HomeMy WebLinkAboutSUP 2020-0001; VISTA-CARLSBAD INTERCEPTOR 1; ACCESS ROAD PROJECT; 2019-06-01,,
Vista-Carlsbad
Interceptor ( Reach 1 )
Access Road Project
Project-Level Environmental Checklist
June 2019
Prepared for: Prepared by:
City of Vista HOR Engineering, Inc.
This page is intentionally blank.
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Contents
~ Ctn: or VISTA
Section 1. Project Description ....................................................................................................................... 1
Background ......................................................................................................................................... 1
Project Goals and Objectives .............................................................................................................. 1
Proposed Project ................................................................................................................................. 2
Construction Details ............................................................................................................................ 8
Discretionary Actions and Approvals ................................................................................................ 11
Section 2. Project-Level Environmental Checklist ...................................................................................... 12
Comprehensive Sewer Master Plan Project Information .................................................................. 12
Supplemental Program Environmental Impact Report Tiering Evaluation ........................................ 13
Environmental Factors Potentially Affected ...................................................................................... 14
Determination .................................................................................................................................... 14
Evaluation of Environmental Impacts ................................................................................................ 15
I. Aesthetics ................................................................................................................... 17
II. Agricultural Resources ............................................................................................... 19
Ill. AirQuality ................................................................................................................... 22
IV. Biological Resources .................................................................................................. 25
V. Cultural Resources ..................................................................................................... 32
VI. Geology and Soils ...................................................................................................... 35
VII. Greenhouse Gas Emissions ...................................................................................... 40
VIII. Hazards and Hazardous Materials ............................................................................. 42
IX. Hydrology and Water Quality ..................................................................................... 47
X. Land Use and Planning .............................................................................................. 54
XI. Mineral Resources ..................................................................................................... 56
XII. Noise .......................................................................................................................... 57
XIII. Population and Housing ............................................................................................. 60
XIV. Public Services ........................................................................................................... 62
XV. Recreation .................................................................................................................. 64
XVI. Transportation/Traffic ................................................................................................. 66
XVI I. Utilities and Service Systems ..................................................................................... 69
XVIII . Energy ........................................................................................................................ 73
XIX. Tribal Cultural Resources ........................................................................................... 74
XX. Wildfire ....................................................................................................................... 76
XXI. Mandatory Findings of Significance ........................................................................... 78
References ........................................................................................................................................ 80
Tables
Table 1. Contributing Drainage Flows ........................................................................................................... 8
Table 2. Proposed Temporary Construction Easements .............................................................................. 9
Table 3. Proposed Permanent Easements ................................................................................................... 9
Table 4. Vegetation Community Impacts .................................................................................................... 29
Table 5. Jurisdictional Resource Impacts .................................................................................................. 30
June 2019 I i
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Figures
Figure 1. Regional Map .......................................................... : ...................................................................... 4
Figure 2. Project Area ................................................................................................................................... 5
Figure 3. Proposed Access Road (West) ...................................................................................................... 6
Figure 4. Proposed Access Road (East) ....................................................................................................... 7
Figure 5. Contributing Drainages ................................................................................................................ 10
Figure 6. Federal Emergency Management Agency Floodplain Map ........................................................ 53
Appendices
Appendix A 1. Mitigation Monitoring and Reporting Program (2017)
Appendix A2 . Carlsbad Tribal, Cultural, and Paleontological Resources Guidelines
Appendix B. Biological Resources Letter Report
Appendix C. Cultural Resources Letter Report
ii I June 2019
Section 1. Project Description
Background
In November 2017, the City of Vista (City) certified the Supplemental Program Environmental Impact
Report (SPEIR) for the 2017 Comprehensive Sewer Master Plan (2017 CSMP) (State
Clearinghouse No. 2007091072). The 2017 CSMP identifies a set of recommended projects for
inclusion in the City's Capital Improvement Program (CIP) and operations and maintenance (O&M)
program. The SPEIR analyzed the potential environmental impacts of these improvements, as
contemplated in the CSMP and is incorporated by reference, including the adopted mitigation
monitoring and reporting program (MMRP).
The O&M Program component of the 2017 CSMP provides a continuation of the City's existing
condition assessment program consistent with the City's adopted Sanitary Sewer Management Plan
(SSMP). The O&M Program also includes the replacement/rehabilitation of the City's existing
pumping stations and the repair, upgrade, and rehabilitation of existing access roads.
The City maintains multiple easements to facilitate access to the conveyance and pumping facilities
within and outside its service area. These easements range from 10 to 20 feet in width to
accommodate maintenance equipment. The SPEIR for the 2017 CSMP analyzed the potential
environmental impacts associated with the proposed repair, upgrade, and/or rehabilitation of two
existing unpaved access roads as part of the O&M Program. One of the two access roads for future
maintenance described in the SPEIR is located along the existing Vista-Carlsbad (VC) Interceptor
Reach 1 (VC1) and traverses the cities of Oceanside and Carlsbad (Figure 3-20 of the SPEIR).
The VC1 pipeline is 36-inches in diameter and conveys approximately eight million gallons per day
(MGD) on average. The VC1 pipeline is co-owned by the Cities of Vista and Carlsbad and is the
major pipeline that conveys each cities' untreated, wastewater to the Encina Wastewater Authority
for treatment and disposal.
When VC1 was constructed in 1985, an earthen access road was also constructed to provide
maintenance access to sewer manholes, some requiring culverts to convey run -off across the roads.
This earthen access road has degraded over time primarily due to erosion from stormwater
discharged south from State Route (SR) 78 and contributing drainages to the north. Due to the
placement of the existing access road , sedimentation and debris have clogged the culverts, diverting
drainages along the access road and resulting in additional erosion. Direct access by way of an
improved road is also not provided to a number of manholes within the project area.
Project Goals and Objectives
The City's goal for implementing the proposed project is to provide all weather access to the
manholes for VC1 , including during the 50-year storm event. The project would improve sewer
maintenance access by providing the City's O&M staff with reliable access to the VC1 pipeline.
Improved and reliable access during large rainfall events is required for the City to clean and
maintain the pipeline consistent with its adopted SSMP. Consistent with the City's SSMP, the project
would minimize the potential for sanitary sewer overflows (SSOs) into local surface waters, including
Buena Vista Creek, in accordance with the State Water Resources Control Board (SWRCB) Order
June2019 I 1
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
No. 2006-003-DWQ Statewide General Waste Discharge Requirements (WDRs) for Sanitary Sewer
Systems.
Proposed Project
The City is proposing to upgrade, realign, and rehabilitate the VC1 access road (proposed project).
This section presents a detailed description of the project location and associated components.
Once constructed, the proposed project would be subject to long-term maintenance activities to
maintain the roadway crown and drainage structures.
Project Location
The proposed project is located on the northwestern edge of the City of Carlsbad in San Diego
County, California (Figure 1 ). As shown on Figure 2, the proposed project is generally located south
of SR 78, north of Buena Vista Creek, and between the eastern terminus of Haymar Drive (west of
College Boulevard) and the western terminus of Haymar Drive (east of El Camino Real). The City of
Oceanside is located immediately north with its southern limits roughly corresponding to the
southern edge of SR 78. As shown on Figure 2, a majority of the project site is located within the
Buena Vista Creek Ecological Reserve, which is a 148-acre property owned by the California
Department of Fish and Wildlife (CDFW). The project site is located on Assessor Parcel No. 167-
040-31-00, 167-040-38-00, and 167-040-39-00.
Description of the Proposed Project
The proposed project involves the upgrading, realigning , and rehabilitation of the existing VC1
access road to provide more reliable access to the VC1 pipeline and manholes for maintenance,
including during up to the 50-year rainfall event1. The proposed alignment of the access road is
approximately 4,000 feet in length and is shown on Figure 3 and Figure 4. As shown, the proposed
project would maintain Vista and Carlsbad's existing roadway alignment along its western end with
slight variations. At the eastern end, the roadway alignment would be realigned to the north and
disconnected from Oceanside's sewer access easement, which was acquired in conjunction with a
previous spill event. As shown on Figure 3, the proposed alignment roughly corresponds with the
alignment contemplated in the SPEIR; albeit slight variations.
The proposed access road would be constructed with an aggregate or crushed rock to provide a
permeable roadway surface, approximately 12 feet in width. The roadway surface would be
approximately six inches thick and selected materials will be determined during the final design of
the roadway in coordination with CDFW. The City expects that a larger crushed rock will be used for
the roadway subgrade to improve the roadway's stability. As proposed, the alignment for the
proposed roadway would adhere to the following standards:
• a maximum longitudinal slope of 15-percent
• a minimum vertical curve length of 100 feet
• a maximum horizontal curve radius of 30 feet
• a maximum access road cross fall of 4-percent
1 Up stream drainage facilities in SR 78 are approximately sized for the 50-year rainfall event. Extreme western
portions of the access road are subject to inundation during the 100-year flood event for Buena Vista Creek.
2 I June 2019
A minimum 10-foot radius of crushed rock base would be provided around each manhole (or MH).
This 10-foot radius is measured from the center of manhole cover to the edge of the crushed rock
base. Where the manhole is located within the proposed road, the proposed concrete collar and
cover would be flush with the crushed rock base surface for drivability. When a manhole is adjacent
to the sewer access road or within an area at risk of flooding due to its proximity to an existing creek,
a raised concrete manhole collar is proposed per City Standard Drawing SWR-30A at MH27.
June 2019 I 3
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Figure 1. Regional Map
CAMP PENDLETON
D Proiect Area
Miles 2
4 I June 2019
SAN DIEGO
COUNTY
=
LEGEND
!I II Proiect Area ()
D Parcel Boundary r.~ Buena Vista Creek Ecological Reserve O Feet 1,000
June 2019 I 5
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Figure 3. Proposed Access Road (West)
.I
LEGEND
IOI Proiect Area ----· 2017 O & M Access Road Alignment (from SPEIR)
D Proposed Access Road ~-.-::: Buena Vista Creek Ecological Reserve
-Vista-Carlsbad Sewer
Existing Sewer Manhole
--Oceanside Sewer
6 I June 2019
()
0 Feet 200
Figure 4. Proposed Access Road (East)
LEGEND
jLJI ProJect Area · • • • · 2017 0 & M Access Road Alignment (from SPEIR)
D Proposed Access Road ~-.-_-_-: Buena Vista Creek Ecological Reserve
-Vista-Carlsbad Sewer
Existing Sewer Manhole
--Oceanside Sewer
()
0 Feet 200
June 2019 I 7
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
The proposed project would include improvements at'five drainage crossings to minimize
degradation of the access road surface and roadway crown (Figure 3 and Figure 4). No crossing of
Buena Vista Creek is proposed. At each drainage crossing, the City is considering a combination of
low-flow (e.g. Arizona crossings) or culvert crossings to convey stormwater across the access road
and away from the roadway crown. The final selection will be based on the quantity of flow during
the 50-year event in coordination with CDFW and the City of Carlsbad. Drainage ditches along the
roadway may also be required to safely convey flows downstream to Buena Vista Creek.
Table 5 provides the drainage flows for the upstream culverts in SR 78 based on the rational method
in accordance with the 2003 San Diego County Hydrology Manual (SDCHM) procedures and
guidelines. Figure 5 illustrates the corresponding contributing drainage areas and the locations of the
Caltrans stationing.
Table 1. Contributing Drainage Flows
-•.
. . Culvert
Size/Type --·. ·•·· ··•·· • • I •• II II . .
A 162+00 40" CSP 51 .6 3.48 3.89 113 127
B 156+70 24" CSP 3.4 4.89 5.48 11 12
C 151+70 48" RCP 147.1 2.94 3.29 260 291
D 148+70 42" RCP 49.9 5.40 6.05 170 190
E 143+00 24" CMP 15.5 5.18 5.80 51 57
Notes:
• See Figure 3 and Figure 4 for drainage crossing locations. Figure 5 depicts the contributing drainage areas.
Caltrans=California Department of Transportation; cfs=cubic foot per second; CMP=corrugated metal pipe;
CSP=corrugated steel pipe; ID=identification; RCP=reinforced concrete pipe
Construction Details
Project construction would follow the construction methods as described in Chapter 3 of the SPEIR
and outlined for access improvements and structural facilities. These activities would include
vegetation removal or trimming, grading, limited excavation, soil stockpiling, and roadway
compaction. Project-related trip generation during construction would be consistent with that
described in the SPEIR with less than 30 daily construction trips.
Temporary construction easements of up to 50 feet in width may be required during construction,
which would extend beyond the limits of the access road or drainage improvements to provide
adequate space for construction and associated grading activities. In sensitive environmental areas,
this easement would be restricted to 20 to 30 feet, where feasible. Parcels with proposed permanent
and temporary construction easements are identified in Table 2.
8 I June 2019
Table 2. Proposed Temporary Construction Easements [SUBJECT TO REVISION]
167 -040-31-00
167-040-38-00
167-040-39-00
I
'
'
Easement Purpose
Construction
Construction
Construction
Source: David Evans and Associates, Inc. 201 8
Notes:
Property Owner
Shelly Hayes Caron
CDFW
CDFW
APN=assessor parcel number; CDFW=California Department of Fish and Wildlife
Approximate
Easement
Requirements
(square feet)
9,010
59,074
5,587
Project construction is expected to last up to three months and would be scheduled to avoid
coinciding with the bird breeding season, which extends from February 15 through August 15. Based
on the anticipated construction disturbance area, the project will require the preparation and
implementation of a stormwater pollution prevention plan (SWPPP) per the requirements of
Construction General Permit (CGP). The City will also require the contractor to prepare a waste
management plan to manage construction related debris, including hazardous materials, to facilitate
proper interim storage and offsite transport and disposal consistent with the Mitigation Monitoring
and Reporting Program (MMRP) adopted for the CSMP (see Appendix A). The City would also
comply with the City of Carlsbad's Habitat Management Plan (HMP).
Permanent linear easements following the alignment of the proposed access road will also be
required to facilitate long-term maintenance of the project. Parcels with proposed permanent
easements along with approximate easement requirements are identified in Table 3.
Table 3. Proposed Permanent Easements [SUBJECT TO REVISION]
167 -040-31-00
167-040-38-00
167-040-38-00
167-040-39-00
Easement
Purpose
Access road
Sewer line
Access road
Source: David Evans and Associates, Inc. 2018
Notes:
Property Owner
Shelly Hayes Caron
CDFW
CDFW
CDFW
APN=assessor parcel number; CDFW=California Department of Fish and Wildlife
Approximate Easement
Requirements
(square feet)
1,251
75,416
35,100
3,555
June 2019 I 9
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Figure 5. Contributing Drainages
LEGEND D ProiectArea --2017 0 & M Access Road Alignment
D Proposed Access Road -Caltrans Culverts
--Vista-Carlsbad Sewer D Drainage Area Boundaries
--Oceanside Sewer
10 I June 2019
MAP INDEX
□~
()
I
Feet soo
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Discretionary Actions and Approvals
~ CJn Of VISTA
The following is a list of potential discretionary actions and agency approvals that may be required to
implement the proposed project:
• U.S Army Corps of Engineers (USAGE), Los Angeles District
o Section 404 Individual Permit or Nationwide Permit
• San Diego Regional Water Quality Control Board (RWQCB), Region 9
o Clean Water Act, Section 401 , Water Quality Certification
o National Pollution Discharge Elimination System (NPDES), General Construction Permit
• California Department of Fish and Wildlife (CDFW), Region 5, South Coast
o Section 1602 Streambed Alteration Agreement
o Right of Entry Permit for Construction
o Permanent Easement(s)
• City of Carlsbad
o Encroachment Permit
o Minor Grading Permit
o Habitat Modification Permit
June 2019 I 11
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Section 2. Project-Level Environmental Checklist
This Environmental Checklist (Checklist) provides a mechanism for reviewing and assessing
individual sanitary sewer improvement projects identified in the City's 2017 CSMP. The City
prepared a Supplemental Program Environmental Impact Report (SPEIR) that considered the
potential environmental impacts of these improvements, as contemplated in the CSMP, and
proposed mitigation measures as contained in the MMRP. The Checklist follows the procedures
provided in Section 15168(c) of the CEQA Gu idelines. The MMRP is incorporated by reference and
should be reviewed in conjunction with the completion of this Checklist.
Comprehensive Sewer Master Plan Project Information
1. Project title: Vista-Carlsbad Interceptor Reach 1 (VC1) Access Road
2. Contact person and phone number: Elmer Alex, (760) 643-92084
3. Project location: The proposed project is located in the City of Carlsbad in San Diego
County, California. The proposed project is generally located south of State Route 78, north
of Buena Vista Creek, and between the eastern terminus of Haymar Drive (west of College
Boulevard) and the western terminus of Haymar Drive (east of El Camino Real). A majority of
the project site is located within the Buena Vista Creek Ecological Reserve, which is a 148-
acre property owned and managed by CDFW.
4. Description of project (Describe the whole action involved, including but not limited
to, later phases of the project, and any secondary, support, or off-site features
necessary for its implementation. Attach additional sheets if necessary.): The
proposed project involves the realignment and improvement of the Cities of Vista and
Carlsbad's existing access road for the Vista-Carlsbad (VC) Interceptor (or Sewer Trunk),
Reach 1 (VC1) to provide more reliable access to facilitate long-term maintenance, including
during up to the 50-year rainfall event. The proposed project was contemplated in the City's
CSMP and evaluated in the SPEIR Refer to Section 1 of this document for a complete
description of the proposed project.
5. Surrounding land uses and setting: The project site is designated as Open Space and
Community Facilities by the Carlsbad General Plan. A majority of the project site is located
within the Buena Vista Creek Ecological Reserve, which is managed by CDFW. SR 78
borders the north of the project area with existing development located to the east and west.
6. Other public agencies whose approval is required (e.g., permits, financing approval,
or participation agreement.):
o U.S Army Corps of Engineers
• Section 404 Nationwide Permit
o San Diego Regional Water Quality Control Board
• Clean Water Act, Section 401 , Water Quality Certification
■ NPDES, General Construction Permit
o California Department of Fish and Wildlife
• Section 1602 Streambed Alteration Agreement
12 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
■ Right of Entry Permit for Construction
■ Permanent Easement(s)
o City of Carlsbad
■ Encroachment Permit
■ Minor Grading Permit
■ Habitat Modification Permit
~ CIT\ or VISTA
Supplemental Program Environmental Impact Report Tiering
Evaluation
1. Is project identified in one of the four CSMP project categories identified in the
SPEIR?
D Category 1 -Conveyance (Capacity/Condition) Project (Hardscape Environs) -See
Attachment A -SPEIR Tables 3-3 and 3-4 (Hardscape), Appendix B (Hardscape) and
Figures 3-7 through 3-17)
D Category 2 -Conveyance (Capacity/Condition) Project (Cross County Environs) -See
Attachment B -SPEIR, Tables 3-3 and 3-4 (Cross Country), Appendix B (Cross
Country) and Figures 3-7 through 3-17)
D Category 3 -O&M Program -Attachment C -SPEIR Table 3-5 and Figure 3-18
~ Category 4 -O&M Access (BC and V/C Interceptor Access) -See Attachment D -
SPEIR Figures 3-19 and 3-20
Note: If the project is not identified as a Category 1, 2, 3, or 4 project, this checklist does not
apply. For non-applicable projects, determine if project qualifies for a Class 1, 2, or 3
Categorical Exemption (CE) or addendum to the SPEIR. A new CEQA document may be
required if none of these conditions are met
2. Is the project similar in scope to that described in the SPEIR (CEQA Guidelines
Section 15162(a))?
~ Yes -Proceed to #3
D No -Assess project change and determine if changes result in new or more
significant impacts than described in the SPEIR:
D Changes are within the scope of the SPEIR?
D Yes -Proceed to #3
D No -Checklist not applicable
3. Complete Project Review Checklist:
Note: This checklist is intended to assist the City of Vista (and Buena Sanitation District
[District]) in assessing projects included under the 2017 CSMP according to the procedures
provided in Section 15168(c) of the CEQA guidelines (amended December 28, 2018).
June 2019 I 13
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Environmental Factors Potentially Affected
The project could potentially result in one or more of the following environmental effects.
D Aesthetics D Agriculture and Forestry D Air Quality
[gJ Biological Resources C8'.I Cultural Resources D Geology/Soils
D Greenhouse Gas Emissions
D Land Use/Planning
D Population/Housing
D Transportation/Traffic
C8'.I Tribal Cultural Resources
Determination
D Hazards & Hazardous
Materials
D Mineral Resources
D Public Services
D Utilities/Service Systems
D Wildfires
On the basis of this initial evaluation:
C8'.I Hydrology/Water Quality
D Noise
D Recreation
D Energy
D Mandatory Findings of
Significance
[gJ I find that the proposed project WOULD NOT have any significant effects on the
environment that either have not already been analyzed in the prior SPEIR or that are
more significant than previously analyzed. Pursuant to CEQA Guidelines Section
15168(c), CEQA does not apply to such effects. A Notice of Determination (Section
15094) will be filed.
D I find that the proposed project will have effects that either have not been analyzed in the
prior SPEIR, or are more significant than described in the prior SPEIR. With respect to
those effects that are subject to CEQA, I find that such effects WOULD NOT be
significant and a NEGATIVE DECLARATION will be prepared.
D I find that the proposed project will have effects that either have not been analyzed in a
prior EIR, or are more significant than described in the prior SPEIR. I find that although
those effects could be significant, there will not be a significant effect in this case because
revisions in the project have been made by or agreed to by the project proponent. A
MITIGATED NEGATIVE DECLARATION will be prepared.
D I find that the proposed project would have effects that either have not been analyzed in a
prior SPEIR, or are more significant than described in the prior SPEIR. I find that those
effects WOULD be significant, and an ENVIRONMENTAL IMPACT REPORT is required
to analyze those effects that are subject to CEQA.
Signature Date
14 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Evaluation of Environmental Impacts
~ unorv1sTA
1. A brief explanation is required for all answers except "No Impact" answers that are
adequately supported by the information sources a lead agency cites in the parentheses
following each question. A "No Impact" answer is adequately supported if the referenced
information sources show that the impact simply does not apply to projects like the one
involved (e.g., the project falls outside a fault rupture zone). A "No Impact" answer should be
explained where it is based on project-specific factors as well as general standards (e.g., the
project will not expose sensitive receptors to pollutants, based on a project-specific
screening analysis).
2. All answers must take account of the whole action involved, including off-site as well as on-
site, cumulative as well as project-level, indirect as well as direct, and construction as well as
operational impacts.
3. For the purposes of this checklist, "prior SPEIR" means the environmental impact report
certified for the 2017 CSMP.
4. Once the lead agency has determined that a particular physical impact may occur as a result
of an improvement contemplated under the CSMP, then the checklist answers must indicate
whether that impact has already been analyzed in the prior SPEIR. If the effect of the project
is not more significant than what has already been analyzed, that effect of the project is not
subject to CEQA. The brief explanation accompanying this determination should include
page and section references to the portions of the prior SPEIR containing the analysis of that
effect. The brief explanation shall also indicate whether the prior SPEIR included any
mitigation measures to substantially lessen that effect and whether those measures have
been incorporated into the project.
5. If all effects of an improvement contemplated under CSMP were analyzed in the prior
SPEIR, CEQA does not apply to the project, and the lead agency shall file a Notice of
Determination.
6. Effects of an improvement contemplated under CSMP that either has not been analyzed in a
prior EIR are subject to CEQA. With respect to those effects of individual improvements
contemplated under CSMP that are subject to CEQA, the checklist shall indicate whether
those effects are significant, less than significant with mitigation, or less than significant. If
there are one or more "Significant Impact" entries when the determination is made, an EIR is
required. The EIR should be limited to analysis of those effects determined to be significant.
(Section 15128).
7. "Less Than Significant With Mitigation Incorporated" applies where the incorporation of
mitigation measures will reduce an effect of a project that is subject to CEQA from
"Significant Impact" to a "Less Than Significant Impact." The lead agency must describe the
mitigation measures, and briefly explain how those measures reduce the effect to a less than
significant level. If the effects of a project that are subject to CEQA are less than significant
with mitigation incorporated, the lead agency may prepare a Mitigated Negative Declaration
or Addendum to the EIR. If all of the effects of the project that are subject to CEQA are less
than significant, the lead agency may prepare a Negative Declaration or Addendum to the
EIR
June 2019 I 15
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
8. The explanation of each issue should identify:
a. the significance criteria or threshold, if any, used to evaluate each question; and
b. the mitigation measure identified, if any, to reduce the impact to less than significance.
16 I June 2019
I. Aesthetics
Environmental Issue Area
Would the project:
a) Have a substantial
adverse effect on a
scenic vista?
b) Substantially damage
scenic resources,
including, but not limited
to, trees, rock
outcroppings, and
historic buildings within
a state scenic highway?
c) Substantially degrade
the existing visual
character or quality of
the site and its
surroundings?
d) Create a new source of
substantial light or glare
which would adversely
affect day or nighttime
views in the area?
Would the project:
Impact
Analyzed
in the
PEIR or
SPEIR
IZl
IZl
IZl
I
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Less Than
New Significant Significant
Impact due to with
Unusual No Impact Mitigation •
Circumstances or Less SPEIR
or Substantial than Mitigation
New Significant Measure(s)
Information Impact Applicable
D D
D D
D 181 D
-~
D IZl D
I
a) Have a substantial adverse effect on a scenic vista?
~ crrv or VISTA
Less Than
Significant
with
Mitigation •
New
Mitigation
Measure(s)
Required
D
D
D
D
Less than Significant Impact. The potential impacts on scenic vistas were analyzed in the
SPEIR (Section 5, Effects Determined Not to be Significant, page 5-1 ). The SPEIR determined
that the CSMP, including the project improvements, would result in a less than significant
impact on scenic vistas. The proposed project involves the realignment and improvement of
the existing VC1 access road to provide more reliable access to the VC1 pipeline and
manholes for maintenance. The proposed above-ground work would include minor cut and fil l
to achieve the desired road profile. No substantial new information has been presented that
shows the project would result in more significant impacts than those originally analyzed in the
SPEIR. No new significant impacts were identified as part of the project-level evaluation. For
these reasons, the conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
b) Substantially damage scenic resources, including, but not limited to, trees, rock
outcroppings, and historic buildings within a state scenic highway?
