and 3) that the methods used in older surveys are consistent with these guidelines, then an
updated survey may not be required.
In accordance with Council Policy No. 83, it is the City's policy that California Native American Tribes
be invited to participate in all archaeological pedestrian field surveys. Moreover, it is the City's policy
that any archaeological fieldwork that disturbs the ground shall be carried out in coordination with a
Luisefio Native American monitor, under the following parameters. Cultural resources surveys that are
intended to inventory built environment resources only (not archaeology) are exempt from this
requirement.
• If the City is the project proponent, then the City's archaeological consultant shall provide
written proof, upon contract or task order award, that a Luisefio Native American monitor has
been invited to participate in the archaeological pedestrian field survey, and retained in the
event that ground-disturbing archaeological fieldwork is required.
• If the City is not the project proponent but is only serving as the lead agency under CEQA, and
the proponent or property owner retains the services of an archaeologist to survey his or her
property and no documentation of outreach or participation by a Luisefio Native American
monitor can be provided, then the archaeological inventory shall be deemed incomplete until
outreach to the tribe, and a tribal survey if requested by the tribe, is carried out. If the
proponent or property owner's archaeologist conducts archaeological fieldwork that disturbs
the ground and no documentation of participation by a Luisefio Native American monitor can
be provided (subject to the exception below), then the archaeological inventory shall be
deemed incomplete until a tribal survey is carried out.
• In the event that a Luisefio Native American monitor elects to not participate in the
archaeological field survey or does not report at the agreed upon time and location, then the
survey may proceed without the monitor present and the resulting technical study shall be
deemed complete with the incorporation of documentation demonstrating reasonable and
good faith effort to include a Luisefio Native American monitor. In such a case, the tribe shall
be provided a copy of the archaeological inventory report for review and comment prior to
submittal to the City.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 81
September 2017
October 24, 2017 Item#8 Page 126 of 126
Carlsbad Tribal, Cultural, and
Paleontological Resources Guidelines
Teri Delcamp, City Principal Planner
Lisa Westwood, ECORP Consulting, Inc.
October 24, 2017
SS 16-06
Background
•December 1990: The city developed first set of guidelines
•1990-2016: State laws and professional practices change
•2015-2016: Development project generated consultation
regarding treatment of tribal cultural resources
•February 2016: The city adopted Council Policy No. 83,
Tribal Cultural Resource Protection
•August 2016: Retained ECORP Consulting to update
guidelines
Process
•September 2016: Initiated consultation with San Luis
Rey Band of Mission Indians
•Fall 2016-Spring 2017: Developed guidelines,
continued consultation
•July 2017: Public review draft circulated
•July 10, 2017: Historic Preservation Commission
•August 16, 2017: Planning Commission
•August 2017: Public review period closed on August 21
Final Guidelines
•Revised Guidelines to respond to public comments where
appropriate
•Responded to each commenting party
•Final Guidelines on website and distributed to Council,
libraries, City Hall and Faraday Center (Exhibit 1)
•Two minor text changes to be incorporated (Exhibit 2)
•City staff will receive training on how to implement the
Guidelines in early November
Contents of New Guidelines
1.Purpose and Need for
Guidelines
2.Definitions of Resources
3.Regulatory Context
4.Context Statements
5.Roles and Responsibilities
6.Sensitivity Models
7.General Methods and
Standards of Analysis
8.Tribal Cultural Resources
Procedures
9.Cultural Resources
Procedures
10.Paleontological Resources
Procedures
11.Document Review and
Consultation
12.References Cited
Purpose and Intent
•Focus on process of decision-making in design and
development phases
•Includes broader range of resources that must be considered:
•Tribal cultural resources, archaeological sites, historic landscapes,
paleontological resources, historic structures, historic districts
•Aligns the city with current paradigms favoring preservation,
avoidance, public education and interpretation
Early Consideration of Resources
•Helps the city and private project proponents determine
where to build or develop
•Develop in ways least damaging as feasible to resources
•Helps the city carry out its obligations under state and
local law
•Acknowledges unique government-to-government
relationship between the city and the San Luis Rey Band
of Mission Indians
Provides a Clear Framework and Tools
•Lays out expectations and standards of performance
•Provides sensitivity models
•Establishes city-wide historic context statement
•Provides standards for consultant qualifications and reports
•Determine when additional studies or monitoring needed
•Pre-approved standard conditions and mitigations
•More options than just typical “document and destroy”
Expected Outcomes
•Developers know what to expect before designing projects
•Increase in efficiency for city staff
•Fewer incomplete development applications because
reports and documents will be correct upon submission
•Fewer work stoppages during construction
•Tribal values will be taken into consideration
•Compliance with CEQA will be assured
•Appropriate treatment of resources will be enhanced
Recommendation
That the City Council receive this presentation on
the Carlsbad Tribal,Cultural and Paleontological
Resources Guidelines, hear public testimony,
provide City Council comments regarding the
Guidelines,and,by motion,accept the Carlsbad
Tribal,Cultural and Paleontological Resources
Guidelines as a resource for city staff and the
public to utilize and implement.