No Impact. The potential impacts on scenic resources within a state scenic highway were
analyzed in the SPEIR (Section 5, Effects Determined Not to be Significant, page 5-1). There
are no designated state scenic highways located in the vicinity of the project site. The SPEIR
June 2019 I 17
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
determined that the CSMP and project would have no impact on scenic resources within a
state scenic highway. The physical conditions in the project area as they relate to designated
scenic highways have not changed since the certification of the SPEIR. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
c) Substantially degrade the existing visual character or quality of the site and its surroundings?
Less than Significant Impact. The potential impacts on existing visual character or quality
were analyzed in the SPEIR (Section 5, Effects Determined Not to be Significant, page 5-1).
The SPEIR determined that the VC1 access road improvement would result in a less than
significant impact associated with the degradation of the existing visual character or quality of
the site and its surroundings. Construction of the project would generally be restricted from
viewers traveling along SR 78 due to the abrupt changes in grade between SR 78 and existing
access road.
The physical conditions in the project area have not substantially changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
d) Create a new source of substantial light or glare which would adversely affect day or
nighttime views in the area?
No Impact. The potential impacts associated with the creation of a new source of light or glare
were analyzed in the SPEIR (Section 5, Effects Determined Not to be Significant, pages 5-1
through 5-2). The SPEIR determined that the CSMP, including the project, would not result in
a significant impact associated with light and glare. No new permanent lighting fixtures would
be installed as part of the project. Nighttime construction activities are not proposed.
Based on these circumstances, the operational characteristics of the proposed access road
have not changed since the certification of the SPEIR. No substantial new information has
been presented that shows more significant impacts than those originally analyzed in the
·SPEIR and there would be no new impacts. The conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
18 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
II. Agricultural Resources
Environmental Issue Area
Impact
Analyzed in
the PEIR or
SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
No Impact or
Less than
Significant
Impact
Less Than
Significant
with
Mitigation
-SPEIR
Mitigation
Measure(s)
Applicable
~ U n Ol"VlSlA
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
In determining whether impacts to agricultural resources are significant environmental effects, lead
agencies may refer to the California Agricultural Land Evaluation and Site Assessment Model (1997)
prepared by the California Department of Conservation as an optional model to use in assessing impacts
on agriculture and farmland. In determining whether impacts to forest resources, including timberland, are
significant environmental effects, lead agencies may refer to information complied by the California
Department of Forestry and Fire Protection regarding the state's inventory of forest land, including the
Forest and Range Assessment Project and the Forest Legacy Assessment project; and forest carbon
measurement methodology provided in Forest Protocols adopted by the California Air Resources Board.
Would the project:
a) Convert Prime
Farmland, Unique
Farmland, or
Farmland of Statewide
Importance
(Farmland), as shown
on the maps prepared
pursuant to the
Farmland Mapping
and Monitoring
Program of the
California Resources
Agency, to
non-agricultural use?
b) Conflict with existing
zoning for agricultural
use, or a Williamson
Act contract?
c) Conflict with existing
zoning for, or cause
rezoning of, forest
land (as defined in
Public Resources
Code section
12220(g)), timberland
(as defined by Public
Resources Code
section 4526), or
timberland zoned
Timberland
Production (as defined
by Government Code
section 51104(g))?
d) Result in the loss of
forest land or
conversion of forest
land to non-forest
use?
~
□
181 □
□
--181 □
I
□ □
181 □ □
□ □
-----
181 □ □
June 2019 I 19
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
II. Agricultural Resources
Environmental Issue Area
e) Involve other changes
in the existing
environment which,
due to their location or
nature, could result in
conversion of
Farmland, to
non-agricultural use or
conversion of forest
land to non-forest
use?
Impact
Analyzed in
the PEIR or
SPEIR
D
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
Less Than Less Than
Significant Significant
with with
Mitigation Mitigation
No Impact or -SPEIR -New
Less than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
►:::◄ D D
In determining whether impacts to agricultural resources are significant environmental effects, lead
agencies may refer to the California Agricultural Land Evaluation and Site Assessment Model (1997)
prepared by the California Department of Conservation as an optional model to use in assessing
impacts on agriculture and farmland. In determining whether impacts to forest resources, including
timberland, are significant environmental effects, lead agencies may refer to information compiled by
the California Department of Forestry and Fire Protection regarding the state 's inventory of forest
land, including the Forest and Range Assessment Project and the Forest Legacy Assessment
project; and forest carbon measurement methodology provided in Forest Protocols adopted by the
California Air Resources Board.
Would the project:
a) Convert Prime Farmland, Unique Farmland, or Farmland of Statewide Importance
(Farmland}, as shown on the maps prepared pursuant to the Farmland Mapping and
Monitoring Program of the California Resources Agency, to non-agricultural use?
No Impact. According to the State of California Department of Conservation (DOC), Division
of Land Resource Protection's Farmland Mapping and Monitoring Program, the project site is
designated as "Farmland of Local Importance" (California DOC 2018). According to the
Department of Conservation, Farmland of Local Importance is either currently producing, or
has the capability of production, but does not meet the criteria of Prime Farmland, Farmland
of Statewide Importance, or Unique Farmland (California DOC 2017). Based on local site
observations, no active, agricultural cultivation is occurring on the project site. In addition, the
Farmland of Local Importance designation is not covered under the definition of "agricultural
land" per CEQA Statute Section 21060.1 (a). Based on this context, the conversion of Farmland
of Local Importance is not considered significant under CEQA. No impact is identified for this
issue area.
b) Conflict with existing zoning for agricultural use, or a Williamson Act contract?
No Impact. According to the City of Carlsbad's Zoning Map, the project site is not zoned for
agricultural use (City of Carlsbad 2017). According to the State of California DOC, Division of
20 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ CITl'.OfVIS1A
Land Resource Protection, the project site is not located on Williamson Act contracted land
(California DOC 2013). Therefore, the proposed project would not conflict with existing zoning
for agricultural use or a Williamson Act contract, and no impact would occur.
c) Conflict with existing zoning for, or cause rezoning of, forest land (as defined in Public
Resources Code section 12220(9)), timberland (as defined by Public Resources Code
section 4526), or timberland zoned Timberland Production (as defined by Government Code
section 51104(g))?
No Impact. The project site is not zoned for forest land as defined in PRC Section 12220(g),
timberland (as defined by PRC Section 4526), or timberland production (as defined by CGC
Section 51104(g). There are no existing forest lands, timberlands, or timberland production
zones either within the project site or in the immediate vicinity. Therefore, no impact would
occur.
d) Result in the loss of forest land or conversion of forest land to non-forest use?
No Impact. There are no existing forest lands either within the project site or in the immediate
vicinity. Therefore, the proposed project would not result in the loss of forest land or conversion
of forest land to non-forest use and no impact would occur.
e) Involve other changes in the existing environment which, due to their location or nature,
could result in conversion of Farmland, to non-agricultural use or conversion of forest land to
non-forest use?
No Impact. The project site is not adjacent to any existing and active agricultural lands. As
such, the proposed project would not result in other changes in the existing environment that
could result in the conversion of farmland to non-agricultural use. Therefore, no impact would
occur.
June 2019 I 21
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Ill. Air Quality
Environmental Issue Area
Impact
Analyzed in
the PEIR or
SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
No Impact or
Less than
Significant
Impact
Less Than
Significant
with
Mitigation -
SPEIR
Mitigation
Measure(s)
Applicable
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
Where available, the significance criteria established by the applicable air quality management or air
pollution control district may be relied upon to make the following determinations.
Would the project:
a) Conflict with or □ □ □ obstruct
implementation of the
applicable air quality
plan?
b) Violate any air quality □ □ □ standard or contribute
substantially to an
existing or projected
air quality violation?
c) Result in a □ □ □ cumulatively
considerable net
increase of any
criteria pollutant for
which the project
region is non-
attainment under an
applicable federal or
state ambient air
quality standard
(including releasing
emissions, which
exceed quantitative
thresholds for ozone
precursors)?
d) Expose sensitive □ □ □ receptors to
substantial pollutant
concentrations?
e) Create objectionable
odors affecting a □ □ □
substantial number of
people?
22 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Where available, the significance criteria established by the applicable air quality management or air
pollution control district may be relied upon to make the following determinations.
Would the project:
a) Conflict with or obstruct implementation of the applicable air quality plan?
Less than Significant Impact. The potential impacts associated with conflicts with an
applicable air quality plan were analyzed in the SPEIR (Section 4.1, Air Quality, page 4.1-9).
The SPEIR determined that the VC1 access road improvement would not conflict with or
obstruct implementation of the Regional Air Quality Strategy or State Implementation Plan
(SIP) and a less than significant impact would occur.
The existing regulatory framework governing air quality planning in the project area has not
changed since the certification of the SPEIR. Furthermore, the construction and operational
characteristics as described for the proposed access road have not changed since the
certification of the SPEIR. No substantial new information has been presented that shows
more significant impacts than those originally analyzed in the SPEIR and there would be no
new significant impacts. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
b) Violate any air quality standard or contribute substantially to an existing or projected air
quality violation?
Less than Significant Impact. The potential impacts associated with violation of air quality
standards were analyzed in the SPEIR (Section 4.1, Air Quality, pages 4.1-9 through 4.1-12).
The SPEIR determined that the VC1 access road improvement along with other improvements
covered under the CSMP would result in a less than significant impact associated with violation
of air quality standards.
The SPEIR estimated the construction emissions for the overall CSMP using worst-case
assumptions, which considered simultaneous construction of multiple projects covered under
the CSMP. The construction parameters as described for the project would be contained within
the worst-case scenario as described in Section 3.5.4, Construction Methods, of the SPEIR.
Based on the fact that programmatic emissions for the CSMP were determined less than
significant, it is reasonable conclude that the proposed project, as a sub-component of the
CSMP, would not exceed SDPACD's significance thresholds and therefore less than
significant. For this reason, no substantial new information has been presented that shows
more significant impacts than those originally analyzed in the SPEIR and there would be no
new significant impacts. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
The SPEIR concluded that access road improvements would result in no net increase in
operational emissions once constructed. The operational characteristics of the proposed
access road have not changed since the certification of the SPEIR. The operational emissions
associated with the access road were captured in the SPEIR and were determined to be a less
than significant impact. Therefore, no substantial new information has been presented that
shows more significant impacts than those originally analyzed in the SPEIR and there would
be no new impacts. The conclusion identified in the SPEIR remains accurate and applicable
to the proposed project.
June 2019 I 23
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
c) Result in a cumulatively considerable net increase of any criteria pollutant for which the
project region is non-attainment under an applicable federal or state ambient air quality
standard (including releasing emissions, which exceed quantitative thresholds for ozone
precursors)?
Less than Significant Impact. The potential impacts associated with a cumulatively
considerable net increase of criteria pollutants were analyzed in the SPEIR (Section 4.1, Air
Quality, pages 4.1-14 through 4.1-15). The SPEIR determined that the VC1 access road
improvement as a sub-component of the CSMP would result in a less than significant impact.
The existing air quality conditions, including the local air basins attainment status, have not
changed since the certification of the SPEIR. Furthermore, the construction and operational
characteristics of the proposed access road have not changed since the certification of the
SPEIR. No substantial new information has been presented that shows more significant
impacts than those originally analyzed in the SPEIR and there would be no new significant
impacts. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
d) Expose sensitive receptors to substantial pollutant concentrations?
Less than Significant Impact. The potential impacts associated with exposure of sensitive
receptors to pollutant concentrations were analyzed in the SPEIR (Section 4.1, Air Quality,
page 4.1-13). The SPEIR determined that the VC1 access road improvement, as a sub-
component of the CSMP, would not expose sensitive receptors to substantial pollutant
concentrations and a less than significant impact would occur.
The physical conditions, as they relate to the location of sensitive receptors and proximity from
construction, have not changed since the certification of the SPEIR. The proposed alignment
of the access road roughly corresponds with the alignment contemplated in the SPEIR; albeit
slight variations. Furthermore, the construction and operational characteristics of the proposed
access road have not changed since the certification of the SPEIR. No substantial new
information has been presented that shows more significant impacts than those originally
analyzed in the SPEIR and there would be no new significant impacts. The conclusion
identified in the SPEIR remains accurate and applicable to the proposed project.
e) Create objectionable odors affecting a substantial number of people?
Less than Significant Impact. The potential impacts associated with odors were analyzed in
the SPEIR (Section 4.1, Air Quality, pages 4.1-13 through 4.1-14). The SPEIR determined that
the VC1 access road improvement would not create objectionable odors and a less than
significant impact would occur.
The construction and operational characteristics of the proposed access road have not
changed since the certification of the SPEIR. The project would improve access to the City's
existing sewer infrastructure, which would provide desirable benefits in terms of minimizing
and avoiding SSOs and any related odor complaints. No substantial new information has been
presented that shows more significant impacts than those originally analyzed in the SPEIR
and there would be no new impacts. The conclusion identified in the SPEIR remains accurate
and applicable to the proposed project.
24 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
IV. Biological Resources
Environmental Issue Area
Would the project:
a) Have a substantial
adverse effect, either
directly or through
habitat modifications,
on any species
identified as a
candidate, sensitive, or
special status species
in local or regional
plans, policies, or
regulations, or by the
California Department
of Fish and Game or
U.S. Fish and Wildlife
Service?
b) Have a substantial
adverse effect on any
riparian habitat or other
sensitive natural
community identified in
local or regional plans,
policies, and
regulations or by the
California Department
of Fish and Game or
U.S. Fish and Wildlife
Service?
c) Have a substantial
adverse effect on
federally protected
wetlands as defined by
Section 404 of the
Clean Water Act
(including, but not
limited to, marsh,
vernal pool, coastal,
etc.) through direct
removal, filling,
hydrological
interruption, or other
means?
Impact
Analyzed in
the PEIR or
SPEIR
r8l
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
□
□
No Impact or
Less than
Significant
Impact
□
~
□
Less Than
Significant
with
Mitigation
• SPEIR
Mitigation
Measure(s)
Applicable
□
r8l
~ CIT\' 0 1 VISTA
Less Than
Significant
with
Mitigation
• New
Mitigation
Measure(s)
Required
□
□
□
June 2019 I 25
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
IV. Biological Resources
Interfere substantially
with the movement of
any native resident or
migratory fish or wildlife
species or with
established native
resident or migratory
wildlife corridors, or
impede the use of
wildlife nursery sites?
e) Conflict with any local
policies or ordinances
protecting biological
resources, such as a
tree preservation policy
or ordinance?
f) Conflict with the
provisions of an
adopted Habitat
Conservation Plan,
Natural Community
Conservation Plan, or
other approved local,
regional, or state
habitat conservation
plan?
Would the project:
J
~
D D D
I --
D I ~ D D
I
a) Have a substantial adverse effect, either directly or through habitat modifications, on any
species identified as a candidate, sensitive, or special status species in local or regional
plans, policies, or regulations, or by the California Department of Fish and Game or U.S. Fish
and Wildlife Service?
Less than Significant with Mitigation. The project would result in the following impacts,
either directly or through habitat modifications, on species identified as a candidate, sensitive,
or special status species in local or regional plans, policies, or regulations, or by the California
Department of Fish and Wildlife (CDFW) or U.S. Fish and Wildlife Service (USFWS).
Direct Impacts (Special-status Plant Species). No federally and/or state-listed plant species
have been observed in the project area; however, focused plant surveys will be completed at
the end of June 2019. The need for project-specific mitigation measures pertaining to federally
and/or state-listed species, if found, will be assessed after the focused surveys have
concluded.
26 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Based on the preliminary project design, neither of the two non-listed special-status plant
species observed on the project site would be directly impacted by the project, the project
would not have a substantial adverse effect, either directly or through habitat modifications, on
these non-listed special-status plant species (Appendix B).
Direct Impacts (Special-status Wildlife Species). Two federally and/or state-listed wildlife
species have been observed in the project area: coastal California gnatcatcher and least Bell's
vireo. Based on the preliminary project design, direct impacts would occur to approximately
0.65 acre of suitable coastal sage scrub habitat for coastal California gnatcatcher, 0.20 acre
of suitable willow riparian habitat for least Bell's vireo and southwestern willow flycatcher, and
0.03 acre of potentially suitable habitat for San Diego fairy shrimp (Appendix B). Removal of
coastal sage scrub could result in direct impacts to coastal California gnatcatcher. If willow
riparian habitat removal were to occur during the breeding season for least Bell's vireo or
southwestern willow flycatcher (March 15 through September 15 and May 1 through
September 15, respectively), there would be potential for direct take of these species. Grading
and fill of Road Ruts A, B and C within the existing access road and Depressional Wetland
adjacent to the roadway would result in direct impacts to San Diego fairy shrimp if present.
Direct impacts to coastal California gnatcatcher, least Bell's vireo, southwestern willow
flycatcher and San Diego fairy shrimp would be considered significant prior to implementation
of mitigation. Compliance with the MHCP and Mitigation Measures 810-2, BIO-3, BIO-4, and
BIO-5 will reduce impacts to less than significant.
Also as identified in the SPEIR, direct impacts to nesting birds, including yellow breasted chat,
northern harrier, white-tailed kite, long-eared owl or yellow warbler, would be considered
significant prior to implementation of mitigation. Compliance with MMRP Mitigation Measure
810-1 will reduce impacts to less than significant.
The project is not expected to directly impact arroyo chub habitat, which is limited to the Buena
Vista Creek active channel, or roosting habitat for Townsend's big-eared bat, pocketed free-
tailed bat or pallid bat roosting habitat (Appendix B). Therefore, no direct impacts are expected
to these species.
Direct impacts to California glossy snake, orange-throated whiptail, southern California legless
lizard, coastal whiptail, red-diamond rattlesnake, coast patch-nosed snake, coast horned
lizard, two-striped garter snake, south coast gartersnake, western red bat, Dulzura pocket
mouse, northwestern San Diego pocket mouse, western yellow bat, San Diego black-tailed
jackrabbit and San Diego desert woodrat could result from grading operations. None of these
species is covered by the MHCP, however, based on the small quantities of suitable habitat
being impacted (less than one acre distributed over almost a mile), only a very small number
of individuals would be impacted, if any. Given the wide range of habitat these species utilize,
their wide geographic range and the existing MCP framework, loss of a small number of
individuals would not significantly alter these species' future survival.
Both western spadefoot toad and southern western pond turtle, however, are dependent upon
more limited aquatic habitat. Neither is covered by the MHCP. Direct impacts could occur
result from grading and could be significant prior to implementation of mitigation. Mitigation
measures recommended in addition to MMRP BIO-1 to reduce impacts to less than significant.
Indirect Impacts (Special-Status Plant Species). Implementation of the project would result in
indirect impacts on special-status plant species, which may include temporary, construction-
related dust effects on flowering of these species. However, standard dust control best
June 2019 I 27
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
management practices would minimize dust during construction and dust is not expected to
substantially affect the small number of special-status plants observed at the project site.
These impacts are consistent with impacts identified in the SPEIR and would not be
considered significant.
Indirect Impacts (Special-status Wildlife Species). As indicated in the SPEIR, implementation
of the project could result in indirect impacts on special-status wildlife species through habitat
loss and temporary, construction-related dust, noise and water quality effects (e.g., hazardous
materials leaks, such as fuel, hydraulic fluid, and/or lubricants) from equipment working in or
around occupied habitat.
In particular, indirect impacts to coastal California gnatcatcher, least Bell's vireo, southwestern
willow flycatcher and San Diego fairy shrimp, if present, would be considered significant. .
These impacts are consistent with impacts identified in the SPEIR. Compliance with the
MHCP and MMRP Mitigation Measures 810-2, 810-3, 810-4, and 810-5 will reduce impacts
to less than significant.
Indirect noise, dust and water quality impacts on other special-status species would be
temporary and of relatively brief duration. Wildlife could temporarily move out of the area in
response to these temporary construction disturbances. Also, as discussed above, the loss
of less than one acre of habitat distributed over a length of almost one mile, is not anticipated
to significantly alter the local population dynamics of these species, if present. Therefore,
indirect impacts to other special-status species would be less than significant.
Operations and Maintenance Impacts (Special-Status Plant Species). Once constructed,
ongoing operations and maintenance activities associated with the project would be conducted
within the confines of the access road. Therefore, impacts on special-status plant species are
unlikely and this impact would be considered less than significant.
Operations and Maintenance Impacts (Special-status Wildlife Species). Once constructed,
ongoing operations and maintenance activities associated with the project would be conducted
within the confines of the access road. Impacts on special-status wildlife species would be
limited to indirect effects such as minor dust production and noise and would be considered
less than significant.
b) Have a substantial adverse effect on any riparian habitat or other sensitive natural
community identified in local or regional plans, policies, and regulations or by the California
Department of Fish and Game or U.S. Fish and Wildlife Service?
Less than Significant. Based on the preliminary project design, construction of the project
would result in direct impacts on vegetation communities and other land cover types (Table 4).
Impacts on riparian and other sensitive natural communities would be considered significant.
Because a discretionary permit from the City of Carlsbad is required for project
implementation, the project will need to comply with the Carlsbad HMP and impacts to
vegetation communities and habitat for special-status species identified in the Carlsbad HMP
will be mitigated per the ratios noted in Table 11 of the HMP (Appendix B). Compliance with
the Carlsbad's HMP would avoid conflicts with species conservation goals and a less than
significant impact would result.
28 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ on:orVISTA
Table 4. Vegetation Community Impacts
Vegetation Community or Other
Land Cover Type
Coastal sage scrub 1
Non-native grassland2
Non-native herbaceous stand
Non-native shrub land
Freshwater marsh
Willow riparian forest
Non-native woodland2
Disturbed habitat
Urban/Developed
Total
Notes:
Alliance level Vegetation Community
Type
California sagebrush scrub
California sagebrush-black sage scrub
Coyote brush scrub
California brittle bush scrub
Menzies's golden bush scrub
Annual brome grassland
Red brome grassland
Upland mustard stand
Poison hemlock patch3
Bristly ox-tongue patch3
Butterfly bush patch
Cattail marsh
Mixed willow riparian
Eucalyptus woodland
Disturbed habitat
Urban/Developed
-.
0.02
0.05
0.52
0.06
0.01
0.62
0.36
0.02
0.01
0.02
0.004
0.00004
0.20
0.002
0.55
0.002
2.59
Riparian or Other
Sensitive Natural
Community?
Yes
Yes
Yes
Yes
Yes
No
No
No
No
No
No
Yes
Yes
No
No
No
1 All types of coastal sage scrub are considered sensitive because they provide potential breeding, foraging, or
dispersal habitat for coastal California gnatcatcher.
2 Although non-native grassland and eucalyptus woodland are not considered sensitive natural communities,
impacts to these communities require mitigation per the Carlsbad HMP.
3 Although these vegetation types are not typically considered a sensitive natural community for CEQA analysis,
they are dominated by wetland plants and will be included in the jurisdictional impact assessment.
Implementation of the project would result in indirect impacts on riparian habitats and other
sensitive natural communities that are consistent with the impacts identified in the SPEIR.
These impacts could be significant. Mitigation Measures HWQ-1 and HWQ-2 in the SPEIR are
proposed to mitigate this impact. No other project-specific mitigation measures are
recommended.
Operations and maintenance activities associated with the project would be conducted within
the confines of the access road and, therefore, would be consistent with the assumptions for
these activities as identified and analyzed in the SPEIR. These activities would be conducted
in accordance with issued permits. Therefore, impacts would be considered less than
significant.
c) Have a substantial adverse effect on federally protected wetlands as defined by Section 404
of the Clean Water Act (including, but not limited to, marsh, vernal pool, coastal, etc.)
through direct removal, filling, hydrological interruption, or other means?
June 2019 I 29
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Less than Significant with Mitigation. Implementation of the project would result in direct
impacts on state or federally protected wetlands and other waters of the U.S. and state
(Table 5). Per the MHCP and regulatory requirements, the project has been designed to
minimize impacts to wetland and riparian habitat to the maximum extent feasible by utilizing
the existing access road alignment where crossing aquatic features and implementing
alternative technologies, such a cellular concrete block where feasible. Based on the 50
percent design, unavoidable impacts to these resources would include up to 0.12 acre of
USACE waters of the U.S./RWQCB waters of the State, including 0.06 acre of wetland waters
of the U.S./RWQCB Waters of the State, and up to 0.19 acre of CDFW riparian and
unvegetated streambed, which are less than with the impacts identified in the SPEIR. These
impacts would be considered significant and require mitigation. Compliance with the MHCP,
Mitigation Measures BIO-3 and BIO-5 and SWRCB and USACE wetland mitigation policies,
impacts to wetlands will be mitigated to ensure no let loss of aquatic value and function.
Table 5. Jurisdictional Resource Impacts
Jurisdictional Type Impact (acres)
USACE Wetland Waters of the U.S.
USACE Non-wetland Waters of the U.S.
Total USACE
0.06
0.06
0.12
CDFW Unvegetated Streambed
CDFW Riparian
0.05
0.14
0.19 Total CDFW
Notes:
CDFW=California Department of Fish and Wildlife; U.S.=United States; USACE=U.S. Army Corps of Engineers
Implementation of the project would result in indirect impacts on state or federally protected
wetlands that are consistent with the impacts identified in the SPEIR. These impacts could be
significant. Mitigation Measures HWQ-1 and HWQ-2 in the SPEIR are proposed to mitigate
this impact. No other project-specific mitigation measures are recommended.
Operations and maintenance activities would be conducted in accordance with issued permits.
Therefore, impacts on state or federally protected wetlands would be considered less than
significant.
d) Interfere substantially with the movement of any native resident or migratory fish or wildlife
species or with established native resident or migratory wildlife corridors, or impede the use
of wildlife nursery sites?
Less than Significant Impact. Construction of the access road may have a temporary impact
to the movements of some terrestrial wildlife during construction, as noted in the SPEIR.
However, construction of the project would not result in any permanent barriers to the
movement of terrestrial species. Additionally, based on the history of disturbance in the project
area and fragmentation by existing development impacts to migratory corridors are considered
less than significant.
30 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Implementation of the project would not result in new growth or secondary projects that could
otherwise result in indirect impacts to wildlife corridors. For this reason, this impact would be
less than significant.
Operations and maintenance activities associated with the project would be conducted within
the confines of the access road and, therefore, would be consistent with what was identified
in the SPEIR. These activities would not interfere with the movement of any native wildlife
species or wildlife corridors or nursery sites. In this context, the project would result in a less
than significant impact to existing wildlife corridors.
e) Conflict with any local policies or ordinances protecting biological resources, such as a tree
preservation policy or ordinance?
Less than Significant Impact. Access road improvements associated with the project would
be required to maintain conformance with applicable Carlsbad HMP standards, including
implementation of minimum buffer widths. Compliance with these requirements would be a
condition of approval prior to the pruning or removal of protected trees within the City of
Carlsbad. Based on these preexisting regulations, this impact is less than significant.
Implementation of the project would not result in secondary activities, not otherwise considered
in the SPEIR that could conflict with local plans and polices adopted for the purpose of
protecting biological resources. For this reason, this impact would be less than significant.
Ongoing operations and maintenance activities would be conducted within the confines of the
access road. Compliance with the Carlsbad HMP requirements would be a condition of
approval prior to the pruning or removal of protected trees, if required as part of ongoing
operations and maintenance, within the City of Carlsbad.
f) Conflict with the provisions of an adopted Habitat Conservation Plan, Natural Community
Conservation Plan, or other approved local, regional, or state habitat conservation plan?
Less than Significant Impact. The project is a covered activity under the Carlsbad HMP.
Therefore, all impacts to biological resources will be mitigated in compliance with the
requirements identified in the HMP, as noted in the SPEIR.
Although the subarea plan of the MHCP for the project region has not been adopted, the
project would be consistent with draft sub area plan of MHCP. Implementation of the project
would not result in land use changes or secondary effects that could otherwise result in
conflicts with an adopted HCP or NCCP. For this reason, this impact would be less than
significant.
Ongoing operations and maintenance activities are included as a covered activity under the
Carlsbad HMP. Ongoing operations and maintenance activities would be conducted within the
confines of the access road and consistent with the requirements of the HMP. Therefore, this
impact would be less than significant.
June 2019 I 31
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
V. Cultural Resources
Environmental Issue Area
Would the project:
a) Cause a substantial
adverse change in the
significance of a
historical resource as
defined in §15064.5?
b) Cause a substantial
adverse change in the
significance of an
archaeological
resource pursuant to
§15064.5?
c) Directly or indirectly
destroy a unique
paleontological
resource or site or
unique geologic
feature?
d) Disturb any human
remains, including
those interred outside
of formal cemeteries?
Would the project:
Impact
Analyzed in
the PEIR or
SPEIR
-
-
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
D
D
No Impact or
Less than
Significant
Impact
D
D
D
t
!
Less Than
Significant
with
Mitigation
-SPEIR
Mitigation
Measure(s)
Applicable
-
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
□
D
D
D
a) Cause a substantial adverse change in the significance of a historical resource as defined in
§15064.5?
Less than Significant with Mitigation. As provided in Section 4.3 of the SPEIR, project
construction activities could include the use of equipment that could generate high levels of
vibration. The highest vibration levels for construction identified in the SPEIR was that
associated with the operation of a vibratory rol ler (0.210 peak particle velocity [PPV) at 25
feet). This assumption would remain accurate for the project in that no blasting is proposed to
facilitate realignment of the roadway as proposed.
Based on criteria presented in the Federal Transit Administration's (FTA) Noise and Vibration
Manual (2006), "fragile buildings" are subject to damage when vibration exceeds 0.20 PPV.
As provided in the SPEIR, historic structures are often considered in this category due to their
age of construction and the building codes enacted at the time of construction. As a resu lt,
construction activities within 25 feet of fragile structures could result in damaging vibration
levels for historic structures, where present and eligible for the NRHP or CRHR. As provided
in the SPEIR, the CRHR eligible Rancho Buena Vista adobe ranch house is located in close
proximity to the project with actual work proposed at approximately 100 feet of the onsite
32 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~----Un orVIS1A
structure. However, it is possible that one or more contributing elements could be located in
closer proximity and therefore be subject to potentially significant vibration-related impacts.
Mitigation Measure CUL T-1 is proposed to minimize construction-related vibration impacts to
historic structures to a level of less than significant.
b) Cause a substantial adverse change in the significance of an archaeological resource
pursuant to §15064.5?
Less than Significant with Mitigation. As described in Section 4.3 of the SPEIR, the City
applied probable work limits for construction for the Category 4 improvements, including the
project. This included approximating the area of direct impact for construction, adjacent staging
areas, and/or other temporary work areas and averages 50 feet in width. These areas are now
defined in Figure 4 and Figure 5 for VC1 at the project level.
Based on the project APE, four previously recorded sites were identified within the area of
direct impact (Appendix C). CA-SDl-5652 is a multi-component site consisting of the Marron-
Hayes Adobes Historic District, historic and prehistoric artifact scatter, and prehistoric shell
midden deposit. A subsurface testing program implemented by Gallegos and Associates in
1998 confirmed the presence of buried shell midden deposit within the study area. The Marron-
Hayes Adobes Historic District was nominated by ASM Affiliates to the NRHP in 2015. The
Marron-Hayes Adobe is a contributing historic resource to the historic district and is itself
eligible for the CRHR and NRHP under Criteria Band C. The structure is within 500 feet of the
APE. Additionally, the prehistoric component of the site should be treated as eligible for the
CRHR and the NRHP under Criterion D (Appendix C). Construction of the access road will
have a direct adverse effect on the site. Any ground disturbing activity within the vicinity of the
site may encounter additional buried archaeological deposits. Prior to any ground disturbing
activities a protection plan should be implemented to mitigate adverse effects on buried cultural
resources. HDR also recommends that Mitigation Measure CULT-3, Archaeological
Monitoring, be implemented for all activities within the historic district. In addition, compliance
with Carlsbad's Tribal, Cultural, and Paleontological Resources Procedures (2017) would also
be required.
CA-SDl-9472, CA-SDl-9473, and CA-SDl-9474 contain prehistoric surface scatters consisting
of lithic artifacts and shell debris (Appendix C). CA-SDl-9474 additionally contains a historic
artifact scatter and structural debris. The significance of these sites has not been fully
evaluated. Subsurface testing would be necessary to determine the significance and eligibility
of the sites under Criterion D. Unless demonstrated to be otherwise, these sites should be
treated as potentially eligible. HOR therefore recommends subsurface testing and evaluation
of the portions of the site directly impacted by construction of the access road. HDR also
recommends that Mitigation Measure CUL T-3, Archaeological Monitoring, be implemented for
all ground disturbing activities within the vicinity of these sites.
To remain consistent with the prior SPEIR analysis and based on the results of the
archaeological survey, the project has potential to cause significant impacts to cultural
resources eligible for listing on the CRHR and NRHP. Excavation within the archaeological
resources may cause the destruction, relocation, or alteration of buried archaeological
deposits that may be likely to yield information important to prehistory or history. Thus,
construction related to improvements to the VC1 access road has the potential to cause
substantial adverse change in the significance of archaeological resources CA-SDl-5652, CA-
June 2019 I 33
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
SDl-9472, CA-SDl-9473, and CA-SDl-9474. This is considered a potentially significant impact
and Mitigation Measure CUL T-3 is required.
c) Directly or indirectly destroy a unique paleontological resource or site or unique geologic
feature?
Less than Significant with Mitigation. According to Section 4.3 of the SPEIR, substantial
grading at depths greater than 10 feet in areas characterized with a moderate to high sensitivity
for paleontological resources could result in a significant impact on paleontological resources.
The project would be constructed in an areas with moderate sensitivity for paleontological
resources and therefore, has the potential to directly destroy paleontological resources during
excavation activities. This potential impact could be significant. Mitigation Measure CUL T-4 is
proposed to reduce these potential impacts to paleontological resources to a less than
significant level.
d) Disturb any human remains, including those interred outside of formal cemeteries?
Less than Significant with Mitigation. As provided in Section 4.3 of the SPEIR, construction
of the improvements proposed under the 2017 CSMP, including the project, would occur at
the vicinity of existing facility locations. However, during the construction of these facilities, the
potential for the unexpected discovery of interred human remains, either prehistoric or historic,
is a possibility. The potential then increases in areas that have supported prehistoric and
historic settlements, including the project area. These direct impacts could be significant.
Mitigation Measure CUL T-5 is proposed to reduce these potential impacts to the unexpected
discovery of interred human remains.
34 I June 2019
VI. Geology and Soils
Environmental Issue Area
Would the project:
a) Expose people or
structures to potential
substantial adverse
effects, including the
risk of loss, injury or
death involving:
i. Rupture of a known
earthquake fault, as
delineated on the
most recent
Alquist-Priolo
Earthquake Fault
Zoning Map issued
by the State
Geologist for the
area or based on
other substantial
evidence of a known
fault? Refer to
Division of Mines
and Geology Special
Publication 42.
ii. Strong seismic
ground shaking?
iii. Seismic-related
ground failure,
including
liquefaction?
iv. Landslides?
b) Result in substantial
soil erosion or the loss
of topsoil?
c) Be located on a
geologic unit or soil
that is unstable, or that
would become
unstable as a result of
the project and .
potentially result in on-
or off-site landslide,
lateral spreading,
subsidence,
liquefaction or
collapse?
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
New Less Than
Significant Significant
Impact due to with
Unusual Mitigation
Impact Circumstances No Impact or · SPEIR
Analyzed in or Substantial Less than Mitigation
the PEIR or New Significant Measure(s)
SPEIR Information Impact Applicable
D
~
[gJ D 0 D
I
I
I
-
~ D [gJ D
0 D 0 D
0 D ~ □
0 □ 0 □
□ 0 □
~ cm orVtSTA
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
D
-
D
D
D
□
□
......
D
June 2019 I 35
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
VI. Geology and Soils
Environmental Issue Area
: -. . ...
expansive soil, as
defined in Table 18-1-B
of the Uniform Building
Code (1994), creating
substantial risks to life
or property?
e) Have soils incapable of
adequately supporting
the use of septic tanks
or alternative
wastewater disposal
systems where sewers
are not available for
the disposal of
wastewater?
Would the project:
Impact
Analyzed in
the PEIR or
SPEIR
■
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
■
□
Less Than Less Than
Significant Significant
with with
Mitigation Mitigation
No Impact or • SPEIR -New
Less than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
►~ ■ ■
□ □
a) Expose people or structures to potential substantial adverse effects, including the risk of
loss, injury or death involving:
i. Rupture of a known earthquake fault, as delineated on the most recent Alquist-Priolo
Earthquake Fault Zoning Map issued by the State Geologist for the area or based on
other substantial evidence of a known fault? Refer to Division of Mines and Geology
Special Publication 42.
No Impact. The potential impacts associated with exposure of people or structures to potential
substantial adverse effects involving rupture of an earthquake fault were analyzed in the
SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-2). The SPEIR
determined that surface rupture as a result of seismic activity is unlikely and no impact would
occur.
The physical geologic conditions, as they relate to existing seismicity and earthquake faulting,
have not changed in the project area since the certification of the SPEIR. No substantial new
information has been presented that shows more significant impacts than those originally
analyzed in the SPEIR and there would be no new impacts. The conclusion identified in the
SPEIR remains accurate and applicable to the proposed project.
ii. Strong seismic ground shaking?
Less than Significant Impact. The potential impacts associated with exposure of people or
structures to potential substantial adverse effects involving strong seismic shaking were
analyzed in the SPE IR (Section 5.0, Effects Determined Not to be Significant, page 5-2). The
SPEIR determined that the VC1 access road improvement would not exacerbate existing
hazards related to strong seismic shaking. The project would be required to comply with the
36 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~---Cr!YOI VISTA
City's engineering standards and standard engineering practices, which will include the
preparation of a project-specific geotechnical report. As a result, this impact would be less than
significant.
The physical geologic conditions in the project area, including related faulting, have not
changed since the certification of the SPEIR. No substantial new information has been
presented that shows the project would result in more significant impacts than those originally
analyzed in the SPEIR. No new significant impacts were identified as part of the project level
analysis. For these reason, the conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
iii. Seismic-related ground failure, including liquefaction?
Less than Significant Impact. The potential impacts associated with exposure of people or
structures to potential substantial adverse effects involving seismic-related ground failure were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-2). The
SPEIR determined that the VC1 access road improvement would result in a less than
significant impact and would not exacerbate existing hazards related to seismic-related ground
failure. The project would be required to comply with the City's standards and standard
engineering practices, including the preparation of a project-specific geotechnical
investigation.
The physical geologic conditions, as they relate to exposure of people to seismic-related
ground failure, have not substantially changed in the project area since the certification of the
SPEIR. No substantial new information has been presented that shows the project would result
in more significant impacts than those originally analyzed in the SPEIR. No new significant
impacts were identified as part of the project level analysis. For these reasons, the conclusion
identified in the SPEIR remains accurate and applicable to the proposed project.
iv. Landslides?
Less than Significant Impact. The potential impacts associated with exposure of people or
structures to potential substantial adverse effects involving landslides were analyzed in the
SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-2). The SPEIR
determined that the CSMP would result in a less than significant impact associated with
landslides. The project would be required to comply with the City's engineering standards
along with Carlsbad's grading requirements, which would minimize any hazards related to cut
and fill slopes and related landslide hazards. These requirements combined with the
completion of a project specific geotechnical investigation and incorporation of any project-
specific recommendations would minimize any impacts to less than significant.
The physical geologic and soil conditions in the project area have not substantially changed
since the certification of the SPEIR. No substantial new information has been presented that
shows more significant impacts would occur than those originally analyzed in the SPEIR. No
new significant impacts were identified as part of the project level analysis. For these reasons,
the conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
b) Result in substantial soil erosion or the loss of topsoil?
Less than Significant Impact. The potential impacts associated with soil erosion were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-2). The
June 2019 I 37
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
SPEIR determined that the VC1 access road improvement would result in a less than
significant impact associated with soil erosion.
Project construction activities would be regulated under the NPDES General Permit for
Discharges of Storm Water Runoff Associated with Construction Activity (General
Construction Permit, NPDES Order No. 2012-0006-DWQ). In addition, the City would comply
with applicable grading ordinance(s) and/or erosion control requirements of the local
jurisdiction. Compliance with existing regulations would minimize the potential for erosion
during construction such that the impact is considered less than significant.
The physical soil conditions in the project area have not substantially changed in the project
area since the certification of the SPEIR. No substantial new information has been presented
that shows the project would result in more significant impacts than those originally analyzed
in the SPEIR. No new significant impacts were identified as part of this analysis. For these
reason, the conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
c) Be located on a geologic unit or soil that is unstable, or that would become unstable as a
result of the project and potentially result in on-or off-site landslide, lateral spreading,
subsidence, liquefaction or collapse?
Less than Significant Impact. The potential impacts associated with unstable geologic units
or soils were analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant,
page 5-2). The SPEIR determined that the VC1 access road improvement would result in a
less than significant impact associated with unstable geologic units or soils. The project would
be required to comply with City standards and standard engineering practices, which will
include the preparation of a project-specific geotechnical investigation. Compliance with
existing state and local regulations combined with the incorporation of any recommendations
from the geotechnical investigation would minimize potential impact to less than significant.
The physical geologic and soil conditions in the project area have not substantially changed
since the certification of the SPEIR. No substantial new information has been presented that
shows the project would result in more significant impacts than those originally analyzed in the
SPEIR. No new significant impacts were identified as part of the project level analysis. For
these reasons, the conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
d) Be located on expansive soil, as defined in Table 18-1-B of the Uniform Building Code
(1994), creating substantial risks to life or property?
Less than Significant Impact. The potential impacts associated with expansive soils were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-2). The
SPEIR determined that the VC1 access road improvement would result in a less than
significant impact associated with expansive soils. The project would be required to comply
with the City's standards and standard engineering practices, which would include a project-
specific geotechnical investigation. In addition to complying with existing state and local
regulations, the City would incorporate any project-specific recommendations from the
geotechnical investigation.
The physical soil conditions in the project area have not substantially changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
38 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ on or v1sTA
No new significant impacts were identified as part of the project level analysis. As a result, the
conclusion identified in the SPEIR remains accurate and applicable to the proposed project.
e) Have soils incapable of adequately supporting the use of septic tanks or alternative
wastewater disposal systems where sewers are not available for the disposal of wastewater?
No Impact. The potential impacts associated with septic tanks or alternative wastewater
disposal systems were analyzed in the SPEIR (Section 5.0, Effects Determined Not to be
Significant, page 5-2). Similar to the CSMP, alternative wastewater disposal systems and
septic tanks are not a component of the project and, therefore, no impact would result.
June 2019 I 39
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
VII. Greenhouse Gas Emissions
Environmental Issue Area
Would the project:
a) Generate greenhouse gas
emissions, either directly or
indirectly, that may have
an adverse effect on the
environment?
b) Conflict with an applicable
plan, policy, or regulation
adopted for the purpose of
reducing the emissions of
greenhouse gases?
Would the project:
Impact
Analyzed
in the
PEIR or
SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
D
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less · SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
D D
D D
a) Generate greenhouse gas emissions, either directly or indirectly, that may have an adverse
effect on the environment?
Less than Significant Impact. The potential impacts associated with the generation of
greenhouse gas (GHG) emissions were analyzed in the SPEIR for the City's CSMP (Section
4.4, GHG and Energy, pages 4.4-11 through 4.4-12). The SPEIR determined that the VC1
access road improvement, a sub-component of the CSMP, would result in a less than
significant impact associated with the generation of GHG emissions.
The SPEIR estimated the approved project's combined GHG emissions from construction and
operations using worst-case assumptions (consistent with the assumptions described in
Section 4.1, Air Quality, of the SPEIR). Based on the worst-case maximum annual GHG
emissions, the CSMP would not exceed the "Bright Line" threshold of 1,185 MTC02e. The
GHG emissions associated with the construction and operation of the project were captured
in the SPEIR for the overall CSMP and the impact was determined to be less than significant.
Therefore, no substantial new information has been presented that shows the project would
result in more significant impacts than those originally analyzed in the SPEIR. No new,
significant impacts were identified as part of the project level analysis. As a result, the
conclusion identified in the SPEIR remains accurate and applicable to the proposed project.
b) Conflict with an applicable plan, policy, or regulation adopted for the purpose of reducing the
emissions of greenhouse gases?
Less than Significant Impact. The SPEIR included consideration of the CSMP and its
potential to conflict with applicable GHG reduction plans, policies, and regulations (Section
4.4, GHG and Energy, pages 4.4-12 through 4.4-13). The SPEIR determined that the CSMP,
including the VC1 access road improvement, would not conflict with an applicable plan, policy,
or regulation designed to reduce the emissions of GHGs.
40 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Existing conditions, as they relate to plans and policies adopted for the purposes of reducing
GHG emissions, have not substantially changed in the project area since the certification of
the SPEIR. Furthermore, the proposed project would be constructed and operated in a manner
consistent with the assumptions contained in the SPEIR for the overall CSMP. No substantial
new information has been presented that shows the project would result in more significant
impacts than those originally analyzed in the SPEIR. No new significant impacts were identified
as part of the project level analysis. For these reasons, the conclusion identified in the SPEIR
remains accurate and applicable to the proposed project.
June 2019 I 41
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
VIII. Hazards and Hazardous Materials
New
Significant
Impact due to
Impact Unusual
Analyzed Circumstances
in the or Substantial
PEIR or New
Environmental Issue Area SPEIR Information
Would the project:
a) Create a significant hazard D
to the public or the
environment through the
routine transport, use, or
disposal of hazardous
materials?
b) Create a significant hazard D
to the public or the
environment through
reasonably foreseeable
upset and accident
conditions involving the
likely release of hazardous
materials into the
environment?
c) Emit hazardous emissions D
or handle hazardous or
acutely hazardous
materials, substances, or
waste within 0.25 mile of
an existing or proposed
school?
d) Be located on a site which D
is included on a list of
hazardous materials sites
compiled pursuant to
Government Code Section
65962.5 and, as a result,
would it create a significant
hazard to the public or the
environment?
e) For a project located within D
an airport land use plan or,
where such a plan has not
been adopted, within 2
miles of a public airport or
public use airport, would
the project result in a
safety hazard for people
residing or working in the
project area?
42 I June 2019
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less -SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
D D
D D
D D
D D
D D
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~
VIII. Hazards and Hazardous Materials
Environmental Issue Area
f) For a project within the
vicinity of a private airstrip,
would the project result in
a safety hazard for people
residing or working in the
project area?
g) Impair implementation of or
physically interfere with an
adopted emergency
response plan or
emergency evacuation
plan?
Impact
Analyzed
in the
PEIR or
SPEIR
181
-h) Expose people or 181
structures to a significant
risk of loss, injury or death
involving wildland fires,
including where wildlands
are adjacent to urbanized
areas or where residences
are intermixed with
wildlands?
Would the project:
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
D
D
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less -SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
181 D D
D D
~ -----D 181 D
a) Create a significant hazard to the public or the environment through the routine transport,
use, or disposal of hazardous materials?
Less than Significant Impact. The potential impacts associated with the routine transport,
use, or disposal of hazardous materials were analyzed in the SPEIR (Section 4.5, Hazards
and Hazardous Materials, page 4.5-8). The SPEIR determined that the CSMP, including the
project as a sub-component, would result in a less than significant impact associated with the
routine transport, use, or disposal of hazardous materials. The project would be subject to
federal, state, and local regulations and requirements regarding the transport, use, and
disposal of hazardous materials.
The existing regulatory requirements governing the transport and use of hazardous materials
have not substantially changed since the certification of the SPEIR. Furthermore, the
construction and operational characteristics of the proposed access road have not changed
since the certification of the SPEIR. Similar to the CSMP, the project would also be subject to
federal, state, and local regulations regarding the transport and disposal of hazardous
materials. No substantial new information has been presented that shows the project would
result in more significant impacts than those originally analyzed in the SPEIR. No new
significant impacts were identified as part of the project level analysis. The conclusion
identified in the SPEIR remains accurate and applicable to the proposed project.
June 2019 I 43
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
b) Create a significant hazard to the public or the environment through reasonably foreseeable
upset and accident conditions involving the likely release of hazardous materials into the
environment?
Less than Significant Impact with Mitigation. The potential impacts associated with the
unforeseeable release of hazardous materials were analyzed in the SPEIR (Section 4.5,
Hazards and Hazardous Materials, page 4.5-9 through 4.5-10). Access road reconstruction
would involve excavation and grading activities, which could encounter documented and
unreported contaminated soils and/or groundwater during excavation activities. The SPEIR
determined that the CSMP, including the VC1 access road improvement, could result in
potentially significant hazard to the public or the environment through reasonably foreseeable
upset and accident conditions involving the likely release of hazardous materials into the
environment. Implementation of the following mitigation measures were determined to reduce
impacts to a level less than significant:
• Mitigation Measure HWQ-1: Assess Project Risk, Receiving Water Vulnerability, and
Implement a Water Quality Protection Strategy
• Mitigation Measure HAZ-1: Halt Construction Work if Potentially Hazardous Materials
are Encountered
Based on a review of the California Department of Toxic Substances Control's (DTSC) public
database(s), the physical conditions within the project area have not changed since the
certification of the SPEIR and no documented sources of contamination are identified in the
immediate project area (DTSC 2019). Notwithstanding this circumstances, the construction of
the proposed project has the potential to encounter unreported contaminated soils, hazardous
waste (e.g. dumping), and/or groundwater during excavation activities. Mitigation Measure
HWQ-1 and HAZ-1 remain applicable to the proposed project.
No substantial new information has been presented that shows the project would resu lt in more
significant impacts than those originally analyzed in the SPEIR. No new significant impacts
were identified as part of the project level analysis. The conclusion identified in the SPEIR
remains accurate and applicable to the proposed project.
c) Emit hazardous emissions or handle hazardous or acutely hazardous materials, substances,
or waste within 0.25 mile of an existing or proposed school?
No Impact. The potential impacts associated with emitting hazardous emissions or handling
hazardous materials, substances, or waste within 0.25 mile of an existing or proposed school
were analyzed in the SPEIR (Section 4.5, Hazards and Hazardous Materials, pages 4.5-10
through 4.5-11). There are no schools located within 0.25 miles of the project. The SPEIR
determined that the CSMP would have no impact associated with the generation of hazardous
emissions within 0.25 mile of a school. No substantial new information has been presented
that shows the project would result in more significant impacts than those originally analyzed
in the SPEIR. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
d) Be located on a site which is included on a list of hazardous materials sites compiled
pursuant to Government Code Section 65962. 5 and, as a result, would it create a significant
hazard to the public or the environment?
Less than Significant Impact. The potential impacts associated with the disturbance of listed
hazardous materials sites were analyzed in the SPEIR (Section 4.5 Hazards and Hazardous
44 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ CHY Of VISTA
Materials, page 4.5-11 ). There are no listed hazardous materials sites within the project area
(DTSC 2019). Therefore, construction of the access road would not encounter listed
hazardous materials sites.
The project alignment roughly corresponds with the alignment contemplated in the SPEIR.
The existing conditions in the project area have not changed in the project area since the
certification of the SPEIR. No substantial new information has been presented that shows
more significant impacts than those originally analyzed in the SPEIR. No new significant
impacts were identified as part of the project level analysis. The conclusion identified in the
SPEIR remains accurate and applicable to the proposed project.
e) For a project located within an airport land use plan or, where such a plan has not been
adopted, within 2 miles of a public airport or public use airport, would the project result in a
safety hazard for people residing or working in the project area?
No Impact. The potential impacts associated with airport safety hazards were analyzed in the
SPEIR (Section 4.5, Hazards and Hazardous Materials, pages 4.5-12 through 4.5-13). There
are no public airports within two miles of the project. The SPEIR determined that no impact
would occur. No substantial new information has been presented that shows the project would
result in more significant impacts than those originally analyzed in the SPEIR. The conclusion
identified in the SPEIR remains accurate and applicable to the proposed project.
f) For a project within the vicinity of a private airstrip, would the project result in a safety hazard
for people residing or working in the project area?
No impact. The potential impacts associated with safety hazards in the vicinity of a private
airstrip were analyzed in the SPEIR (Section 4.5, Hazards and Hazardous Materials, pages
4.5-12 through 4.5-13). There are no private airstrips within two miles of the project. The
SPEIR determined that no impact would occur. No substantial new information has been
presented that shows the project would result in more significant impacts than those originally
analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
g) Impair implementation of or physically interfere with an adopted emergency response plan or
emergency evacuation plan?
Less than Significant Impact with Mitigation. The potential impacts associated with an
adopted emergency response plan or emergency evacuation plan were analyzed in the SPEIR
(Section 4.5 Hazards and Hazardous Materials, page 4.5-13). The SPEIR determined that the
CSMP would result in potentially significant impacts associated with an adopted emergency
response plan or emergency evacuation plan. Mitigation Measure TR-1 (Prepare and
Implement a Traffic Control Plan) was proposed to reduce these impacts to a level less than
sig nificant.
The project alignment is generally located off the public roadway, thereby avoiding direct
impacts to emergency response and access. However, a residence is located near the eastern
end of the project alignment. To prevent access disruptions to this residence, including by
emergency vehicles, Mitigation Measure TR-1 remains applicable to the proposed project. No
substantial new information has been presented that shows the project would result in more
significant impacts than those originally analyzed in the SPEIR. The conclusion identified in
the SPEIR remains accurate and applicable to the proposed project.
June 2019 I 45
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
h) Expose people or structures to a significant risk of loss, injury or death involving wild/and
fires, including where wild/ands are adjacent to urbanized areas or where residences are
intermixed with wild/ands?
Less than Significant Impact with Mitigation. The potential impacts associated with
exposure of people or structures to significant risk of loss, injury, or death involving wildland
fires were analyzed in the SPEIR (Section 4.5 Hazards and Hazardous Materials, pages 4.5-
13 through 4.5-14). The project is located on undeveloped land containing potentially
flammable materials such as brush, grass, or trees that could pose a risk to wildland fires
during construction. The SPEIR determined that the risk of wildfire was a potentially significant
impact and proposed Mitigation Measures HAZ-3 (Keep Construction Area Clear of
Combustible Materials) and HAZ-4 (Provide Accessible Fire Suppression Equipment) to
reduce this impact to a level less than significant.
The physical conditions, as they relate to wildland fires, have not changed in the project area
since the certification of the SPEIR. No substantial new information has been presented that
shows the project would result in more significant impacts than those originally analyzed in the
SPEIR. Mitigation Measures HAZ-3 and HAZ-4 remain applicable to the proposed project The
conclusion identified in the SPEIR remains accurate and applicable to the proposed project.
46 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
IX. Hydrology and Water Quality
New Less Than
Significant Significant
Impact due to with
Impact Unusual No Impact Mitigation
Analyzed Circumstances or Less • SPEIR
in the or Substantial than Mitigation
PEIR or New Significant Measure(s)
Environmental Issue Area SPEIR Information Impact Applicable
Would the project:
a) Violate any water quality □ □
standards or waste
discharge requirements?
b) Substantially deplete □ □
groundwater supplies or
interfere substantially with
groundwater recharge
such that there would be a
net deficit in aquifer
volume or a lowering of the
local groundwater table
level (e.g., the production
rate of pre-existing nearby
wells would drop to a level
which would not support
existing land uses or
planned uses for which
permits have been
granted?
c) Substantially alter the □ □ 181
existing drainage pattern of
area, including through the
alteration of the course of a
stream or river, in a
manner which would result
in substantial erosion or
siltation on-or off-site?
d) Substantially alter the □ □
existing drainage pattern of
the site or area, including
through the alteration of
the course of a stream or
river, or substantially
increase the rate or
amount of surface runoff in
a manner, which would
result in flooding on-or off-
site?
e) Create or contribute runoff □ □
water which would exceed
the capacity of existing or
planned stormwater
drainage systems or
provide substantial
additional sources of
polluted runoff?
~ CITYOrVISl:A
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
□
□
I
□
□
□
June 2019 I 47
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
IX. Hydrology and Water Quality
New Less Than Less Than
Significant Significant Significant
Impact due to with with
Impact Unusual No Impact Mitigation Mitigation
Analyzed Circumstances or Less -SPEIR -New
in the or Substantial than Mitigation Mitigation
PEIR or New Significant Measure(s) Measure(s)
Environmental Issue Area SPEIR Information Impact Applicable Required
I -• ·~ ■ ■ ·~ ~◄ . -.... --• -
g) Place housing within a IZl □ ►!j □ □ 100-year flood hazard area
as mapped on a federal
Flood Hazard Boundary or
Flood Insurance Rate Map
or other flood hazard
delineation map?
h) Place within a 100-year □ □ □ flood hazard area
structures, which would
impede or redirect flood
fl ows?
i) Expose people or □ □ □ structures to a significant
risk of loss, injury or death
involving flooding,
including flooding as a
result of the failure of a
levee or dam?
j) Inundation by seiche, □ □ □ tsunami, or mudflow?
Would the project:
a) Violate any water quality standards or waste discharge requirements?
Less than Significant Impact with Mitigation. The potential impacts associated with the
CSMP improvements to result in a violation of water quality standards or waste discharge
requirements were analyzed in the SPEIR (Section 4.6, Hydrology and Water Quality, pages
4.6-7 through 4.6-9). The project is located adjacent to and parallels Buena Vista Creek on the
north. During construction, there is potential for sediment and other construction-related
contaminants to enter Buena Vista Creek. The SPEIR determined that the CSMP would result
in potentially significant water quality impacts and Mitigation Measure HWQ-1 was proposed
to reduce these impacts to a level less than significant.
I
The physical watershed conditions in the project area and regulations governing water quality
have not changed since the certification of the SPEIR. The construction and operational
characteristics of the proposed access road have not substantially changed since the
certification of the SPEIR. No substantial new information has been presented that shows
more significant impacts than those originally analyzed in the SPEIR and there would be no
new impacts. Mitigation Measure HWQ-1 remains applicable to the proposed project. The
conclusion identified in the SPEIR remains accurate and applicable to the proposed project.
48 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~----Un orVISlA
b) Substantially deplete groundwater supplies or interfere substantially with groundwater
recharge such that there would be a net deficit in aquifer volume or a lowering of the local
groundwater table level (e.g., the production rate of pre-existing nearby wells would drop to a
level which would not support existing land uses or planned uses for which permits have
been granted?
Less than Significant Impact. The potential impacts associated with the CSMP
improvements to result in depletion of groundwater supplies were analyzed in the SPEIR
(Section 4.6, Hydrology and Water Quality, page 4.6-9). Construction activities associated with
the CSMP, including the project, may require temporary dewatering; however, no long-term
groundwater pumping is proposed. The SPEIR determined that the CSMP would result in a
less than significant impact associated with depletion of groundwater supplies. The
construction and operational characteristics of the project have not substantially changed
since the certification of the SPEIR. No substantial new information has been presented that
shows the project would result in more significant impacts than those originally analyzed in the
SPEIR. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
c) Substantially alter the existing drainage pattern of area, including through the alteration of
the course of a stream or river, in a manner which would result in substantial erosion or
siltation on-or off-site?
Less than Significant Impact with Mitigation. The potential impacts associated with the
CSMP improvements potential to result in alteration of existing drainage patterns and flood
hazards were analyzed in the SPEIR (Section 4.6, Hydrology and Water Quality, pages 4.6-
10 through 4.6-11 ). Access road and drainage improvements would involve grading, re-
surfacing, and/or vegetation trimming or removal activities, and could result in temporary
changes to existing drainage patterns during construction. As shown on Figure 6, the project
improvements intersects the limits of the Buena Vista Creek 100-year flood area. The SPEIR
determined that the CSMP, including the project, would result in potentially significant impacts
associated with the alteration of existing drainage patterns and could be subjected to flood
hazards. Mitigation Measures HWQ-1 and HWQ-2 were proposed to reduce impacts to a level
less than significant.
The existing drainage patterns and flood hazards in the project area have not changed since
the certification of the SPEIR. The construction and operational characteristics of the project
have not substantially changed since the certification of the SPEIR. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. Mitigation Measures HWQ-1 and HWQ-2 remain
applicable to the proposed project and, therefore, the conclusion identified in the SPEIR
remains accurate and applicable to the proposed project.
d) Substantially alter the existing drainage pattern of the site or area, including through the
alteration of the course of a stream or river, or substantially increase the rate or amount of
surface runoff in a manner, which would result in flooding on-or off-site?
Less than Significant Impact with Mitigation. The potential impacts associated with CSMP
improvements potential to result in alteration of existing drainage patterns and flood hazards
were analyzed in the SPEIR (Section 4.6, Hydrology and Water Quality, pages 4.6-10 through
4.6-11). Access road and drainage improvements would involve grading, re-surfacing, and/or
vegetation trimming or removal activities, and could result in temporary changes to existing
June 2019 I 49
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
drainage patterns during construction. As shown on Figure 6, the project improvements
intersects the limits of the Buena Vista Creek 100-year flood area. The SPEIR determined that
the CSMP, including the project, would result in potentially significant impacts associated with
the alteration of existing drainage patterns and could be subjected to flood hazards. Mitigation
Measures HWQ-1 and HWQ-2 were proposed to reduce impacts to a level less than
significant.
The existing drainage patterns and flood hazards in the project area have not changed since
the certification of the SPEIR. The construction and operational characteristics of the project
have not substantially changed since the certification of the SPEIR. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. Mitigation Measures HWQ-1 and HWQ-2 remain
applicable to the proposed project and, therefore, the conclusion identified in the SPEIR
remains accurate and applicable to the proposed project.
e) Create or contribute runoff water which would exceed the capacity of existing or planned
stormwater drainage systems or provide substantial additional sources of polluted runoff?
Less than Significant Impact with Mitigation. The potential impacts associated with water
quality and storm water drainage system capacities were analyzed in the SPEIR (Section 4.6,
Hydrology and Water Quality, page 4.6-12). During construction, the project has the potential
to use and transport contaminants that could be entrained in surface runoff and discharged to
Buena Vista Creek. The SPEIR determined that the CSMP, including the project, would result
in potentially significant water quality impacts and proposed Mitigation Measure HWQ-1 to
reduce impacts to a level less than significant.
The existing watershed conditions, as they relate to water quality and storm water drainage
system capacities, have not substantially changed in the project area since the certification of
the SPEIR. The construction and operational characteristics of the project have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. Mitigation Measure HWQ-1 remains applicable to the
proposed project and the conclusion identified in the SPEIR remains accurate and applicable
to the proposed project.
f) Otherwise substantially degrade water quality?
Less than Significant Impact with Mitigation. The potential impacts associated with water
quality and storm water drainage system capacities were analyzed in the SPEIR (Section 4.6,
Hydrology and Water Quality, page 4.6-12). During construction, the project has the potential
to use and transport contaminants that could be entrained in surface runoff and discharged to
Buena Vista Creek. The SPEIR determined that the CSMP, including the project, would result
in potentially significant water quality impacts and proposed Mitigation Measure HWQ-1 to
reduce impacts to a level less than significant.
The existing watershed conditions, as they relate to water quality and storm water drainage
system capacities, have not substantially changed in the project area since the certification of
the SPEIR. The construction and operational characteristics of the project have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. Mitigation Measure HWQ-1 remains applicable to the
50 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
proposed project and the conclusion identified in the SPEIR remains accurate and applicable
to the proposed project.
g) Place housing within a 100-year flood hazard area as mapped on a federal Flood Hazard
Boundary or Flood Insurance Rate Map or other flood hazard delineation map?
No Impact. The potential impact associated with placement of housing within a 100-year flood
hazard area was analyzed in the SPEIR (Section 4.6, Hydrology and Water Quality, page 4.6-
7). The CSMP, including the project, does not include new structures for human occupation.
Therefore, the SPEIR determined no impact would occur. The conclusion identified in the
SPEIR remains accurate and applicable to the proposed project.
h) Place within a 100-year flood hazard area structures, which would impede or redirect flood
flows?
Less than Significant Impact with Mitigation. The potential impacts associated with
alteration of existing drainage patterns and flood hazards were analyzed in the SPEIR (Section
4.6, Hydrology and Water Quality, pages 4.6-10 through 4.6-11). Access road and drainage
improvements would involve grading, re-surfacing, and/or vegetation trimming or removal
activities, and could result in temporary changes to existing drainage patterns during
construction. As shown on Figure 6, the project improvements intersects the limits of the
Buena Vista Creek 100-year flood area. The SPEIR determined that the CSMP, including the
project, would result in potentially significant impacts associated with the alteration of existing
drainage patterns and could be subjected to flood hazards. Mitigation Measures HWQ-1 and
HWQ-2 were proposed to reduce impacts to a level less than significant.
The existing drainage patterns and flood hazards in the project area have not changed since
the certification of the SPEIR. The construction and operational characteristics of the project
have not substantially changed since the certification of the SPEIR. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. Mitigation Measures HWQ-1 and HWQ-2 remain
applicable to the proposed project and, therefore, the conclusion identified in the SPEIR
remains accurate and applicable to the proposed project.
i) Expose people or structures to a significant risk of loss, injury or death involving flooding,
including flooding as a result of the failure of a levee or dam?
Less than Significant Impact. The potential impacts associated with exposure of people or
structures to significant risk of loss, injury or death involving flooding were analyzed in the
SPEIR (Section 4.6, Hydrology and Water Quality, page 4.6-12). The SPEIR determined that
the CSMP, including the project, would result in a less than significant impact associated with
exposure of people or structures to significant risk of loss, injury or death involving flooding.
The physical watershed and geologic conditions have not changed in the project area since
the certification of the SPEIR. The project features do not include large areas of impervious
surfaces that could otherwise the timing and duration of peak flows to large rainfall events. No
substantial new information has been presented that shows the project would result in more
significant impacts than those originally analyzed in the SPEIR and there would be no new
impacts. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
June 2019 I 51
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
j) Inundation by seiche, tsunami, or mudflow?
No Impact. The potential impacts associated with inundation by seiche, tsunami, or mudflow
were analyzed in the SPEIR (Section 4.6, Hydrology and Water Quality, page 4.6-7). The
project is in an elevated and distant from the Pacific Ocean and associated lagoons to avoid
tsunami or seiche inundation. No impact would result and the conclusion identified in the
SPEIR remains accurate and applicable to the proposed project.
52 I June 2019
Figure 6. Federal Emergency Management Agency Floodplain Map
LEGEND
JOI Proiect Area
E;:f! FEMA Flood Zone AE
~ FEMA Flood Zone AE in Floodway
f ;:::::J FEMA Flood Zone X
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ cm or v1,rA
()
0 Feet 1.000
June 2019 I 53
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
X. Land Use and Planning
Environmental Issue Area
Would the project:
a) Physically divide an
established community?
b) Conflict with any applicable
land use plan, policy, or
regulation of an agency
with jurisdiction over the
project (including, but not
limited to the general plan,
specific plan, local coastal
program, or zoning
ordinance) adopted for the
purpose of avoiding or
mitigating an
environmental effect?
c) Conflict with any applicable
habitat conservation plan
or natural communities'
conservation plan?
Would the project:
Impact
Analyzed
in the
PEIR or
SPEIR
[8:1
[8:1
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
□
□
□
a) Physically divide an established community?
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less -SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
[8:1 □
~ □ □
□ □
No Impact. The potential impacts associated with division of an established community were
analyzed in the SPEIR (Section 4.7, Land Use and Planning, pages 4.7-14 through 4.7-15).
The SPEIR determined that the CSMP, including the project, would not divide an established
community. The project would be constructed on lands managed by the State and within the
City of Carlsbad and parallel to existing sanitary sewer infrastructure. These land use
conditions remain unchanged with the project. No substantial new information has been
presented that shows the project would result in more significant impacts than those originally
analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
b) Conflict with any applicable land use plan, policy, or regulation of an agency with j urisdiction
over the project (including, but not limited to the general plan, specific plan, local coastal
program, or zoning ordinance) adopted fo r the purpose of avoiding or mitigating an
environmental effect?
No Impact. The potential conflicts with applicable land use plans, policies, and regulations
adopted for the purpose of avoiding or mitigating adverse environmental impacts were
analyzed in the SPEIR (Section 4.7, Land Use and Planning, pages 4.7-15 through 4.7-17).
The SPEIR determined that the CSMP would not conflict with an applicable land use plan,
policy or regulation. The project would be constructed within the City of Carlsbad and adhere
54 I June 201 9
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ CJ!YOI VISTA
to Carlsbad's local requirements and is required to maintain consistency with the City's SSMP.
In addition, the project would follow CDFW's regulations governing the Buena Vista Reserve.
These regulatory requirements were contemplated in the SPEIR and have not substantially
changed since its certification. No substantial new information has been presented that shows
the project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
c) Conflict with any applicable habitat conservation plan or natural communities' conservation
plan?
Less than Significant Impact. The potential impacts associated with conflict with an
applicable habitat conservation plan or natural communities conservation plan were analyzed
in the SPEIR (Section 4.7, Land Use and Planning, pages 4.7-17 through 4.7-18). The SPEIR
determined that the CSMP would not conflict with an applicable habitat conservation plan or
natural communities conservation plan. The project would be constructed on lands
administered by CDFW as contemplated in the SPEIR. The regulatory framework governing
I Buena Vista Reserve have not substantially changed since the certification of the SPEIR. No
substantial new information has been presented that shows the project would result in more
significant impacts than those originally analyzed in the SPEIR. The conclusion identified in
the SPEIR remains accurate and applicable to the proposed project.
June 2019 I 55
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XI. Mineral Resources
Environmental Issue Area
Would the project:
a) Result in the loss of
availability of a known
mineral resource that
would be of value to the
region and the residents of
the state?
b) Result in the loss of
availability of a locally-
important mineral resource
recovery site delineated on
a local general plan,
specific plan or other land
use plan?
Would the project:
Impact
Analyzed
in the
PEIR or
SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
D
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less • SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
D D
D D
a) Result in the loss of availability of a known mineral resource that would be of value to the
region and the residents of the state?
No Impact. The potential impacts associated with mineral resources were analyzed in the
SPEIR (Section 5.0 Effects Determined Not to be Significant, pages 5-2 through 5-3). The
SPEIR determined that the CSMP, including the project, would not result in the loss of
availability of known mineral resources and no impact would occur. The physical geological
conditions and landownership context in the project area have not changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
b) Result in the loss of availability of a locally-important mineral resource recovery site
delineated on a local general plan, specific plan or other land use plan?
No Impact. The potential impacts associated with mineral resources were analyzed in the
SPEIR (Section 5.0 Effects Determined Not to be Significant, pages 5-2 through 5-3). The
SPEIR determined that the CSMP, including the project, would not result in the loss of
availability of known mineral resources and no impact would occur. The physical geological
conditions and landownership context in the project area have not changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
56 I June 2019
XII. Noise
Environmental Issue Area
Would the project result in:
a) Exposure of persons to or
generation of noise levels
in excess of standards
established in the local
general plan or noise
ordinance, or applicable
standards of other
agencies?
b) Exposure of persons to or
generation of excessive
groundborne vibration or
groundborne noise levels?
c) A substantial permanent
increase in ambient noise
levels in the project vicinity
above levels existing
without the project?
d) A substantial temporary or
periodic increase in
ambient noise levels in the
project vicinity above levels
existing without the
project?
e) For a project located within
an airport land use plan or,
where such a plan has not
been adopted, within 2
miles of a public airport or
public use airport, would
the project expose people
residing or working in the
project area to excessive
noise levels?
f) For a project within the
vicinity of a private airstrip,
would the project expose
people residing or working
in the project area to
excessive noise levels?
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Impact
Analyzed
in the
PEIR or
SPEIR
~
~
~
I
I
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
□
□
□
□
□
□
No Impact
or Less
than
Significant
Impact
□
D
~
~
Less Than
Significant
with
Mitigation
-SPEIR
Mitigation
Measure(s)
Applicable
□
□
□
□
~ CITY or VISTA
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
□
□
□
□
□
□
June 2019 I 57
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
Would the project result in:
a) Exposure of persons to or generation of noise levels in excess of standards established in
the local general plan or noise ordinance, or applicable standards of other agencies?
Less than Significant Impact with Mitigation. The potential impacts associated with
exposure of persons to or generation of noise levels in excess of established standards were
analyzed in the SPEIR (Section 4.8, Noise and Vibration, pages 4.8-9 through 4.8-10). The
SPEIR determined that construction activities associated with the CSMP, including the project,
may result in temporary increases in ambient noise levels above existing conditions. Mitigation
Measure NV-1 (Construction Noise Reduction Measures) was proposed to reduce these
impacts to a level less than significant.
No new sensitive receptors are located in the project area since the certification of the SPEIR.
The construction characteristics for the project would be the same as those described for the
CSMP and the local noise standards within the project area have not changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
Mitigation Measure NV-1 would remain effective in minimize noise-related impacts during
construction. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
b} Exposure of persons to or generation of excessive groundborne vibration or groundborne
noise levels?
Less than Significant Impact. The potential impacts associated with excessive ground borne
vibration were analyzed in the SPEIR (Section 4.8, Noise and Vibration, page 4.8-11 ).
Although the SPEIR determined that the CSMP could result in vibration-related impacts during
construction, the SPEIR concluded that the O&M Program including the project improvements
would result in a less than significant impact. Based on the absence of structures and buildings
adjacent to the project alignment, the physical conditions in the project area have not
substantially changed since the certification of the SPEIR. Furthermore, construction would be
setback a minimum of 120 feet from the nearby residential structure, which remains
unchanged since the certification of the SPEIR. No substantial new information has been
presented that shows the project would result in more significant impacts than those originally
analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
c) A substantial permanent increase in ambient noise levels in the project vicinity above levels
existing without the project?
Less than Significant Impact. The potential impacts associated with a permanent increase
in ambient noise levels in the project vicinity were analyzed in the SPEIR (Section 4.8, Noise
and Vibration, pages 4.8-9 through 4.8-10). The SPEIR determined that following construction,
ongoing maintenance activities along the access road would be similar to existing activities
and would generate similar noise levels. For this reason, long-term operational noise impacts
for the O&M Program, including the project, were determined less than significant.
The physical conditions within the project area and operational characteristics for the project
have not substantially changed since the certification of the SPEIR. No substantial new
information has been presented that shows the project would result in more significant impacts
58 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ CIT\ or VISTA
than those originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
d) A substantial temporary or periodic increase in ambient noise levels in the project vicinity
above levels existing without the project?
Less than Significant Impact with Mitigation. The potential impacts associated with
exposure of persons to or generation of noise levels in excess of established standards were
analyzed in the SPEIR (Section 4.8, Noise and Vibration, pages 4.8-9 through 4.8-10). The
SPEIR determined that construction activities associated with the CSMP, including the project,
may result in temporary increases in ambient noise levels above existing conditions. Mitigation
Measure NV-1 (Construction Noise Reduction Measures) was proposed to reduce these
impacts to a level less than significant.
No new sensitive receptors relocated to the project area sine~ the certification of the SPEIR.
The construction characteristics for the project would be the same as those described for the
CSMP and the local noise standards within the project area have not changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
Mitigation Measure NV-1 would remain effective in minimizing noise-related impacts during
construction. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
e) For a project located within an airport land use plan or, where such a plan has not been
adopted, within 2 miles of a public airport or public use airport, would the project expose
people residing or working in the project area to excessive noise levels?
No Impact. The potential impacts associated with exposure of people to excessive noise
levels near public or private aircraft were analyzed in the SPEIR (Section 4.8, Noise and
Vibration, pages 4.8-1 1 through 4.8-12). Based on the actions described in the CSMP, the
SPEIR determined the CSMP would result in no significant impact associated with exposure
of people to excessive noise levels near public or private aircraft. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
f) For a project within the vicinity of a private airstrip, would the project expose people residing
or working in the project area to excessive noise levels?
No Impact. The potential impacts associated with exposure of people to excessive noise
levels near public or private aircraft were analyzed in the SPEIR (Section 4.8, Noise and
Vibration, pages 4.8-11 through 4.8-12). Based on the actions described in the CSMP, the
SPEIR determined the CSMP would result in no significant impact associated with exposure
of people to excessive noise levels near public or private aircraft. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
June 2019 I 59
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XIII. Population and Housing
Environmental Issue Area
Would the project:
a) Induce substantial
population growth in an
area, either directly (e.g.,
by proposing new homes •
and businesses) or
indirectly (e.g., through
extension of roads or other
infrastructure)?
b) Displace substantial
numbers of existing
housing, necessitating the
construction of
replacement housing
elsewhere?
c) Displace substantial
numbers of people
necessitating the
construction of
replacement housing
elsewhere?
Would the project:
Impact
Analyzed
in the
PEIR or
SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
□
□
□
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less -SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
□ □
□ □
□ □
a) Induce substantial population growth in an area, either directly (e.g., by proposing new
homes and businesses) or indirectly (e.g., through extension of roads or other
infrastructure)?
No Impact. The proposed project involves the realignment and improvement of the existing
VC1 access road to provide more reliable access to the VC1 pipeline and manholes for
maintenance. The proposed project would not directly or indirectly induce growth, but rather
minimize risk of SSOs while accommodating the demands of the population, consistent with
the City of Vista's SSMP and adjacent jurisdictions General Plans and zoning requirements.
Based on these considerations, no impact would result.
b) Displace substantial numbers of existing housing, necessitating the construction of
replacement housing elsewhere?
No Impact. The proposed project involves the rehabilitation and improvement of the existing
VC1 access road to provide more reliable access to the VC1 pipeline and manholes for
maintenance. The proposed project would not displace existing housing or people
necessitating the construction of replacement housing elsewhere. No impact would occur.
60 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ Ctn or VISTA
c) Displace substantial numbers of people necessitating the construction of replacement
housing elsewhere?
No Impact. The proposed project involves the rehabilitation and improvement of the existing
VC1 access road to provide more reliable access to the VC1 pipeline and manholes for
maintenance. The proposed project would not displace existing housing or people
necessitating the construction of replacement housing elsewhere. No impact would occur.
June 2019 I 61
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XIV. Public Services
New Less Than Less Than
Significant Significant Significant
Impact due to with with
Impact Unusual No Impact Mitigation Mitigation
Analyzed Circumstances or Less · SPEIR -New
in the or Substantial than Mitigation Mitigation
PEIR or New Significant Measure(s) Measure(s)
Environmental Issue Area SPEIR Information Impact Applicable Required
Would the project result in substantial adverse physical impacts associated with the provision of new or
physically altered governmental facilities, need for new or physically altered governmental facilities, the
construction of which could cause significant environmental impacts, in order to maintain acceptable
service ratios, response times or other performance objectives for any of the public services:
a) Fire Protection? 181 D 121 D D
b) Police Protection? 121 D 121 D D
c) Schools? 181 D 121 D D
d) Parks? 121 D 121 D D
e) Other public facilities? 121 D 181 D D
Would the project result in substantial adverse physical impacts associated with the provision of new
or physically altered governmental facilities, need for new or physically altered governmental
facilities, the construction of which could cause significant environmental impacts, in order to
maintain acceptable service ratios, response times or other performance objectives for any of the
public services:
a) Fire Protection?
Less than Significant Impact. The potential impacts to fire protection services as a result of
implementing the CSMP were analyzed in the SPEIR (Section 5.0, Effects Determined Not to
be Significant, page 5-3). The SPEIR determined that the CSMP, including the project, would
not require new services for fire protection. The physical conditions within the project area and
actions proposed in conjunction with the project have not substantially changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
b) Police Protection?
Less than Significant Impact. See response (a). Implementation of the project would result
in a less than significant impact to police protection services.
c) Schools?
Less than Significant Impact. See response (a). Implementation of the project would result
in a less than significant impact to schools and education services.
d) Parks?
Less than Significant Impact. See response (a). Implementation of the project would result
in a less than significant impact to parks and recreational facilities.
62 I June 2019
e) Other public facilities?
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ CITY or VISTA
Less than Significant Impact. The potential impacts associated with public services were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-3). The
SPEIR determined that the CSMP, including the project, would not require new services for
fire protection, police protection, schools and parks. The physical conditions within the project
area and actions proposed in conjunction with the project have not substantially changed since
the certification of the SPEIR. No substantial new information has been presented that shows
the project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
June 2019 I 63
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XV. Recreation
Environmental Issue Area
Would the project:
a) Would the project
increase the use of
existing neighborhood
and regional parks or
other recreational
facilities such that
substantial physical
deterioration of the
facility would occur or
be accelerated?
b) Does the project
include recreational
facilities or require the
construction or
expansion of
recreational facilities,
which might have an
adverse physical effect
on the environment?
Would the project:
Impact
Analyzed in
the PEIR or
SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
D
No Impact or
Less than
Significant
Impact
Less Than
Significant
with
Mitigation
-SPEIR
Mitigation
Measure(s)
Applicable
D
D
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
D
□
a) Would the project increase the use of existing neighborhood and regional parks or other
recreational facilities such that substantial physical deterioration of the facility would occur or
be accelerated?
No Impact. The potential impacts associated with an increase use of existing recreational
facilities were analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant,
page 5-3). As provided, the CSMP would not result in new residential or commercial growth
that could otherwise lead to substantial physical deterioration of local parks and recreational
facilities. This circumstance would remain unchanged under the project and no impact would
result.
b) Does the project include recreational facilities or require the construction or expansion of
recreational facilities, which might have an adverse physical effect on the environment?
No Impact. The potential impacts associated with recreational facilities were analyzed in the
SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-3). The project does not
propose the construction of new or expanded recreational facilities, which could result in
adverse physical effects to the environment. The Buena Vista Ecological Service remains
closed to public access and , therefore, the physical conditions within the project area have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
64 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ u norY1STA
originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
June 2019 I 65
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XVI. Transportation/Traffic
Impact
Analyzed
in the
PEIR or
Environmental Issue Area SPEIR
Would the project:
a) Conflict with an applicable
plan, ordinance or policy
establishing measures of
effectiveness for the
performance of the
circulation system, taking
into account all modes of
transportation including
mass transit and non-
motorized travel and
relevant components of the
circulation system,
including but not limited to
intersections, streets,
highways and freeways,
pedestrian and bicycle
paths, and mass transit?
b) Conflict with an applicable
congestion management
program, including , but not
limited to level of service
standards and travel
demand measures, or
other standards
established by the county
congestion management
agency for designated
roads or highways?
c) Result in a change in air
traffic patterns, including
either an increase in traffic
levels or change in location
that result in substantial
safety risks?
d) Substantially increase
hazards due to a design
feature (e.g., sharp curves
or dangerous intersections)
or incompatible uses (e.g.,
farm equipment)?
e) Result in inadequate
emergency access?
66 I June 2019
New Less Than Less Than
Significant Significant Significant
Impact due to with with
Unusual No Impact Mitigation Mitigation
Circumstances or Less -SPEIR -New
or Substantial than Mitigation Mitigation
New Significant Measure(s) Measure(s)
Information Impact Applicable Required
D D D
D D D
D D D
D D D
D D D
,, .
XVI . Transportation/Traffic
Environmental Issue Area
f) Conflict with adopted
policies, plans, or
programs regarding public
transit, bicycle, or
pedestrian facilities, or
otherwise decrease the
performance or safety of
such facilities?
Would the project:
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
New Less Than
Significant Significant
Impact due to with
Impact Unusual No Impact Mitigation
Analyzed Circumstances or Less • SPEIR
in the or Substantial than Mitigation
PEIR or New Significant Measure(s)
SPEIR Information Impact Applicable
1:81 D 1:81 I D
I
~ CrlY or VISTA
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
D
a) Conflict with an applicable plan, ordinance or policy establishing measures of effectiveness
for the performance of the circulation system, taking into account all modes of transportation
including mass transit and non-motorized travel and relevant components of the circulation
system, including but not limited to intersections, streets, highways and freeways, pedestrian
and bicycle paths, and mass transit?
I
Less than Significant. The potential impacts associated with the performance of the
circulation system were analyzed in the SPEIR (Section 4.9, Transportation and Circulation,
page 4.9-7). The SPEIR determined that the O&M Program component of the CSMP, including
the project, would not result in significant impacts to roadway operations or capacity. This
conclusion is based on the project's location, which is off the public roadway right-of-way. This
basis remains unchanged since the certification of the SPEIR. No substantial new information
has been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
b) Conflict with an applicable congestion management program, including, but not limited to
level of service standards and travel demand measures, or other standards established by
the county congestion management agency for designated roads or highways?
No Impact. The potential impacts associated with conflict with an applicable congestion
management plan were analyzed in the SPEIR (Section 4.9, Transportation and Circulation,
page 4.9-6). The SPEIR determined that the CSMP, including the project, would not conflict
with an applicable congestion management plan and no impact would occur. The basis for this
conclusion remain unchanged since the certification of the SPEIR. No substantial new
information has been presented that shows the project would result in more significant impacts
than those originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
June 2019 I 67
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
c) Result in a change in air traffic patterns, including either an increase in traffic levels or
change in location that result in substantial safety risks?
No Impact. The potential impacts associated with air traffic patterns were analyzed in the
SPEIR (Section 4.9, Transportation and Circulation, pages 4.9-7). The SPEIR determined that
the CSMP would have no effect or changes in local air traffic patterns and no impact would
occur. The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
d} Substantially increase hazards due to a design feature (e.g., sharp curves or dangerous
intersections) or incompatible uses (e.g., farm equipment)?
Less than Significant Impact with Mitigation. The potential impacts associated with hazards
due to a design feature were analyzed in the SPEIR (Section 4.9, Transportation and
Circulation, pages 4.9-8 through 4.9-9). The SPEIR determined that impacts associated with
the CSMP would be locally significant in certain circumstances. Mitigation Measure TR-1
(Prepare and Implement a Traffic Control Plan) was proposed to reduce impacts related to
temporary traffic related hazards and local driveway access to a level less than significant.
The project and conditions in the project area have not substantially changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
Mitigation Measure TR-1 remains applicable to the proposed project to maintain access for
the existing residence and businesses on Haymar Drive. The conclusion identified in the
SPEIR remains accurate and applicable to the proposed project.
e) Result in inadequate emergency access?
Less than Significant Impact. The potential impacts associated with emergency access were
analyzed in the SPEIR (Section 4.9, Transportation and Circulation, pages 4.9-9 through 4.9-
10). The project would be located within an undeveloped area and outside the public roadway
right-of-way. In this context, impacts to emergency access would be considered less than
significant. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
f) Conflict with adopted policies, plans, or programs regarding public transit, bicycle, or
pedestrian facilities, or otherwise decrease the performance or safety of such facilities ?
Less than Significant Impact. The potential impacts associated with conflict with adopted
policies, plans, or programs regarding alternative transportation were analyzed in the SPEIR
(Section 4. 9, Transportation and Circulation, page 4. 9-10). The project would be located
outside the public roadway right-of-way. Due to the nature of the project, construction activities
would be short-term and would not disrupt access for non-motorized form of transportation.
This impact would be less than significant and the conclusion identified in the SPEIR remains
accurate and applicable to the proposed project.
68 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XVII. Utilities and Service Systems
New Less Than
Significant Significant
Impact due to with
Impact Unusual No Impact Mitigation
Analyzed Circumstances or Less -SPEIR
in the or Substantial than Mitigation
PEIR or New Significant Measure(s)
Environmental Issue Area SPEIR Information Impact Applicable
Would the project:
a) Exceed wastewater □ □
treatment requirements of
the applicable Regional
Water Quality Control
Board?
b) Require or result in the □ □
construction of new water
or wastewater treatment
facilities or expansion of
existing facilities, the
construction of which could
cause significant
environmental effects?
c) Require or result in the □ □
construction of new storm
water drainage facilities or
expansion of existing
facilities, the construction
of which could cause
significant environmental
effects?
d) Have sufficient water □ □
supplies available to serve
the project from existing
entitlements and
resources, or are new or
expanded entitlements
needed? -
e) Result in a determination □ IL?J □
by the wastewater
treatment provider, which
serves or may serve the
project that it has adequate
capacity to serve the
project's projected demand I in addition to the provider's
existing commitments?
f) Be served by a landfill with □ IL?J □
sufficient permitted
capacity to accommodate
the project's solid waste
disposal needs?
~ c 1~orV1S1A
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
□
□
□
□
-
□
' □
June 2019 I 69
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XVII. Utilities and Service Systems
g) Comply with federal, state,
and local statutes and
regulations related to solid
waste?
Would the project:
I
I
I
□ ~ □ □
------I
a) Exceed wastewater treatment requirements of the applicable Regional Water Quality Control
Board?
No Impact. The potential impacts associated with wastewater treatment requirements were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, pages 5-3
through 5-4). The SPEIR determined that the CSMP would not exceed wastewater treatment
requirements of the applicable Regional Water Quality Control Board and no impact would
occur. The project features and conditions in which they were considered have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
b) Require or result in the construction of new water or wastewater treatment facilities or
expansion of existing facilities, the construction of which could cause significant
environmental effects?
No Impact. The potential impacts associated with water or wastewater facilities were analyzed
in the SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-4). The SPEIR
determined that the CSMP would not require the expansion or construction of new water
treatment facilities which could otherwise cause significant environmental effects. This
circumstance has not changed since the certification of the SPEIR and, therefore, no impact
would occur. The conclusion identified in the SPEIR remains accurate and applicable to the
proposed project.
c) Require or result in the construction of new storm water drainage facilities or expansion of
existing facilities, the construction of which could cause significant environmental effects?
Less than Significant Impact. The potential impacts associated with storm water facilities
were analyzed in the SPEIR (Section 5.0, Effects Determ ined Not to be Significant, page 5-4).
The SPEIR determined that the CSMP would not require the expansion or construction of
stormwater drainage facilities which could otherwise cause significant environmental effects.
Drainage along western sections of the existing VC1 access road is currently impacted by
upstream drainage facilities associated with SR 78, which flow into Buena Vista Creek. The
project would not alter these existing facilities or significantly change the timing of runoff to and
from these facilities or to Buena Vista Creek. In this content, this impact is less than significant.
70 I June 2019
. •'
' .
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~'-Un Of VISTA
The drainage conditions in the project area and anticipated project features have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
d) Have sufficient water supplies available to serve the project from existing entitlements and
resources, or are new or expanded entitlements needed?
Less than Significant Impact. The proposed project involves the realignment and
improvement of the existing VC1 access road. Minimal water would be required to support
project-related construction for dust control. Once constructed, the proposed project would not
increase existing water demands within the ecological reserve. This impact is considered less
than significant.
e) Result in a determination by the wastewater treatment provider, which serves or may serve
the project that it has adequate capacity to serve the project's projected demand in addition
to the provider's existing commitments?
No Impact. The potential impacts associated with wastewater treatment capacity were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, pages 5-3
through 5-4). The SPEIR determined that the wastewater treatment provider, Encina
Wastewater Authority, has adequate capacity to serve the project's projected demand in
addition to the provider's existing commitments. This circumstance has not changed since the
certification of the SPEIR. No substantial new information has been presented that shows the
project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
f) Be served by a landfill with sufficient permitted capacity to accommodate the project's solid
waste disposal needs?
Significant Impact. The potential impacts associated with solid waste were analyzed in the
SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-4). The SPEIR
determined that the CSMP, including the project, would be served by a landfill with sufficient
permitted capacity and would comply with solid waste regulations. The project is not expected
to generate substantial amounts of solid waste and construction debris would be recycled per
City ordinance. Solid waste disposal capacity within the project area has not changed since
the certification of the SPEIR. No substantial new information has been presented that shows
the project would result in more significant impacts than those originally analyzed in the SPEIR.
The conclusion identified in the SPEIR remains accurate and applicable to the proposed
project.
g) Comply with federal, state, and local statutes and regulations related to solid waste?
Less than Significant Impact. The potential impacts associated with solid waste were
analyzed in the SPEIR (Section 5.0, Effects Determined Not to be Significant, page 5-4). The
SPEIR determined that the CSMP, including the project, would be served by a landfill with
sufficient permitted capacity and would comply with solid waste regulations. The project is not
expected to generate substantial amounts of solid waste and construction debris would be
recycled per City ordinance. Solid waste disposal capacity within the project area has not
changed since the certification of the SPEIR. No substantial new information has been
June 2019 I 71
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
presented that shows the project would result in more significant impacts than those originally
analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
72 I June 2019
• •
XVIII. Energy
Environmental Issue Area
Would the project:
a) Result in potentially
significant environmental
impact due to wasteful,
inefficient, or unnecessary
consumption of energy
resources, during project
construction or operation?
b) Conflict with or obstruct a
state or local plan for
renewable energy or
energy efficiency?
I
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
New Less Than
Significant Significant
Impact due to with
Impact Unusual No Impact Mitigation
Analyzed Circumstances or Less -SPEIR
in the or Substantial than Mitigation
PEIR or New Significant Measure(s)
SPEIR Information Impact Applicable
l8l □ l8l □
----
□ □
~ Ur\ orV1S1A
Less Than
Significant
with
Mitigation
-New
Mitigation
Measure(s)
Required
□
□
Would the project:
a) Result in potentially significant environmental impact due to wasteful, inefficient, or
unnecessary consumption of energy resources, during project construction or operation?
Less than Significant Impact. The potential impacts associated with energy consumption
and efficiency were analyzed in the SPEIR (Section 4.4, Greenhouse Gases and Energy,
pages 4.4-13 through 4.4-14). The SPEIR determined that the CSMP would not result in the
wasteful, inefficient, or unnecessary consumption of energy and concluded a less than
significant impact. The construction and operational characteristics of the project have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
b) Conflict with or obstruct a state or local plan for renewable energy or energy efficiency?
Less than Significant Impact. The potential impacts associated with energy consumption
and efficiency were analyzed in the SPEIR (Section 4.4, Greenhouse Gases and Energy,
pages 4.4-13 through 4.4-14). The SPEIR determined that the CSMP would not result in the
wasteful, inefficient, or unnecessary consumption of energy and concluded a less than
significant impact. The construction and operational characteristics of the project have not
substantially changed since the certification of the SPEIR. No substantial new information has
been presented that shows the project would result in more significant impacts than those
originally analyzed in the SPEIR. The conclusion identified in the SPEIR remains accurate and
applicable to the proposed project.
June 201 9 I 73
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XIX. Tribal Cultural Resources
Impact
Analyzed
in the
PEIR or
Environmental Issue Area SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less -SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
Would the project cause a substantial adverse change in the significance of a tribal cultural resource
defined in Public Resources Code section 21074 as either a site, feature, place, cultural landscape that is
geographically defined in terms of the size and scope of the landscape, sacred place, or object with
cultural value to a California Native American tribe, and that is:
a) Listed or eligible for listing
in the California Register of
Historical Resources, or in
a local register of historical
resources as defined in
Public Resources Code
section 5020.1 (k)?
b) 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 Public
Resources Code Section
5024.1. In applying the
criteria set forth in
subdivision (c) of Public
Resources Code Section
5024.1, the lead agency
shall consider the
significance of the
resource to a California
Native American tribe?
D
D
D D
D D
Would the project cause a substantial adverse change in the significance of a tribal cultural resource
defined in Public Resources Code section 21074 as either a site, feature, place, cultural landscape
that is geographically defined in terms of the size and scope of the landscape, sacred place, or
object with cultural value to a California Native American tribe, and that is:
a) Listed or eligible for listing in the California Register of Historical Resources, or in a local
register of historical resources as defined in Public Resources Code section 5020. 1 (k)?
Less than Significant Impact with Mitigation. California Native American tribes traditionally
and culturally affiliated with the area containing the site of the proposed project requested
consultation pursuant to PRC Section 21080.3.1, and consultation was initiated by the City.
As provided in IV(b), the project would result in direct impacts to CA-SDl-5652, which is a
multi-component site consisting of the Marron-Hayes Adobes Historic District, and includes
historic and prehistoric artifact scatter. This impact could include a substantial adverse change
in the significance of a Tribal Cultural Resource pending further consultation with interested
74 I June 2019
, .
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ U lYOfVISTA
tribes. Implementation of Mitigation Measure CULT-2 and compliance with Carlsbad's Tribal,
Cultural, and Paleontological Resources Procedures (2017) is required.
b) 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 Public Resources
Code Section 5024.1. In applying the criteria set forth in subdivision (c) of Public Resources
Code Section 5024. 1, the lead agency shall consider the significance of the resource to a
California Native American tribe?
Less than Significant Impact with Mitigation. See response to (a).
June 2019 I 75
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XX. Wildfire
Impact
Analyzed
in the
PEIR or
Environmental Issue Area SPEIR
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less -SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
If located in or near state responsibility areas or lands classified as very high fire hazard severity zones,
would the project:
a) Substantially impair an □ □ l2SI □ □ adopted emergency
response plan or
emergency evacuation
plan?
b) Due to slope, prevailing □ □ □ □ winds, and other factors,
exacerbate wildfire risks,
and thereby expose project
occupants to, pollutant
concentrations from a
wildfire or the uncontrolled
spread of a wildfire?
c) Require the installation or □ □ □ □ maintenance of associated
infrastructure (such as
roads, fuel breaks,
emergency water sources,
power lines or other
utilities) that may
exacerbate fire risk or that
may result in temporary or
ongoing impacts to the
environment?
d) Expose people or D □ □ □ structures to significant
risks, including downslope
or downstream flooding or
landslides, as a result of
runoff, post-fire slope
instability, or drainage
changes?
If located in or near state responsibility areas or lands classified as very high fire hazard severity
zones, would the project:
a) Substantially impair an adopted emergency response plan or emergency evacuation plan?
No Impact. According to the California Department of Forestry and Fire Protection and as
depicted in Figure 4.5-1 of the SPEIR, the project site is not located within a state responsibility
area or in an area classified as a very high fire hazard severity zone (California Department of
Forestry and Fire Protection 2007). Therefore, the proposed project would not result in a
significant impact associated with wildfire.
76 I June 2019
. .. .
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist ~ (_Jr, or VISlA
b) Due to slope, prevailing winds, and other factors, exacerbate wildfire risks, and thereby
expose project occupants to, pollutant concentrations from a wildfire or the uncontrolled
spread of a wildfire?
No Impact. According to the California Department of Forestry and Fire Protection and as
depicted in Figure 4.5-1 of the SPEIR, the project site is not located within a state responsibility
area or in an area classified as a very high fire hazard severity zone (California Department of
Forestry and Fire Protection 2007). Therefore, the proposed project would not result in a
significant impact associated with wildfire.
c) Require the installation or maintenance of associated infrastructure (such as roads, fuel
breaks, emergency water sources, power lines or other utilities) that may exacerbate fire risk
or that may result in temporary or ongoing impacts to the environment?
No Impact. According to the California Department of Forestry and Fire Protection and as
depicted in Figure 4.5-1 of the SPEIR, the project site is not located within a state responsibility
area or in an area classified as a very high fire hazard severity zone (California Department of
Forestry and Fire Protection 2007). Therefore, the proposed project would not result in a
significant impact associated with wildfire.
d) Expose people or structures to significant risks, including downslope or downstream flooding
or landslides, as a result of runoff, post-fire slope instability, or drainage changes?
No Impact. According to the California Department of Forestry and Fire Protection and as
depicted in Figure 4.5-1 of the SPEIR, the project site is not located within a state responsibility
area or in an area classified as a very high fire hazard severity zone (California Department of
Forestry and Fire Protection 2007). Therefore, the proposed project would not result in a
significant impact associated with wildfire.
June 201 9 I 77
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
XXI. Mandatory Findings of Significance
Impact
Analyzed
Environmental Issue Area
Would the project:
a) Does the project have the
potential to degrade the
quality of the environment,
substantially reduce the
habitat of a fish or wildlife
species, cause a fish or
wildlife population to drop
below self-sustaining
levels, threaten to
eliminate a plant or animal
community, reduce the
number or restrict the
range of a rare or
endangered plant or
animal, or eliminate
important examples of the
major periods of California
history or prehistory?
in the
SPEIR
b) Does the project have t8I
impacts that are
individually limited, but
cumulatively considerable?
("Cumulatively
considerable" means that
the incremental effects of a
project are considerable
when viewed in connection
with the effects of past
projects, the effects of
other current projects, and
the effects of probable
future projects.)
c) Does the project have
environmental effects,
which will cause
substantial adverse effects
on human beings, either
directly or indirectly?
Authority: Public Resources Code 21083
78 I June 2019
t8I
I
-
New
Significant
Impact due to
Unusual
Circumstances
or Substantial
New
Information
D
D
D
Less Than Less Than
Significant Significant
with with
No Impact Mitigation Mitigation
or Less · SPEIR -New
than Mitigation Mitigation
Significant Measure(s) Measure(s)
Impact Applicable Required
□ □
□ t8I D
--_J -~
t8I t8I D
Would the project:
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
a) Does the project have the potential to degrade the quality of the environment, substantially
reduce the habitat of a fish or wildlife species, cause a fish or wildlife population to drop
below self-sustaining levels, threaten to eliminate a plant or animal community, reduce the
number or restrict the range of a rare or endangered plant or animal, or eliminate important
examples of the major periods of California history or prehistory?
Less than Significant with Mitigation. Sections 4.2 and 4.3 of the SPEIR included
consideration of potential cumulative impacts to biological and cultural resources.
The physical improvements proposed in conjunction with VC1 have not substantially changed
since the certification of the SPEIR. The City would comply with Carlsbad's HMP. No
substantial new information has been presented that shows the project would result in more
significant impacts than those originally analyzed in the SPEIR. No new significant impacts
were identified as part of the project level analysis. As a result, the conclusion identified in the
SPEIR remains accurate and applicable to the project.
b) Does the project have impacts that are individually limited, but cumulatively considerable?
("Cumulatively considerable" means that the incremental effects of a project are considerable
when viewed in connection with the effects of past projects, the effects of other current
projects, and the effects of probable future projects.)
Less than Significant with Mitigation. The project's potential cumulative impacts were
analyzed in the SPEIR (Section 4.1 through Section 4.9). The SPEIR determined that no
unavoidable significant environmental impacts would occur with implementation of the
proposed project. All impacts would be mitigated to a level less than significant. Compliance
with the proposed mitigation measures would ensure that no residually significant impacts
would result with implementation of the project either directly or indirectly. In the absence of
residually significant impacts, the incremental accumulation of effects would not be
cumulatively considerable.
No substantial new information has been presented that shows more significant impacts than
those originally analyzed in the SPEIR and there would be no new significant impacts. The
conclusion identified in the SPEIR remains accurate and applicable to the proposed project.
c) Does the project have environmental effects, which will cause substantial adverse effects on
human beings, either directly or indirectly?
Less than Significant Impact. The project would be constructed within the Buena Vista
Reserve, which is managed by CDFW. No substantial adverse impacts would result to human
beings by the project. By implementing the project, the City would be able to continue to comply
with its adopted SSMP and protect public health and safety.
June 2019 I 79
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
References
California Department of Conservation. 2013. San Diego County Williamson Act 2013/2014.
ftp://ftp.consrv.ca.gov/pub/dlrp/wa/San Diego w 13 14 WA.pdf
--2017. Farmland of Local Importance.
https://www.conservation.ca.gov/dlrp/fmmp/Documents/Farmland of Local Importance 201
6.pdf
--2018. San Diego County Important Farmland 2016.
ftp://ftp.consrv.ca.gov/pub/dlrp/FMMP/pdf/2016/sdq 16 w. pdf
California Department of Forestry and Fire Protection. 2007. Fire Hazard Severity Zones in SRA,
San Diego County. http://frap.fire.ca.gov/webdata/maps/san diego/fhszs map.37.pdf
California Department of Toxic Substances Control. 2019. EnviroStor Database.
https://www. envirostor. dtsc. ca.gov/public/
City of Carlsbad. 2017. Zoning Map. Updated February 2017.
http://www.carlsbadca.gov/civicax/filebank/blobdload.aspx?Blob1D=24153
80 I June 2019
Vista-Carlsbad Interceptor (Reach 1) Access Road Project
Project-Level Environmental Checklist
This page is intentionally blank.
~----unorVtSM.
June 2019 I 81
Appendix A 1. Mitigation Monitoring and Reporting
Program (2017)
This page is intentionally blank.
Vista CSMP Supplemental Program EIR
Appendix A
/'~---On orVIHA.
Mitigation, Monitoring, and Reporting Program
1. Introduction
The California Environmental Quality Act (CEQA) requires a lead or responsible agency to adopt a
mitigation monitoring and reporting program (MMRP) when approving or carrying out a project
(Section 21081.6 of the California Public Resources Code). The purpose of this program is to ensure
that the mitigation measures identified in an Environmental Impact Report (EIR) or a mitigated
negative declaration are implemented as detailed in the environmental document. As lead agency
for the Comprehensive Sewer Master Plan (CSMP) Update, the City of Vista (City) is responsible for
implementation of this MMRP per the requirements of the (CEQA).
In this context, this MMRP was prepared to provide a monitoring guide to facilitate the
implementation of the adopted mitigation measures and related compliance reporting. Once the City
adopts the MMRP, the mitigation monitoring/reporting requirements will be incorporated into the
appropriate permits and construction documents (i.e., engineering specifications, engineering and
construction plans, etc.). In accordance with the aforementioned requirements, this MMRP lists each
mitigation measure, describes the methods for implementation and verification, and identifies the
responsible party or parties as detailed below in Section 3.
2. Monitoring and Reporting Procedures
This MMRP was developed for each of the improvement categories identified for the City's CSMP
(State Clearinghouse Number 2007091072). The MMRP will be in place through all phases of the
CSMP, including design, construction, and operation of individual improvements, and will facilitate
the implementation of mitigation measures proposed to avoid, minimize, or reduce significant
environmental effects.
The City will be responsible for administering the MMRP and ensuring that all parties, including its
contractors, comply with its provisions. The City may delegate implementation and monitoring
activities to staff, consultants, or contractors. The City will require that its construction contractors
submit an environmental compliance plan for approval by the City and construction manager prior to
the beginning construction activities.
This plan shall document how the contractor intends to comply with all measures applicable to the
contract, including the application of best management practices (BMPs) in accordance with
instructions listed in the construction specifications. The City also will ensure that monitoring is
documented through systematic compliance verification and reporting and that deficiencies are
promptly corrected.
3. Mitigation Monitoring and Reporting Program
Implementation
This MMRP was prepared to verify compliance with individual mitigation measures proposed in the
Final SPEIR for the 2017 CSMP. Table 1 of this MMRP identifies each mitigation measure by
discipline, the entity responsible for its implementation, and the improvement category in which the
measure applies. Certain inspections and reports may require preparation by qualified individuals
June 2019 I A-1
Vista CSMP Supplemental Program EIR
Appendix A
and these are specified as needed. The timing and method of verification for each measure are also
specified.
June 2019 I A-2
Table 1. MMRP Mitigation Measures
Mitigation Measure
BIOLOGICAL RESOURCES
BI0-1 -MBT A Nest Avoidance. If construction activities occur
between January 15 and September 15, a preconstruction survey
(within seven days prior to construction activities) shall be
conducted by a qualified biologist to determine if active nests are
present within or adjacent to the area proposed for development
in order to avoid the nesting activities of breeding birds/raptors.
The results of the surveys shall be submitted to the City (and
made available to the Wildlife Agencies, upon request) prior to
initiation of any construction activities.
If nesting activities within 200 feet of the proposed won< area are
not detected, construction activities may proceed. If nesting
activities are confirmed, construction activities shall be delayed
within an appropriate buffer (e.g., 300-feet to 500 feet contingent
on the species observed) from the active nest until the young
birds have fledged and left the nest or until the nest is no longer
active as determined by a qualified biologist. The size of the
appropriate buffer shall be determined by a qualified biologist
based on field conditions. The results of all biological monitoring
shall be submitted to the City (and made available to the Wildlife
Agencies, upon request).
BI0-2 -Habitat Assessment and Focused Surveys for
Special-Status Species and Sensitive Habitats. Prior to the
issuance of project-specific construction documents for CIP
Capacity and Condition Projects (Cross-County) and Out-of-
Service Access Roads, a habitat assessment shall be conducted
by a qualified biologist to determine the potential for special-
status species to occur within the anticipated construction area. If
the habitat assessment identifies potentially suitable habitat for
threatened and endangered species, focused surveys shall be
conducted by a qualified biologist to determine their presence or
absence. Sensitive vegetation communities shall be documented
as part of the habitat assessment.
If threatened and endangered species are observed/detected,
project specific mitigation measures shall be developed to
Timing
Prior to and
during
construction
Prior to and
during
construction;
post-
construction if
compensatory
mitigation is
proposed
Project
Category1
1,2,3,4
2,4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
City of Vista
Engineering
Department
Secondary
Responsible
Party
California
Deportment of
Fish and Wildlife
(CDFW), U. S.
Fish and Wildlife
Service
(USFWS)
CDFW, USFWS;
City of Carlsbad
~ c,n orVtn"
Verification
June 2019 I A-3
Table 1. MMRP Mitigation Measures
Mitigation Measure
mitigate impacts on threatened and endangered species to below
a level of significance. Specific measures shall include, but are
not limited to:
• Early consultation with the wildlife agencies (i.e., USFWS,
CDFW) for ESA-and CESA-listed species to ensure
avoidance to the greatest extent feasible and appropriate
"take" authorization.
• Provision of a qualified biological monitor on site during all
earth disturbing activities to ensure avoidance of impacts on
listed species.
• The use of fencing or flagging to identify sensitive areas that
support the listed species and to ensure that the areas are
protected from direct and indirect impacts.
• Implementation of noise reduction measures (e.g., noise
attenuation structures) within habitats occupied by listed
avian species, and noise monitoring during the breeding
season.
• Identification and transplantation of listed plant species
populations in accordance with best practices.
• Impacts to federally listed species covered by the City of
Carlsbad's HMP will be required to be consistent with those
authorized under the HMP and coordinated with the City of
Carlsbad and USFWS.
• Avoidance of the breeding seasons for listed species such
as:
o Arroyo toad-March 1 to September 30
o Least Bell's vireo-March 1 to September 30
o Willow flycatcher (all subspecies)-March 1 to
September 30
o Coastal California gnatcatcher-March 1 to September
30
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~
Verification
June 2019 I A-4
Table 1. MMRP Mitigation Measures
Mitigation Measure
If no threatened or endangered species are observed or detected
during focused surveys, but potentially suitable habitat for non-
threatened and non-endangered plant or wildlife species is
present, a site-specific determination shall be made as to whether
the potential impacts are significant based on the degree of threat
and the size of the population/occupied habitat to be impacted.
B10-3 -Fonnal Wetland Delineation and Pennit Acquisition. If
the habitat assessment identifies potential federal and/or state
jurisdictional wetlands, a formal jurisdictional delineation shall be
prepared. This document shall map the jurisdictional wetlands
present and overlay it on the grading footprint of the project,
thereby allowing a calculation of the total impacts. If jurisdictional
wetlands would be impacted, mitigation shall be required at a
minimum 1: 1 ratio; however, coordination with USACE (through
the 404 process) and CDFW (through the Section 1602
Streambed Alteration Agreement process) may determine a
higher ratio is required. Mitigation shall be achieved through a
combination of in-kind creation, restoration, and/or enhancement
as determined to be appropriate for each site through consultation
with the Resource Agencies. Mitigation shall first be considered
on-site, then with an approved mitigation bank, and thirdly
through offsite mitigation. The appropriate permit applications
shall be submitted to state and federal regulatory agencies. The
permits issued by these agencies would finalize the mitigation
requirements.
B10-4 -Avoid and Minimize Direct and Indirect Impacts to
Least Bell's Vireo and Southwestern Willow Flycatcher.
Consistent with the HMP, the City shall adhere to the following
measures to avoid or reduce impacts:
a) The removal of native vegetation and habitat shall be
avoided and minimized to the maximum extent practicable.
Determination of adequate avoidance and minimization of
impacts shall be consistent with Sections 0-6 of the HMP.
Deviations from these guidelines shall require written
concurrence of USFWS and CDFW. For temporary impacts,
Timing
Prior to and
during
construction;
post-
construction if
compensatory
mitigation is
proposed
Prior to and
during
construction;
post-
construction if
compensatory
mitigation is
proposed
Project
Category1
2,4
4 (VC1 )
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
City of Vista
Engineering
Department
Secondary
Responsible
Party
CDFW, USFWS
CDFW, USFWS
~ ..... cm or v111,
Verification
June 2019 I A-5
Table 1. MMRP Mitigation Measures
Mitigation Measure
the work site shall be returned to pre-existing contours and
revegetation with appropriate native species. All revegetation
for temporary and permanent impacts shall occur at the ratios
specified in applicable permits (e.g., 404 or 1603).
Revegetation specifications shall ensure creation and
restoration of riparian woodland vegetation to vireo quality.
All revegetation plans shall be prepared and implemented
consistent with Section F-2 {Habitat Restoration and
Revegetation) of the HMP and shall require written
concurrence of USFWS and CDFW. If written objections are
not provided by the wildlife agencies within 30 days of receipt
of written request for concurrence by the local jurisdiction,
then the deviation may proceed as approved by the local
agency. The wildlife agencies shall provide written comments
specifying wildlife agency concerns.
b) Contractor shall to the maximum extent practicable avoid
impacts during the breeding season of least Bell's vireo
(generally March 15 -September 15). Projects that cannot be
conducted without placing equipment or personnel in or
adjacent to sensitive habitats shall be timed to ensure that
habitat is removed prior to the initiation of the breeding
season (generally before March 15).
c) Construction noise levels at the riparian canopy edge shall be
kept below 60 dBA Leq (Measured as Equivalent Sound
Level) from 5 a.m. to 11 a.m. during the peak nesting period
of March 15 to July 15. For the balance of the day/season,
the noise levels shall not exceed 60 decibels, averaged over
a one-hour period on an A-weighted decibel {dBA) (i.e., 1
hour Leq/dBA). Noise levels shall be monitored and
monitoring reports shall be provided to the jurisdictional city,
USFWS, and CDFW. Noise levels in excess of this threshold
shall require written concurrence from USFWS and CDFW
and may require additional minimization/mitigation measures.
d) Brown-headed cowbirds and other exotic species which prey
upon least Bell's vireo shall be removed from the site. For
new developments adjacent to preserve areas that create
conditions attractive to brown-headed cowbirds, jurisdictions
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~ .... C1n Of\'°l)lA
Verification
June 2019 I A-6
Table 1. MMRP Mitigation Measures
Mitigation Measure
shall require monitoring and control of cowbirds.
e) Biological buffers of at least 100 feet shall be maintained
adjacent to occupied least Bell's vireo habitat, measured from
the outer edge of riparian vegetation. Within this 100-foot
buffer, no new development shall be allowed, and the area
shall be managed for natural biological values as part of the
preserve system. Buffers less than 100 feet shall require
written concurrence of the USFWS and CDFW within 30 days
of receipt of written request for concurrence by the local
jurisdiction.
8 10-5 -Implement Biological Resource Protection Measures
During Construction. The City will implement the following best
management practices (BMPs), which are consistent with BMPs
in the HMP, during construction to minimize direct and indirect
impacts on special-status species.
a) Prior to the commencement of construction, the City shall
designate a Project Biologist (a person with, at minimum, a
bachelor's degree in biology, ecology, or environmental
studies with familiarity with federally and/or state listed plant
and wildlife species and other, non-listed special-status plant
and wildlife species with the potential to be impacted by the
project) who shall be responsible for overseeing compliance
with protective measures for biological resources during
vegetation clearing and work activities within and adjacent to
areas of native habitat. The Project Biologist shall be familiar
with the local habitats, plants, and wildlife, and shall maintain
communications with the contractor to ensure that issues
relating to biological resources are appropriately and lawfully
managed. The Project Biologist may designate qualified
biologists or biological monitors to help oversee project
compliance or conduct pre-construction surveys for special-
status species. These biologists shall have familiarity with the
species for which they would be conducting pre-construction
surveys or monitoring construction activities.
b) The Project Biologist or designated qualified biologist shall
Timing
Prior to and
during
construction;
post-
construction if
compensatory
mitigation is
proposed
I . Pro1ect
Category1
4 (VC1 )
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
Secondary
Responsible
Party
CDFW, USFWS
~ Cm orVIHA
Verification
June 2019 I A-7
Table 1. MMRP Mitigation Measures
Mitigation Measure
review final plans, designate areas that need temporary
fencing (e.g., environmentally sensitive area [ESA] fencing},
and monitor construction activities within and adjacent to
areas with native vegetation communities or special-status
plant and wildlife species. The qualified biologist shall monitor
activities within designated areas during critical times such as
vegetation removal, initial ground-disturbing activities, and
the installation of BMPs and fencing to protect native species,
and shall ensure that all wildlife and regulatory agency permit
requirements, conservation measures, and general
avoidance and minimization measures are properly
implemented and followed. The qualified biologist shall check
construction barriers or exclusion fencing and shall provide
corrective measures to the contractor to ensure that the
barriers or fencing are maintained throughout construction.
The qualified biologist shall have the authority to stop work 1f
a special-status wildlife species is encountered within the
project area during construction. Construction activities shall
cease until the Project Biologist or qualified biologist
determine(s) that the animal will not be harmed or that it has
left the construction area on its own. The appropriate
regulatory agency(ies) shall be notified within 24 hours of
sighting of a special-status wildlife species.
c) Prior to the start of construction, all project personnel and
contractors who will be on site during construction shall
complete mandatory training conducted by the Project
Biologist or a designated qualified biologist. Any new project
personnel or contractors that come on board after the
initiation of construction shall also be required to complete
the mandatory WEAP training before they commence with
work. The training shall advise workers of potential impacts to
sensitive habitat and federally and/or state-listed and other
special-status species, and the potential penalties for impacts
to such habitat and species. At a minimum, the training shall
include the following topics: ( 1) occurrences of the special-
status species and sensitive vegetation communities in the
project area (including vegetation communities subject to
USACE, CDFW, and RWQCB jurisdiction}, (2) the purpose
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
' I
~ ..... CITY Of \.UTA
Verification
June 2019 I A-8
Table 1. MMRP Mitigation Measures
Mitigation Measure
for resource protection; (3) a physical description, life history,
and habitat requirements of least Bell's vireo, southwestern
willow flycatcher, and coastal California gnatcatcher; (4)
sensitivity of the species to human activities; (5) protective
measures to be implemented in the field, including strictly
limiting activities, vehicles, equipment, and construction
materials to the fenced to avoid sensitive resource areas in
the field (i.e., avoided areas delineated on maps or on the
project site by fencing); (6) environmentally responsible
construction practices; (7) the protocol to resolve conflicts
that may arise at any time during the construction process;
and (8) the general provisions of the federal or state ESA, the
need to adhere to the provisions of federal and state laws,
and the penalties associated with violating federal or state
laws; (9) reporting requirements and procedures to follow
should a federally and/or state-listed species be encountered
during construction; and, (10) avoidance and minimization
measures designed to reduce the impacts to federally and/or
state-listed and other special-status species.
d) The training program shall include color photos of federally
and/or state-listed species and sensitive vegetation
communities. Following the education program, the photos
shall be posted in the contractor and resident engineer's
office, where the photos shall remain throughout the duration
of project construction. Photos of the habitat in which
sensitive species are found shall be posted onsite. The
contractor shall be required to provide the City with evidence
of the employee training (e.g., a sign-in sheet) on request.
Project personnel and contractors shall be instructed to
immediately notify the Project Biologist or designated
biologist of any incidents that could affect sensitive
vegetation communities or special-status species. Incidents
could include fuel leaks or injury to any wildlife. The Project
Biologist shall notify the City of any incident and the City shall
notify the USFWS within 24 hours of being noticed.
e) The Project Biologist shall request that the resident engineer
halt work, if necessary, and confer with the City prior to
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~---CITY or \IISlA
Verification
June 201 9 I A-9
Table 1. MMRP Mitigation Measures
Mitigation Measure
contacting the Carlsbad Fish and Wildlife Office (CFWO) and
CDFW to ensure the proper implementation of species and
habitat protection measures. The Project Biologist shall
report any non-compliance issue to the City and the City will
notify the CFWO and CDFW within 24 hours of its
occurrence.
f) The Project Biologist shall monitor the Project site
immediately prior to and during construction to identify the
presence of invasive weeds and shall recommend measures
to avoid their inadvertent spread in association with the
project. Such measures may include inspection and cleaning
of construction equipment and use of eradication strategies.
All heavy equipment shall be washed and cleaned of debris
prior to entering sensitive habitat areas to minimize the
spread of invasive weeds.
g) ESA fencing shall be placed along the perimeter of the
identified work area. Work areas shall be clearly marked in
the field and shall be confirmed by the Project Biologist or
designated biologist prior to any clearing, and the marked
boundaries shall be maintained throughout the duration of
the work. Staging areas, including lay down areas and
equipment storage areas, shall be flagged and fenced with
ESA fencing.
h) All native or sensitive habitat areas outside of and adjacent to
the designated project limits of disturbance shall be
designated as Environmentally Sensitive Areas (ESAs) on
project maps. Prior to construction, the Contractor shall
delineate the project limits, including construction, staging,
lay-down, and equipment storage areas, and erect the
construction boundary, with fencing or flagging, along the
perimeter of the identified construction area to protect
adjacent sensitive habitats and sensitive plant populations.
ESAs shall be clearly delineated with fencing or flagging or
other BMPs prior to construction to inform construction
personnel where the ESAs are located. ESAs fencing may
include orange plastic snow fence, orange silt fencing, or
stakes and flagging in areas of flowing water. No personnel,
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~
Verification
June 2019 I A-1 O
Table 1. MMRP Mitigation Measures
Mitigation Measure
equipment, or debris shall be allowed within the ESAs.
Fences and flagging shall be installed by Contractor in a
manner that does not impact habitats to be avoided and such
that it is clearly visible to personnel on foot and operating
heavy equipment. Ten days prior to initiating construction, the
Contractor shall submit to the City final plans for initial
clearing and grubbing of habitat and project construction. At
least five days prior to initiating construction (except for
impacts resulting from clearing to install temporary fencing),
The City shall submit to the CFWO and CDFW for approval, ,
the final plans for initial clearing and grubbing of habitat and
project construction. These final plans shall include
photographs that show the fenced and flagged ESA limits
and all areas to be impacted or avoided. If work occurs
beyond the fenced or demarcated limits of impact, all work
shall cease until the problem has been remedied to the
satisfaction of the City, the CFWO, and CDFW. Temporary
construction fences and markers shall be maintained in good
repair by the Contractor and shall be removed upon
completion of project construction.
i) No work activities, materials or equipment storage or access
shall be permitted outside the project limits without
permission from the City. All parking and equipment storage
by the contractor related to the Project shall be confined to
the project limits. Undisturbed areas and sensitive habitat
outside and adjacent to the project limits shall not be used for
parking or equipment storage. Project-related vehicle traffic
shall be restricted to the project limits and established roads
and construction access points.
j) Construction activities shall be limited to daylight hours to the
extent feasible. If nighttime activities are unavoidable, then
workers shall direct all lights for nighttime lighting into the
work area and shall minimize the lighting of natural habitat
areas adjacent to the work area. The contractor shall use
light glare shields to reduce the extent of illumination into
sensitive habitats. If the work area is located near surface
waters, the lighting shall be shielded such that it does not
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~
Verification
June 2019 I A-11
Table 1. MMRP Mitigation Measures
Mitigation Measure
shine directly into the water.
k) Clearing shall be confined to the minimal area necessary to
facilitate construction activities. Cleared vegetation and spoils
shall be disposed of daily at a permanent offsite spoils
location or at a temporary onsite location that will not create
habitat for special-status wildlife species. Spoils and dredged
material shall be disposed of at an approved site or facility in
accordance with all applicable federal, state, and local
regulations.
I) Food-related and other garbage shall be disposed of in
wildlife-proof containers and shall be removed from the
project area daily during the construction period. Vehicles
carrying trash shall be required to have loads covered and
secured to prevent trash and debris from falling onto roads
and adjacent properties.
m) All construction equipment used for the Project shall be
maintained in accordance with manufacturer's
recommendations and requirements and shall be maintained
to comply with noise standards (e.g., exhaust mufflers,
acoustically attenuating shields, shrouds, or enclosures).
n) The Contractor shall implement noise reduction measures
(e.g., noise attenuation structures) within habitats occupied
by federally and/or state-listed bird species, and shall
conduct noise monitoring during the bird breeding season per
B10-4.
o) The Contractor shall store all construction-related vehicles
and equipment in the designated staging areas. These areas
shall not contain native or sensitive vegetation communities
and shall not support sensitive plant or wildlife species.
p) The Contractor shall avoid wildlife entrapment by completely
covering or providing escape ramps for all excavated steep-
walled holes or trenches more than 1 foot deep at the end of
each construction work day. The qualified biologist shall
inspect open trenches and holes and shall remove or release
any trapped wildlife found in the trenches or holes prior to
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~
Verification
June 2019 I A-12
Table 1. MMRP Mitigation Measures
Mitigation Measure
filling by the construction contractor.
q) Special-status wildlife can be attracted to den-like structures
such as pipes and may enter stored pipes and become
trapped or injured. All construction pipes, culverts, or similar
features; construction equipment; or construction debris left
overnight in areas that may be occupied by special-status
species that could occupy such structures shall be inspected
by a qualified biologist prior to being used for construction.
Such inspections shall occur at the beginning of each day's
activities for those materials to be used or moved that day. If
necessary, and under the direct supervision of the biologist,
the structure may be moved up to one time to isolate it from
construction activities, until the special-status species has
moved from the structure of their own volition, has been
captured and relocated, or has otherwise been removed from
the structure.
r) Capture and relocation of trapped or injured wildlife listed
under ESA or CESA can only be performed by personnel
with appropriate state and/or federal permits. Any sightings
and any incidental take shall be reported to the City via email
within one working day of the discovery. A follow-up report
shall be sent to the regulatory agencies, including dates,
locations, habitat description, and any corrective measures
taken to protect special-status species encountered. For
each special-status species encountered, the biologist shall
submit a completed California Natural Diversity Data Base
field survey form (or equivalent) to CDFW no more than 90
days after completing the last field visit to the project site.
s) The City shall be notified within one working day of the
discovery of, injury to, or mortality of a special-status species
that results from project-related construction activities or is
observed at the project site. Notification shall include the
date, time, and location of the incident or of the discovery of
an individual special-status species that is dead or injured.
For a special-status species that is injured, general
I
information on the type or extent of injury shall be included.
The location of the incident shall be clearly indicated on a
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~ ..... Crn-or VISTA
Verification
June 2019 I A-13
Table 1. MMRP Mitigation Measures
Mitigation Measure
USGS 7.5-minute quadrangle and/or similar map at a scale
that will allow others to find the location in the field, or as
requested by the City. The biologist is encouraged to include
any other pertinent information in the notification.
t) The spread of dust from work sites to sensitive natural
communities or sensitive species habitats on adjacent lands
shall be minimized by use of a water truck. Dirt access roads,
haul roads, and spoils areas shall be watered at least twice
each day when being used during construction dry periods.
u) The Contractor shall strictly limit their activities, vehicles,
equipment, and construction materials to established roads
and the project disturbance limits. Posted speed limit signs
on local roads and a 15 mile-per-hour speed limit along
ingress and egress routes shall be observed. Extra caution
shall be used when special-status reptile species may be
basking on roads.
v) To avoid injury or death to wildlife, no firearms shall be
allowed on the Project site except for those carried by
authorized security personnel or local, state, or federal law
enforcement officials.
w) To prevent harassment, injury, or mortality of sensitive
wildlife by dogs or cats, no canine or feline pets shall be
permitted in the active construction area.
x) Plastic monofilament netting or similar material shall not be
used for erosion control because smaller wildlife may
become entangled or trapped in it. Acceptable substitutes
include coconut coir matting or tackifier hydroseeding
compounds. This limitation shall be communicated to the
contractor through specifications or special provisions
included in the construction bid solicitation package.
y) Rodenticides and herbicides shall be used in accordance
with the manufacturer recommended uses and applications
and in such a manner as to prevent primary or secondary
poisoning of special-status fish, wildlife, and plant species
and depletion of prey populations upon which they depend.
Timing
I
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~
Verification
June 2019 I A-14
Table 1. MMRP Mitigation Measures
Mitigation Measure
All uses of such compounds shall observe label and other
restrictions mandated by the U.S. Environmental Protection
Agency, the California Department of Pesticide Regulation,
and other appropriate state and federal regulations, as well
as additional project-related restrictions imposed by the City.
z) Hazardous materials and equipment stored overnight,
including small amounts of fuel to refuel hand-held
equipment, shall be stored within secondary containment
when within 50 feet of open water to the fullest extent
practicable. Secondary containment shall consist of a ring of
sand bags around each piece of stored equipmenUstructure.
A plastic tarp/visqueen lining with no seams shall be placed
under the equipment and over the edges of the sandbags, or
a plastic hazardous materials (HazMat) secondary
containment unit shall be used by the Contractor.
aa) The Contractor shall be required to conduct vehicle refueling
in upland areas where fuel cannot enter waters of the U.S. or
state and in areas that do not have potential to support
federally and/or state-listed species. Any fuel containers.
repair materials including creosote-treated wood, and/or
stockpiled material that is left onsite overnight shall be
secured in secondary containment within the work area and
staging/assembly area, and covered with plastic at the end of
each work day.
bb) In the event that no activity is to occur in the work area for the
weekend and/or a period of time greater than 48 hours, the
Contractor shall ensure that all portable fuel containers are
removed from the Project site.
cc) Equipment and containers will be inspected daily for leaks.
Should a leak occur, contaminated soils and surfaces will be
cleaned up and disposed of following the guidelines identified
in the Stormwater Pollution Prevention Plan (SWPPP),
Materials Safety Data Sheets, and any specifications
required by other permits issued for the Project.
dd) The Contractor shall utilize off-site maintenance and repair
shops as much as possible for maintenance and repair of
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Respon~b~
Party
Secondary
Responsible
Party
~ .... CITY Of Vl)"fA
Verification
June 2019 I A-15
Table 1. MMRP Mitigation Measures
Mitigation Measure
equipment
ee) If maintenance of equipment must occur onsite, fuel/oil pans,
absorbent pads, or appropriate containment shall be used to
capture spills/leaks within all areas. Where feasible,
maintenance of equipment shall occur in upland areas where
fuel cannot enter waters of the U.S. or state and in areas that
do not have potential to support federally and/or state-listed
species.
CULTURAL RESOURCES
CUL T-1 Construction-Related Vibration. Prior to the issuance
of project-specific construction documents for CIP Capacity and
Condition Projects (Hardscape Environs), the City Engineer shall
determine whether construction activities would occur within 25
feet of a NRHP or CRHR eligible or listed historic structure. For
structures that have not been previously evaluated, the City
Engineer shall consult with a qualified Architectural Historian
approved by the City to conduct an evaluation of the structure.
If the structure is determined eligible or already eligible or listed in
the NRHP or CRHR, a structural evaluation shall be conducted by
a Professional Structural Engineer to identify maximum allowable
levels of vibration during construction. If a historic determination is
required, the engineer shall provide recommendations on
approaches to stabilization in conjunction with vibration
monitoring. Permanent stabilization measures shall follow the
Secretary of the Interior's guidelines for the treatment of historic
properties. If the buildings are temporarily stabilized for the
duration of construction activities, when removed, the buildings
shall be restored to their pre-construction condition when the
stabilization measures are removed.
Timing
Prior to and
following
construction
Project
Category1
1, 2
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
Secondary
Responsible
Party
Native American
Heritage
Commission
(NAHC)
~--CITYor\lJ>f•
Verification
June 2019 I A-16
Table 1. MMRP Mitigation Measures
Mitigation Measure
CUL T-2 -Project-Specific Archaeological Survey. Prior to the
issuance of project-specific construction documents for CIP
Capacity and Condition Projects (Hardscape and Cross County
Environs). Pump Station Rehabilitations, and Out-of-Service Area
Projects, a Qualified Archaeologist approved by the City shall
contact the NAHC regarding a Sacred Lands File Search for the
project area. In addition, the City shall request a written response
from the San Luis Rey Band of Mission Indians (SLR Band) (a
tribe traditionally and culturally affiliated with the site) regarding
whether the site of the 2017 CSMP improvement project may
potentially affect Native American resources. If the NAHC and/or
the SLR Band confirms potential known resources, a pedestrian
survey (i.e., physical walk over) shall first be conducted by the
Qualified Archaeologist and a TCA (traditionally and culturally
affiliated) Native American Monitor. Should the pedestrian survey
identify Native American cultural resources, the Qualified
Archeologist shall, in consultation with the TCA Native American
monitor and the SLR Band, make an immediate written evaluation
of the significance and appropriate treatment of the resource,
including any avoidance measures, additional testing and
evaluations, or data recovery plans, and Pre-Excavation
Agreements with the Tribe. If the SLR Band confirms, in
consultation with the Qualified Archaeologist, that there is a
potential for unknown resources to be uncovered during
construction activities, then Mitigation Measure CUL T-3,
Archaeological Monitoring, shall be implemented.
CUL T-3 Archaeological Monitoring. Cultural resource
mitigation monitoring shall be conducted to provide for the
identification, evaluation, treatment, and protection of any cultural
resources that are affected by or may be discovered during the
construction of the proposed project. The monitoring shall consist
of the full-time presence of a Qualified Archaeologist and a TCA
(traditionally and culturally affiliated) Native American Monitor.
and the monitoring activities shall be identified and defined in a
Pre-Excavation Agreement between the City's Engineering
Department and the San Luis Rey Band. The purpose of this
agreement shall be to formalize protocols and procedures for the
Timing
Prior to
construction
During
construction
Project
Category1
1,2, 3,4
1, 2, 3,4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
City of Vista
Engineering
Department
Secondary
Responsible
Party
NAHC
NAHC
~---CITY or VISTA
Verification
June 2019 I A-17
Table 1. MMRP Mitigation Measures
Mitigation Measure
protection, treatment, and disposition of, but not limited to, such
items as Native American human remains, funerary objects,
cultural and religious landscapes, ceremonial items, traditional
gathering areas and cultural items, located and/or discovered
through the cultural resource mitigation monitoring program in
conjunction with the construction of the proposed project,
including additional archaeological surveys and/or studies,
excavations, geotechnical investigations, soil surveys, grading, or
any other ground disturbing activities. Other tasks of the
monitoring program shall include the following:
• The requirement for cultural resource mitigation monitoring
shall be noted on all applicable construction documents,
including demolition plans, grading plans, etc.
• The Qualified Archaeologist and TCA Native American
Monitor shall attend all applicable pre-construction meetings
with the Contractor and/or associated Subcontractors.
• The Qualified Archaeologist shall maintain ongoing
collaborative consultation with the TCA Native American
Monitor during all ground disturbing or altering activities, as
identified above.
• The Qualified Archaeologist and/or TCA Native American
Monitor may halt ground-disturbing activities if archaeological
artifact deposits or cultural features are discovered. In
general, ground-disturbing activities shall be directed away
from these deposits for a short time to allow a determination
of potential significance, the subject of which shall be
determined by the Qualified Archaeologist and the TCA
Native American Monitor, in consultation with the San Luis
Rey Band. Ground disturbing activities shall not resume until
the Qualified Archaeologist, in consultation with the TCA
Native American Monitor, deems the cultural resource or
feature has been appropriately documented and/or protected.
At the Qualified Archaeologist's discretion, the location of
ground disturbing activities may be relocated elsewhere on
the project site to avoid further disturbance of cultural
resources.
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~---CITYOf\.'1511\
Verification
June 2019 I A-18
Table 1. MMRP Mitigation Measures
Mitigation Measure
• The Qualified Archaeologist and/or TCA Native American
Monitor may also halt ground disturbing activities around
known archaeological artifact deposits or cultural features if,
in their respective opinions, there is the possibility that they
could be damaged or destroyed.
• The avoidance and protection of discovered unknown and
significant cultural resources and/or unique archaeological
resources is the preferable mitigation for the proposed
project. If avoidance is not feasible, a Data Recovery Plan
may be authorized by the City as the Lead Agency under
CEQA. If data recovery is required, then the San Luis Rey
Band shall be notified and consulted in drafting and finalizing
any such recovery plan.
• Prior to the release of any Bonds associated with the
construction of improvements noted in the 2017 CSMP, a
Monitoring Report and/or Evaluation Report, which describes
the results. analysis and conclusions of the cultural resource
mitigation monitoring efforts (such as, but not limited to, a
Data Recovery Program) shall be submitted by the Qualified
Archaeologist, along with the TCA Native American Monitor's
notes and comments, to the City's Director of Community
Development for approval.
CUL T-4 Paleontological Monitoring. Monitoring during
construction grading or trenching shall be required for all CIP
conveyance projects (Hardscape and Cross-Country Environs)
that would excavate to a depth of ten feet or more. Prior to the
issuance of project specific construction documents, the City
Engineer shall retain a Professional Paleontologist to observe all
earth-disturbing activities. All fossil materials recovered during
mitigation monitoring shall be cleaned, identified, cataloged, and
analyzed in accordance with standard professional practices. The
results of the field work and laboratory analysis shall be submitted
in a technical report and the entire collection transferred to an
approved facility.
Timing
During
constriction
Project
Category1
1,2, 3,4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
Secondary
Responsible
Party
NAHC
~ Cln or VU-TA
Verification
June2019 I A-19
Table 1. MMRP Mitigation Measures
Mitigation Measure
CUL T-5 Disturbance to Human Remains. As specified by
California Health and Safety Code Section 7050.5, if human
remains are found on the project site during construction or during
archaeological work, the person responsible for the excavation, or
his or her authorized representative, shall immediately notify the
San Diego County Coroner's office by telephone. No further
excavation or disturbance of the discovery or any nearby area
reasonably suspected to overlie adjacent remains (as determined
by the Qualified Archaeologist and/or the TCA (traditionally and
culturally affiliated) Native American Monitor) shall occur until the
Coroner has made the necessary findings as to origin and
disposition pursuant to Public Resources Code 5097.98. If such a
discovery occurs, a temporary construction exclusion zone shall
be established surrounding the area of the discovery so that the
area would be protected (as determined by the Qualified
Archaeologist and/or the TCA Native American Monitor), and
consultation and treatment could occur as prescribed by law. As
further defined by State law, the Coroner would determine within
two working days of being notified if the remains are subject to his
or her authority. If the Coroner recognizes the remains to be
Native American, he or she shall contact the Native American
Heritage Commission (NAHC) within 24 hours. The NAHC would
make a determination as to the Most Likely Descendent. If Native
American remains are discovered, the remains shall be kept "in
situ" ("in place"), or in a secure location in close proximity to
where they were found, and the analysis of the remains shall only
occur on-site in the presence of the TCA Native American
Monitor.
Timing
During
construction
I
Project
Category1
1,2, 3,4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
Secondary
Responsible
Party
NAHC, San
Diego County
I
'
~
Verification
June 2019 I A-20
Table 1. MMRP Mitigation Measures
Mitigation Measure
HAZARDS AND HAZARDOUS MATERIALS
HAZ-1 -Halt Construction Work if Potentially Hazardous
Materials are Encountered. All construction contractors shall
immediately stop all surface or subsurface activities in the event
that potentially hazardous materials are encountered, an odor is
identified, or considerably stained soil is visible. Contractors shall
follow all applicable local, state, and federal regulations regarding
discovery, response, disposal, and remediation for hazardous
materials encountered during the construction process. These
requirements shall be included in the contractor specifications.
If any hazardous materials, waste sites, or vapor intrusion risks
are identified prior to or during construction, a qualified
professional, in consultation with appropriate regulatory agencies,
will develop and implement a plan to remediate the contamination
and properly dispose of the contaminated material.
If material imports are proposed, the contractor shall furnish the
City will appropriate documentation certifying that the imported
materials are free of contamination.
HAZ-2 -Hazardous Materials Surveys. Prior to the issuance of
a building permit that includes demolition of on-site structures and
prior to commencement of demolition or rehabilitation activities, a
Hazardous Materials Assessment (surveys) would be performed
to determine the presence or absence of ACMs/LBP located in
the structure(s) to be demolished. Suspect materials that would
be disturbed by the demolition or rehabilitation activities would be
sampled and analyzed for asbestos content, or assumed to be
asbestos containing. All lead containing materials scheduled for
demolition must comply with applicable regulations for demolition
methods and dust suppression. Lead containing materials shall
be managed in accordance with applicable regulations. The ACM
survey would be conducted by a person certified by the California
Division of Occupational Safety and Health (Cal/OSHA). The LBP
survey would be conducted by a person certified by the California
Department of Health Services. Copies of the surveys would be
provided to SDCDEH and SDCAPCD once completed.
Timing
During
construction
Prior to
construction
Project
Category1
1,2, 3,4
1, 2, 4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
City of Vista
Engineering
Department
Secondary
Responsible
Party
~---cm orv,sr,
Verification
June 2019 I A-21
Table 1. MMRP Mit igation Measures
Mitigation Measure
HAZ-3 -Keep Construction Area Clear of Combustible
Materials. During construction, construction contractors shall
ensure that staging areas, welding areas, or areas slated for
construction using spark-producing equipment shall be cleared of
combustible vegetation or other materials that could serve as fire
fuel. All vegetation clearing shall be coordinated with a qualified
biologist and any required permits prior to removal. The contractor
shall keep these areas clear of combustible materials in order to
maintain a firebreak. Any construction equipment that normally
includes a spark arrester shall be equipped with an arrester in
good working order. This includes, but is not limited to, vehicles,
heavy equipment, and chainsaws.
HAZ-4 • Provide Accessible Fire Suppression Equipment.
Work crews shall be required to have sufficient fire suppression
equipment readily available to ensure that any fire resulting from
construction activities is immediately extinguished. All off-road
equipment using internal combustion engines shall be equipped
with spark arrestors.
HYDROLOGY AND WATER QUALITY
HWQ-1 • Assess Project Risk, Receiving Water Vulnerability,
and Implement a Water Quality Protection Strategy. The
construction contractor will assess the receiving water
vulnerability and develop a SWPPP that complies with the
requirements of the NPDES General Construction Permit (Order
2009-0009-DWQ as amended by 2010 0014-DWQ and 2012-
006-DWQ) based on the project-specific risk level subject to the
City Engineer's approval. The SWPPP shall identify specific
actions and BMPs relating to the prevention of stormwater
pollution from project-related construction sources by identifying a
practical sequence for site restoration, BMP implementation,
contingency measures, responsible parties, and agency contacts.
The SWPPP shall reflect localized surface hydrological
conditions. local jurisdictional requirements. and shall be reviewed
and approved by the City Engineer prior to commencement of
Timing
During
construction
During
construction
Prior to,
during, and
following
construction
Project
Category1
1, 2, 4
1,2,4
1,2, 3,4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
City of Vista
Engineering
Department
City of Vista
Engineering
Department
Secondary
Responsible
Party
Cities of
Carlsbad, San
Marcos,
Oceanside; San
Diego County;
Regional Water
Quality Control
Board
(RWQCB),
Region 9
~ CITYOfVIHA
Verification
June 2019 I A-22
Table 1. MMRP Mitigation Measures
Mitigation Measure
work.
The SWPPP shall be prepared by a qualified SWPPP developer
with BMPs selected to achieve maximum pollutant removal and
that represent the best available technology that is economically
achievable: BMPs for soil stabilization and erosion control
practices and sediment control practices will also be required.
Performance and effectiveness of these BMPs shall be
determined either by visual means where applicable (i.e.,
observation of above-normal sediment release), or by actual
water sampling in cases where verification of contaminant
reduction or elimination, (e.g., inadvertent petroleum release) is
required to determine adequacy of the measure.
The SWPPP shall also address other project-specific water
quality threats, as required for individual improvements including
but not limited to, temporary dewatering, hydrostatic testing, and
other resources permits as required under the Federal Clean
Water Act, County Grading Ordnance, and State Fish and Game
Code, as applicable. Construction and post-construction BMPs
will be designed to avoid the creation of standing water and
potential mosquito breeding habitat.
HWQ-2 -Prepare and Implement a Flow Diversion Plan For
Construction. The construction contractor shall develop a Flow
Diversion Plan(s) for in-channel construction activities. The
contractor shall incorporate measures to minimize changes to
flood flow elevation(s) during construction, address accumulation
of floating debris, provide measures that minimize sedimentation
to surface waters, and include contingency measures in the event
of substantial rainfall.
NOISE AND VIBRATION
NV-1 -Construction Noise Reduction Measures. The
Construction Contractor shall demonstrate to the satisfaction of
the City Engineer that the following noise control techniques are
implemented during the clearing, demolition. grading and
construction phases of projects identified in the 2017 CSMP
Timing
Prior to and
during
construction
Prior to and
during
construction
Project
Category1
1, 4
1,2, 3,4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
City of Vista
Engineering
Department
Secondary
Responsible
Party
RWQCB
Cities of
Carlsbad, San
Marcos,
Oceanside; San
Diego County
~---Cm orv1>1A
Verification
June 2019 I A-23
Table 1. MMRP Mitigation Measures
Mitigation Measure
within 200 feet of noise-sensitive land uses.
• Heavy equipment repair and contractor staging shall be
conducted at sites as far as practical from nearby residences.
• Construction equipment, including vehicles, generators and
compressors, shall be maintained in proper operating
condition and shall be equipped with manufacturers' standard
noise control devices or better (e.g., mufflers, acoustical
lagging, and/or engine enclosures).
• Temporary sound barriers (or curtains), stockpiles of
excavated materials, or other effective shielding or enclosure
techniques shall be used where construction noise would
exceed 90 dBA within less than 50 feet from a noise sensitive
receptor.
• Construction work, including on-site equipment maintenance
and repair, shall be limited to the hours specified in the noise
ordinance of the affected jurisdiction(s).
• Electrical power shall be supplied from commercial power
supply, wherever feasible, in order to avoid or minimize the
use of engine-driven generators.
• Electrically powered equipment shall be used instead of
pneumatic or internal-combustion powered equipment, where
feasible.
• Unnecessary idling of internal combustion engines (i.e., in
excess of 5 minutes) shall be prohibited.
• Operating equipment shall be designed to comply with all
applicable local, state, and federal noise regulations.
• Construction site and access road speed limits shall be
established and enforced during the construction period.
• If lighted traffic control devices are to be located within 500
feet of residences, the devices shall be powered by batteries,
solar power, or similar sources, and not by an internal
combustion engine.
I
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party I
~ .... CITY Of VISTA
Verification
June 2019 I A-24
Table 1. MMRP Mitigation Measures
Mitigation Measure
• The use of noise-producing signals, including horns. whistles,
alarms, and bells, shall be for safety warning purposes only.
• No project-related public address or music system shall be
audible at any adjacent sensitive receptor.
• The construction contractors shall provide advance notice,
between 2 and 4 weeks prior to construction, by mail to all
residents or property owners within 200 feet of the alignment.
The announcement shall state specifically where and when
construction will occur in the area. If construction delays of
more than 7 days occur, an additional notice shall be made,
either in person or by mail. The City shall publish a notice of
impending construction on the City website, stating when and
where construction will occur.
• The construction contractors shall identify and provide a
public liaison person before and during construction to
respond to concerns of neighboring residents about noise
and other construction disturbance. The construction
contractors shall also establish a program for receiving
questions or complaints during construction and develop
procedures for responding to callers. Procedures for reaching
the public liaison officer via telephone or in person shall be
included in notices distributed to the public in accordance
with the information above.
TRANSPORTATION AND CIRCULATION
Mitigation Measure TR-1 -Prepare and Implement a Traffic
Control Plan. The construction contractor shall prepare a Traffic
Control Plan for roadways and intersections affected by individual
2017 CSMP improvements for approval by the City Engineer. The
Traffic Control Plan will comply with local agency requirements
(e.g., Vista, Carlsbad, Caltrans, etc.) with jurisdiction over project
construction. The Traffic Control Plan will include, but not be
limited to, the following elements based on local site and roadway
conditions:
Timing
Prior to and
during
construction
Project
Category1
1, 2, 4
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
City of Vista
Engineering
Department
Secondary
Responsible
Party
Cities of
Carlsbad, San
Marcos,
Oceanside; San
Diego County
~ .... C1rv or VISTA
Verification
June 2019 I A-25
Table 1. MMRP Mitigation Measures
Mitigation Measure
• Provide street layout showing location of construction activity
and surrounding streets to be used as detour routes,
including ·special signage." Post a minimum 72-hour
advance warning of construction activities within affected
roadways to allow motorists to select alternative routes.
• Restrict delivery of construction materials to non-peak travel
periods (9 a.m. -3 p.m.) as appropriate. Weekend and night
work shifts will be allowed in non-residential areas only.
• Maintain the maximum travel-lane capacity during non-
construction periods and provide flagger-control at
construction sites to manage traffic control and flows.
• Limit the construction work zone in each block tb a width that,
at a minimum, maintains alternate one-way traffic flow past
the construction zone.
• Maintain access for driveways and private roads, except for
brief periods of construction, in which case property owners
will be notified.
• Require temporary steel-plate trench crossings, as needed,
to maintain reasonable access to homes, businesses. and
streets. When required by the applicable encroachment
permit, maintain the existing lane configuration during
nonworking hours by covering the trench or jack pit with steel
plates or by using temporary backfill.
• Require appropriate warning signage and safety lighting for
construction zones.
• Access for emergency vehicles shall be maintained at all
times. Police, fire, and emergency services shall be notified
of the timing, location, and duration of construction activities
that could hinder and/or delay emergency access through the
construction period.
• Coordinate with NCTD to plan, as needed, for the temporary
relocation of bus stops and/or detour of transit routes on
affected pipeline alignments.
I
Timing
Project
Category1
Vista CSMP Supplemental Program EIR
Appendix A
Primary
Responsible
Party
Secondary
Responsible
Party
~
Verification
June 2019 I A-26
Table 1. MMRP Mitigation Measures
Mitigation Measure ■ • Identify detours, where available, for bicyclists and
pedestrians in areas potentially affected by project
construction.
• Provide adequate off-street parking locations for worke
vehicles and construction equipment in those areas wl
on-street parking availability is insufficient.
• Repair or restore the roadway ROW to its original cond
or better upon completion of work.
Project categories identified in the CSMP SPEIR include:
"
Project
Timing Category1
-
Vista CSMP Supplemental Program EIR
Appendix A
Primary Secondary
Responsible Responsible
Party Party
7----
I
I
I
I
I
I
I I
~ ..... Cm Of\blA
Verification
Category 1: CIP Capacity and Condition Projects (Hardscape Environs). Tables 3-3 and 3 4 in Chapter 3 identify the near-term and build out CIP
capacity-related projects included within this category. Figures 3-7 and 3-8 illustrate the locations of the capacity improvements. Table 1 in Appendix B of
this SPEIR includes a list of CIP condition Projects included within this category. Figures 3-9 through 3-17 illustrate the location of the condition relate
improvements.
Category 2: CIP Capacity and Condition Projects (Cross-Country Environs). Tables 3-3 and 3-4 identify the near-term and build out CIP capacity-
related projects included within this category. Figures 3-7 and 3-8 illustrate the locations of the capacity improvements. Table 2 in Appendix B of this
SPEIR includes a list of CIP condition projects included in this category. Figures 3-9 through 3-17 illustrate the location of the condition-relate
improvements.
Category 3: O&M Program Operations and Pump Station Rehabilitation. Table 3-5 in Chapter 3 of this SPEIR includes a list of the O&M Program
improvements included within this category.
Category 4: Out-of-Service Area Projects. Figures 3-19 and 3-20 illustrate the out-of-service area project(s) improvements included within this
category.
June 2019 I A-27
This page is intentionally blank.
Vista CSMP Supplemental Program EIR
Appendix A
~ c,n or VtSTA
June 2019 I A-28
Appendix A2. Carlsbad Tribal, Cultural, and
Paleontological Resources Guidelines
..
This page is intentionally blank.
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
California
------·----~ ~-·,
Tribal, Cultural, and Paleontological Guidelines
CONTENTS
1.0 Purpose and Need for Guidelines ................................................................................................ 1
1.1 Organization ........................................................................................................................................................ 3
2.0 Definitions of Resources .............................................................................................................. 5
2.1 Types ...................................................................................................................................................................... 5
2.2 Cultural Association .......................................................................................................................................... 5
2.3 Time Period .......................................................................................................................................................... 6
2.4 Physical Characteristics ................................................................................................................................... 7
3.0 Regulatory Context ..................................................................................................................... 11
3.1 Local .................................................................................................................................................................... 11
3.1.1 City of Carlsbad General Plan ............................................................................................................. 11
3.1.2 City of Carlsbad Municipal Code ...................................................................................................... 13
3.1.3 Local Coastal Program .......................................................................................................................... 14
3.1.4 City of Carlsbad Council Policy No. 83 ........................................................................................... 15
3.2 State ..................................................................................................................................................................... 15
3.2.1 California Environmental Quality Act (CEQA) .............................................................................. 15
3.2.2 Senate Bill 18 ............................................................................................................................................ 18
3.2.3 California Coastal Act ............................................................................................................................ 18
3.2.4 Public Resources Code Section 5097.5 ........................................................................................... 18
3.2.5 California Public Resources Code 5097.9 ...................................................................................... 19
3.2.6 California Public Resources Code 5097.98 .................................................................................... 19
3.2.7 California Public Resources Code 5097.99 .................................................................................... 19
3.2.8 California Health and Safety Code 7050.5 .................................................................................... 19
3.2.9 California Code of Regulations (Title 14, Division 3, Chapter 1) ........................................... 20
3.3 Federal ................................................................................................................................................................ 20
3.3.1 National Historic Preservation Act ................................................................................................... 20
4.0 Context Statements .................................................................................................................... 23
4.1 Regional Archaeology and Ancient Native American History ...................................................... 23
4.2 Ethnography and Native American History .......................................................................................... 28
4.2.1 Luisef\o ........................................................................................................................................................ 28
4.2.2 Kumeyaay ................................................................................................................................................... 39
4.3 Euro-American History ................................................................................................................................. 40
4.4 Paleontological Resources .......................................................................................................................... 43
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad
September 2017
Tribal, Cultural, and Paleontological Guidelines
5.0 Roles and Responsibilities .......................................................................................................... 46
5.1 City of Carlsbad ............................................................................................................................................... 46
5.2 Private Applicants for Projects .................................................................................................................. 47
5.3 Consultants ....................................................................................................................................................... 47
5.3.1 Minimum Qualifications for Cultural Resources Professionals ............................................ .47
5.3.2 Minimum Qualifications for Paleontological Professionals ................................................... .49
5.4 California Office of Historic Preservation .............................................................................................. 49
5.5 California Native American Heritage Commission ............................................................................ 49
5.6 California Native American Tribes ........................................................................................................... 50
5.6.1 San Luis Rey Band of Mission Indians ............................................................................................. 50
5.7 Federally-Recognized Tribes ...................................................................................................................... 50
5.8 Other Permitting or Approving Agencies ............................................................................................. 50
5.9 Interested Parties ............................................................................................................................................ 51
6.0 Sensitivity Models ....................................................................................................................... 52
6.1 Uses ..................................................................................................................................................................... 52
6.2 Architectural History Sensitivity Model .................................................................................................. 53
6.3 Archaeological Sensitivity Model ............................................................................................................. 55
6.4 Paleontological Sensitivity Model ............................................................................................................ 56
6.5 Management of the Models ...................................................................................................................... 60
7.0 General Methods and Standards of Analysis ........................................................................... 61
7.1 General Standards .......................................................................................................................................... 61
7.2 Thresholds of Review .................................................................................................................................... 61
7.3 Confidentiality ................................................................................................................................................. 62
8.0 Tribal Cultural Resources Procedures ....................................................................................... 64
8.1 Tribal Outreach and Coordination ........................................................................................................... 64
8.1.1 Notices of Exemption ............................................................................................................................ 64
8.1.2 Section 106 of the NHPA ..................................................................................................................... 68
8.1.3 AB 52 ............................................................................................................................................................ 68
8.1.4 SB18 ............................................................................................................................................................ 69
8.2 Identification of Tribal Cultural Resources ........................................................................................... 69
8.2.1 Impact Analyses and Mitigation Measures ................................................................................... 70
8.2.2 Preferred Treatment Options and Mitigation Measures ......................................................... 70
9.0 Cultural Resources Procedures .................................................................................................. 75
9.1 Sensitivity Model Review ............................................................................................................................. 75
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad ii
September 2017
Tribal, Cultural, and Paleontological Guidelines
9.2 Records Searches and Literature Reviews ............................................................................................ 75
9.3 Field Surveys ..................................................................................................................................................... 76
9.4 Site Records and Survey Reports ............................................................................................................. 78
9.5 Evaluations of Significance ......................................................................................................................... 78
9.5.1 Properties Exempt from Evaluation of Eligibility ...................................................................... 78
9.5.2 General Methods .................................................................................................................................... 78
9.5.3 Archival Research .................................................................................................................................... 78
9.5.4 Architectural History and Built Environment... ............................................................................. 79
9.5.5 Historic Districts ...................................................................................................................................... 79
9.5.6 Archaeological Excavation ................................................................................................................... 79
9.5.7 Research Topics and Questions for Archaeological Sites ....................................................... 80
9.5.8 Evaluation Reports ................................................................................................................................. 85
9.6 Impact Analyses and Mitigation Measures .......................................................................................... 85
9.6.1 Thresholds ................................................................................................................................................. 85
9.6.2 Preferred Treatment Options and Mitigation Measures ......................................................... 87
9.7 Cu ration ............................................................................................................................................................. 97
10.0 Paleontological Resources Procedures ................................................................................... 98
10.1 Sensitivity Model Review ............................................................................................................................. 98
10.2 Records Searches and Literature Reviews ............................................................................................ 98
10.3 Field Surveys ..................................................................................................................................................... 98
10.4 Impact Analyses and Mitigation Measures .......................................................................................... 99
10.4.1 Negative Surveys .................................................................................................................................... 99
10.4.2 Positive Surveys ..................................................................................................................................... 100
10.4.3 Preferred Treatment Options and Mitigation Measures ....................................................... 100
10.5 Cu ration ........................................................................................................................................................... 100
11.0 Document Review and Consultation ..................................................................................... 101
11.1 Application Requirements ........................................................................................................................ 101
11.2 Completeness Review ................................................................................................................................. 101
11.3 Consultation ................................................................................................................................................... 102
11.4 Compliance Verification ............................................................................................................................. 103
12.0 References Cited ..................................................................................................................... 104
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad iii
September 2017
Tribal, Cultural, and Paleontological Guidelines
LIST OF FIGURES
Figure 1. Luisefio and Kumeyaay Bands in the Region of Carlsbad .................................................................. 30
Figure 2. Geology of the City of Carlsbad ..................................................................................................................... 45
Figure 3. Architectural History Sensitivity Model, showing high sensitivity in pink and moderate
sensitivity in green, with the balance being considered low sensitivity ............................................................ 54
Figure 4. Paleontology Sensitivity Model ...................................................................................................................... 57
Figure 5. Conceptual capping of a site, in conjunction with a deed restriction (illustratio_n courtesy of
Bonadelle Neighborhoods) ................................................................................................................................................ 91
Figure 6. Example of an interpretive panel. .................................................................................................................. 92
LIST OF TABLES
Table 1. Summary of Paleontological Sensitivity by Map Unit ............................................................................. 58
LIST OF ATTACHMENTS
Attachment A -Carlsbad City Council Policy No. 83
LIST OF APPENDICES
Appendix 1 -Separate Implementation Manual
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad iv
September 2017
Tribal, Cultural, and Paleontological Guidelines
LIST OF ACRONYMS
AB
ACHP
APE
ARMR
ARPA
BLM
BP
BSO
CCR
CEQA
CFR
CHRIS
CONUS
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad V
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
USACE U.S. Army Corps of Engineers
USFWS U.S. Fish and Wildlife Service
UTM Universal Transverse Mercator
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad vi
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 consultations 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 1
September 2017
Tribal, Cultural, and Paleontological Guidelines
(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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 2
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 3
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 4
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 resources 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 Luisef\o 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 5
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiserio, 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,
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 6
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 7
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 SO 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 8
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 9
September 2017
Tribal, Cultural, and Paleontological Guidelines
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).
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 10
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 11
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 12
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 identification, 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,
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 13
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Batiguitos 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 14 September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 15
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
demonstrated 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]).
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 16
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 17
September 2017
Tribal, Cultural, and Paleontological Guidelines
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:
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 18
September 2017
Tribal, Cultural, and Paleontological Guidelines
"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 county Medical Examiner contact
the NAHC within 24-hours if he or she determines the remains to be of Native American origin.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 19
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 20
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 21
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 22
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 23
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 24
September 2017
Tribal, Cultural, and Paleontological Guidelines
plant foods from the riparian woodland and chaparral plant communities. Camps were also established
on Agua Tibia Mountain / Palomar Mountain / 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 25
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiserio. 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 26
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 f'vlolpa. At Tom-Kav there are
116 mortars and 82 bedrock milling surfaces for a ratio of 1.4 to 1. At f'vlolpa 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 27
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiseno 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 luisefio
The Luiseno were one of the Takic-speaking groups in southern California prior to the arrival of Euro-
Americans. Luiseno 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).
Luiseno 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).
Luiseno 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).
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 28
September 2017
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod
Tribal, Cultural, and Paleontological Guidelines
29
September 2017
Tribal, Cultural, and Paleontological Guidelines
LUISENO BANDS
San Luis Rey Pala Pauma Valley Pauma &. Yu1rna Rincon
KUMEYAAY BANDS
San Pasqual Mesa Grande Barona Viejas Ewilaapaayp Sycuan
Figure 1. Luiserio and Kumeyaay Bands in the Region of Carlsbad.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 30
La Jolla Pechanga
Campo Jamul La Fl>sta Manzanita
September 2017
Tribal, Cultural, and Paleontological Guidelines
The Luiserio 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 1:47). 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 Luiserio 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. Luiserio 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 Luiserio 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 Luiserio
villages with a population of about 200 each, suggesting a total population of about 10,000 (White
1963:104).
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 31
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Diegueno. Mission San Juan Capistrano
was established in 1776 on San Juan Creek (in what is now southern Orange County) to convert the
Agjachemem or Juaneno. Coastal Luiseno 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 Luiseno (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 Luiseno territory along the upper San Luis Rey River near Mount Palomar in 1810 (Pourade
1961).
Some coastal Luiseno 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 Luiseno who lived near San Luis Rey Mission were converted and brought to live at the
mission. Other Luiseno 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 Luiseno alcaldes or overseers to manage
the labor of the Luiseno on the ranches where the Luiseno 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 Luiseno on the ranches were able to
maintain more of their culture and religious traditions than those at the mission. Other Luiseno
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 Luiseno 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
Luiseno 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 Luiseno 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 32
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiseno
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 33
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiserio leaders supported the Americans and refused to join the revolt of the Cuperios. 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
the part of the federal government. Meanwhile, the Americans in San Diego believed that all of the
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 34
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiseno 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 Luiseno, 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 Luiseno 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 Luiseno in 1853 and John Warner was appointed
subagent for the Cupeno 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 Luiseno 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 35
September 2017
Tribal, Cultural, and Paleontological Guidelines
child labor. Couts procured Luiserio 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 Luiserio 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 Luiserio villages on the
upper San Luis Rey River. Cota had a ranch east of Pala. Because Cota was not part of any Luiserio
lineage, the Luiserio 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 Luiserio 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 Luiserio 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 Luiserio 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 Luiserio 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 Luiserio 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 Luiserio captains said they would not go to the reservations. The
Luiserio feared that on the reservations they would become dangerously dependent on the federal
government and would lose control over their affairs. Because the Luiserio 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 Luiserio'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).
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 36
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luisef\o 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 Luisef\o 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 Luisef\o 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 Luisef\o
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 Luisef\o people were evicted
from Rancho Temecula by the San Diego County Sheriff in 1875 (Phillips 2014). The Luisef\o people
from Temecula were forced into a waterless canyon which later became the Pechanga Reservation
(Hanks 2012). Encroachment on traditional Luisef\o lands was also occurring around other Luisef\o
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
Luisef\o 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 Luisef\o food sources. Olegario
and his warriors blocked the access of Varela to the ranch in an effort to keep his cattle off of traditional
Luisef\o lands. Several Luisef\o 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 Luisef\o. Deputy Sherriff Ed Bushyhead was sent to Cuca to arrest Olegario. Olegario and
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 37
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luisefio 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 Luisefio 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 Luisefio 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 Luisefio nation with dignity and wisdom" (Hanks
2012:47). Olegario died July 31, 1877. Many Luisefio 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 Cupefio 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 Cupefio 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, Luisefio,
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 Luisefio 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 38
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Luiseno 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 Kumeyaay were 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 Luiseno.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 39
September 2017
Tribal, Cultural, and Paleontological Guidelines
In addition, members of several different cimul usually lived in the same residential base, unlike the
Luisefio 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). One 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 40
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Maria 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 41
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 tbe 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 Oust 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 42
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 43
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 44 September 2017
Tribal, Cultural, and Paleontological Guidelines
Qmb
Qop
City of Carlsbad Geology
LJ Crty Lom1ts •,11
0 0 I I M1k~
I I I I I I I I
~ K1kmlc1crs A.
I 62,500 I inch I m1k
Geology data modined from Kennedy and Tan. 2007
c=J Oa: alluvial flood-~aln deposits (late Holocene) D Qmb· marine beach deposits (lale Holocene)
c=J Ope Parahc estuanne deposits (late Holocene)
,I, 1, 11• 1,ll l
21
.CJ ~~~,=~:t11uvial flood-plain deposits (Holocene and late
D Qls: landslide deposits (Holocene and P1e1stocene)
\
c=J ~~st:e~~~vlal flood-plain deposits. undivided (late to middle
\
\
\
:==I) Oop6-7 (old paralic depoStls, units 6-7 (lale to middle Pleistocene)
Qoa6: old alluvial rloocl-plam deposits. unit 6 {late to middle
Pleis1ocene)
Qoe5. old alluvial flood-plain deposits, untt 5 (late to middle
Pleistocene} LJ Qop7-8· oki para!IC deposits. un~s 7-8 (late to mkldle Pleistocene)
~ Oop6: old para lie deposits. untt 6 (late to middle Pleistocene) W Qop2-4 0kt parahc deposits. units 2..4 {late to middle P,e1stocene)
Ovoa very o4d alluvial flood.plain deposits, undivided (middle to
early Pleistocene) ::=J ~'f:~~ef paralte deposits, undivided (middle 10 earty
Map by Andie Simmons. Cogstone Resource M•~ment tnc .• Oranoe. CaMOf,.a 2016
Figure 2. Geology of the City of Carlsbad.
Tribal, Cul tural and Paleontological Guidelines
City of Carlsbad 45
C) ~~~~~:7 old para11c ctepas1ts, unrt 13 (middle to early
□ ~::i~~~:r Old parahc depcSIIS, unit 12 (middle to earty
D Ovop10-11 very old paraltedeposf1s. units 10-11 (middle to earty
Pleistocene)
□ ~::.~:;: old para1tc deposits, UM 10 (middle to ear1y
Tda Oac1te stock (MK>Cene)
-Td Delmar Formation (middle Eocene) D rsa Santiago Formahon (middle Eocene) Ill Tt Torrey Sandstone (mlddle Eocene)
C] t(p Point Loma Formation (Upper Cretaceous) LJ Kl. Lusardi Formation (Upper Cretaceous)
-Kt' Tonahte, undivided (mid-Cretaceous)
-Klh Leucogranoc:hof'1te of Lake Hodges (mid-Cretaceous)
-~::Z~~~imentary and rnetavolcanlc rocks, undivided
CJ \Nater BOdy
Copynght 02010:E.~1 Oelonne NA: EO Sour~s USGS ESRI TANA ANO
Soutces Esn, 0.Lorme USGS NPS
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 approva ls, 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 9ivision 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 hi storic resources inventory or as identified in an environmental study.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 46 September 2017
Tribal, Cultural, and Paleontological Guidelines
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 (Pl) 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 47
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 48 September 2017
Tribal, Cultural, and Paleontological Guidelines
5.3.2 Minimum Qualifications for Paleontological 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 49
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad so September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 51
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 52
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 cu ltural 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 53
September 2017
Tribal, Cultural, and Paleontological Guidelines
I ..... __ -. -··· ..... .. . . ..
! I! 11---------1 :; n ! : :iJH
~
Figure 3. Architectural History Sensitivity Model, showing high sensitivity in pink and moderate
sensitivity in green, with the balance being considered low sensitivity.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 54 September 2017
Tribal, Cultural, and Paleontological Guidelines
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 cultura l 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. Over time, over the course of the implementation
of the Guidelines, the sensitivity model would more accurately reflect the actual inventory of cu ltural
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 avai lable 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
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod 55
September 2017
Tribal. Cultural, and Paleontological Guidelines
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 cu rrent 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 56
September 2017
Tribal, Cultural, and Paleontological Guidelines
City of Carlsbad Geology
Cj City Limits
D Geologic Units
Paleontological Sensitivity
-Low
Moderate
_H,gh
Water Body
O.S I M1l~
~ K1lomctcn A,
1 til,500 I 11\Ch I mile
Map by Andre s.mmons Cogstone Resoorce M•naoemem Inc
Orang&, Ctlliotnla. 2016
Figure 4. Paleontology Sensitivity Model.
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod 57
\
\
\ t;t:,;},.
~ol.vl.a Jt~.1111\
:c,pynght :i20l2i?lh1 Delorme NAllrEo Sources USGS ESRI TANA, ANO
SourcH E"'1 dtt.&fne USGS NPS,
September 2017
Tribal, Cultural, and Paleontological Guidelines
Table 1. Summary of Paleontological Sensitivity by Map Unit
Map Unit Description
Qa alluvial flood-plain deposits
Qmb marine beach deposits
Qpe paralic estuarine deposits
Qya young alluvial flood-plain deposits
Qls landslide deposits
Qoa old alluvial flood-plain deposits,
undivided
Qoa6 old alluvial flood-plain deposits, unit 6
Qoa5 old alluvial flood-plain deposits, unit 5
Qop7-8 old paralic deposits, units 7-8
Qop6-7 old paralic deposits, units 6-7
Qop6 old paralic deposits, unit 7
Qop2-4 old paralic deposits, units 2-4
Qvoa very old alluvial flood-plain deposits,
undivided
Qvop very old paralic deposits, undivided
Qvop13 very old paralic deposits, unit 13
Qvop12 very old paralic deposits, unit 12
Qvop10-11 very old paralic deposits, units 10-11
Qvop10 very old paralic deposits, unit 10
Tda Dacite Stock
Td Delmar Formation
Tsa Santiago Formation
Tl Torrey Sandstone
Kp Point Loma Formation
Kl Lusardi Formation
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod
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
58
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
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 rpck 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 metasedimentary 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) Tona lite and Leucogranodiorite of Lake Hodges, are also in the Low potential
sensitivity and are highly unlikely to yield any paleontological resources.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 59
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 60
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 cu ration 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 oth_er 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 61
September 2017
Tribal, Cultural, and Paleontological Guidelines
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]).
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 62
September 2017
Tribal, Cultural, and Paleontological Guidelines
"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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 63
September 2017
Tribal, Cultural, and Paleontological Guidelines
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;
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 64
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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;
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 65
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 66 September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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 commen'ts 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 67
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 AB52
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 68
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 TCRs under the Section 106 process. City staff
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod 69
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 that the 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 70
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 71
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 72
September 2017
Tribal, Cultural, and Paleontological Guidelines
during construction, all earth-moving activity within and around the immediate discovery area
must be diverted until the Luisef\o 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 Luisef\o 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 Luisef\o 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 cultural
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 Luisef\o 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 Luisef\o Native American monitor that such fill material does
not contain tribal cultural resources.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 73
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 74 September 2017
Tribal, Cultural, and Paleontological Guidelines
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 SCIC, 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 SCIC, 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 75
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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-l 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 76
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 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
Luiseno 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 Luiseno 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 Luiseno 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 Luiseno 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 Luiseno 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 Luiseno 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 77
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 78
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Pl, in consultation with the Luiserio Native
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 79
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carls bod 80
September 2017
Tribal, Cultural, and Paleontological Guidelines
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:
• ls 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?
• ls there evidence of food processing?
• ls 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?
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 81
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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?
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 82
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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:
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 83
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 84
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.S[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;
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 85
September 2017
Tribal, Cultural, and Paleontological Guidelines
(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."
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod 86
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 87
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 88 September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 89
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 #l
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 90
September 2017
Tribal, Cultural, and Paleontological Guidelines
---;.,---... --..,._ .. --......... --.-_ ~ ...__._,._.,.,..,...,,..-~.....--:---..:.-.:, .,,.,..,_., ..............
cu..--
Figure 5. Conceptual capping of a site, in conjunction with a deed restriction (illustration courtesy of
Bonadelle Neighborhoods).
Standard Treatment 3: Doto Recovery Excavation
Archaeological sites that are eligible under NRHP Criterion D / CRHR Criterion 4, at minimum, are
significant 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 may not be
appropriate for TCPs or TCRs and shall not be employed over the objection of the tribe or cultural
group that associates with the resource. Should data recovery of a Native American site be pursued,
then the SLRBMI shall be afforded an opportunity to comment on the data recovery plan in advance
of implementation.
Should data recovery be an appropriate mitigation, the finding of effect shall specify the specific sites,
number and size of units, and volume of excavation and is subject to City approval. Data recovery of
prehistoric sites cannot be utilized as a Standard Treatment Measure over the objection of California
Native American Tribes.
The data recovery will be documented in a confidential technical report that provides a discussion of
the research topics that guided data recovery, discusses the field and laboratory methods employed,
describes the recovered artifacts, updates the feature sketch map, and discusses how the recovered
material contributed to addressing the research topics. A catalog of the recovered artifacts will be
provided in a report appendix.
A sa mple of artifacts recovered from each site, not to exceed 10 percent (by artifact count, unless the
Principal Investigator recommends another basis for this calculation) of the collection, may be
permanently curated at an approved curation facility (see below). The sampling should not be
restricted to diagnostics only, but shall represent the full spectrum of cultural materials observed at
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod 91
September 2017
Tribal, Cultural, and Paleontological Guidelines
the site. The remaining 90 percent of collected artifacts shall be offered to a local historical society for
incorporation into publicly accessible or educational collections. Unclaimed collections will remain in
the possession of the applicant and used as appropriate for public display within the facilities in the
development.
Standard Treatment 4: Project-Specific Public Interpretation and Education
Any eligible cultural resource may be interpreted for the benefit of the general public through the
development and installation of one or more interpretive panels in parks, along trails, or at scenic
overlooks. The consultation conducted with SLRBMI would determine whether or not this measure is
appropriate for Native American cultural resources. The number, location, and content of the panels
shall not disclose the locations of confidential archaeological sites. Panels will measure approximately
two feet by three feet and will be displayed along newly constructed trails within the permit area.
Panels may be upright (as shown in Figure 6) or may be lower and angled .
Panels will be printed, manufactured, and installed by appropriate and experienced professionals.
Immediately following installation, photographs and GPS coordinates of the installed signs will be
provided to the City as proof of compliance with this requirement. Should the subject of the panels or
signs be Native American culture, then the SLRBMI shall be afforded an opportunity to review and
comment on the draft panels, prior to manufacturing.
Figure 6. Example of an interpretive panel.
Tribal, Cultural and Paleontological Guidelines
City of Corlsbod 92 September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 93
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 94
September 2017
Tribal, Cultural, and Paleontological Guidelines
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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 95
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 M LD, 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 96
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 Cu ration
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 97
September 2017
Tribal, Cultural, and Paleontological Guidelines
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;
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 98
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 99
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 survey 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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 100
September 2017
Tribal, Cultural, and Paleontological Guidelines
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?
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 101
September 2017
Tribal, Cultural, and Paleontological Guidelines
• 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 shall notify any other consulting parties it feels appropriate.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 102
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 103
September 2017
Tribal, Cultural, and Paleontological Guidelines
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-ll-12.pdf.
Allen, Mary and John Harmon, Jr.
n.d. A History of Carlsbad. Friends of the Library. Carlsbad Historical Society.
http://www.carlsbadhistoricalsociety.com/Car1sbad%20Historical%20Society files/
AHistoryofCarlsbad.htm
Anderson, Dan
2007a Carlsbad: Rancho Agua Hedionda. Carlsbad, California.
http://www.carlsbad.ca.us/hedionda.html
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 Luisefio. 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/vol1/sec3/physical/Ch08Pa1eo/chap08paleo.htm
California Natural Resources Agency
2016 CEQA: The California Environmental Quality Act. http://resources.ca.gov/ceqa/
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 104
September 2017
Tribal, Cultural, and Paleontological Guidelines
Carlsbad Spa
2016 Home and History. Carlsbad Mineral Water Spa.
http://www.carlsbadmineralspa.com/ralspa.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
ontological.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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 105
September 2017
Tribal, Cultural, and Paleontological Guidelines
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 California 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://ca.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: Eviden~e 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
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 106
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.sandiegohistory.org/books/pourade/time/timechapter9.htm
Robertson, Donald B.
1998 Encyclopedia of Western Railroad History, Volume IV, California. The Caxton Printers,
Caldwell, Idaho.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 107
September 2017
Tribal, Cultural, and Paleontological Guidelines
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:ljwww.sa nd ieg ohistory.org/a rch ives/biog ra physu b ject/c jcouts/
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 IIl(4).
1990 Site Locations and Water Supply: A Perspective from Northern San Diego County.
Journal of New World Archaeology VIl(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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 108
September 2017
Tribal, Cultural, and Paleontological Guidelines
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.
Tribal, Cultural and Paleontological Guidelines
City of Carlsbad 109
September 2017
I LIST OF ATTACHMENTS
Attachment A -Carlsbad City Council Policy No. 83
l ll •
ATTACHMENT A I
Carlsbad City Council Policy No. 83
..
..
(t') CITY OF ,.~CARLSBAD
Council Policy Statement
Category: TRIBAL CULTURAL RESOURCE PROTECTION
Policy No.
Date Issued:
Effective Date:
Resolution No.
Cancellation Date:
Supersedes No.
83
February 23, 2016
March 1, 2016
2016-042
n/a
n/a
Specific Subject: Tribal Consultation and Treatment and Protection of Tribal Cultural
Resources
PURPOSE: It is the intent of the City Council that the City of Carlsbad recognize its 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 consultations
with Native American Tribes that are traditionally and culturally affiliated with the City of Carlsbad
including the San Luis Rey Band of Mission Indians.
BACKGROUND: The City of Carlsbad is proudly home to California Native American Tribes that have
been here for more than ten thousand years. The City is acknowledged by California Native American
Tribes, archaeologists, ethnographers, and anthropologists to be rich in Tribal Cultural Resources.
These Tribal Cultural Resources are significant for their traditional, cultural, spiritual and religious ties
to the California Native American people living today and the cultural significance these resources
have to the lives of California Native American Tribal people in the present.
Currently, in the design and construction of development projects on private property and projects on
City-owned properties, the City of Carlsbad Cultural Resources Guidelines and General Plan Policies 7-
P.7 through 7-P.11 are implemented. In addition, during the project review process City staff, as the
City's representative managing both projects on private and City-owned properties, must implement
their best professional judgment to attempt to avoid or substantially reduce impacts to Tribal Cultural
Resources, historical, archaeological and paleontological resources by developing mitigation measures
for appropriate treatment and protection of such resources. However, the City's Cultural Resource
Guidelines (1990) require updating to ensure consistency with State law and the City's General Plan
Policies, define a predictable and reliable means of approving projects, and ensure appropriate long
term protection of Tribal Cultural Resources. To meet these goals the City, within the areas of its
authority, will establish improved guidelines for Native American tribal consultation and the
protection of Tribal Cultural Resources in a way that is respectful to California Native American Tribes.
POLICY: To the extent allowed under the authority of the City, the City shall guide all development
projects on private property and projects on City-owned properties to be designed and constructed in
a manner to avoid or substantially reduce impacts to Tribal Cultural Resources, as they are defined by
State Law, and to establish and adopt preservation measures to maintain their permanence in
protection. To facilitate this Policy, the City shall consult with California Native American tribes that
are traditionally and culturally affiliated with the City, including San Luis Rey Band of Mission Indians,
early in the design process of development projects on City-owned properties and early in the permit
process of development projects on private property to avoid or substantially lessen potential adverse
impacts to Tribal Cultural Resources that may occur as a result of a proposed project. The City shall
Page 1
update its Cultural Resource Guidelines to incorporate State definitions of Tribal Cultural Resources,
require consultation in the detection, treatment and protection ofTribal 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.
Page 2 of2
This page is intentionally blank.
Appendix C. Cultural Resources Letter Report
This page is intentionally blank.
hdrinc.com
June 3, 2019
Elmer Alex, Principal Engineer, Sewer Utilities
200 Civic Center Drive
Vista, CA 92084
Reference: Cultural Resources Study for the Vista-Carlsbad Trunk Sewer Access,
Reach 1 (VC1), Carlsbad, California (Confidential)
Introduction
This letter report provides the results of cultural resources study for the proposed access
improvements to Reach 1 of the Vista-Carlsbad Trunk Sewer (VC1 or project) as proposed by
the City of Vista (City) in the City of Carlsbad, California. The proposed project is subject to
compliance with the California Environmental Quality Act (CEQA), as amended through 2019
and Section 106 of the National Historic Preservation Act (NHPA). Therefore, cultural resources
management work was conducted in compliance with the CEQA and NHPA Statutes and
Guidelines.
The cultural resources study was conducted in support of the implementation of the VC1 project,
which is covered under the City's 2017 Comprehensive Sewer Master Plan (CSMP) and
Supplemental Program EIR (SPEIR). Mitigation Measure CULT-2 in the City's Mitigation
Monitoring and Reporting Program (MMRP) requires the preparation of a project specific
archaeological survey prior to project implementation to reduce potentially significant impacts
identified for CSMP Categories 1, 2, 3, and 4. According to the SPEIR, the project is identified
as a Category 4 project and is subject to the requirements of Mitigation Measure CUL T-2.
This cultural resources assessment encompassed background and archival record searches and
a thorough pedestrian survey of the project area of potential effect (APE). The APE encompasses
an area on the north side of Buena Vista Creek and south of CA Hwy 78 and between the eastern
terminus of Haymar Drive (west of College Boulevard) and the western terminus of Haymar Drive
(east of El Camino Real) (Figure 1 and Figure 2). The majority of the project site is within the
Buena Vista Creek Ecological Reserve. The proposed action within the APE consists of the
rehabilitation and improvement of the existing VC1 access road. Planned activities would include
vegetation removal or trimming, grading, limited excavation, soil stockpiling, and roadway
compaction. Ground disturbance would include excavation of up to six feet in depth for the road
cut in the eastern half of the APE and excavation of up to 2 feet in depth for the road cut in the
western half of the APE. Construction would require a temporary easement of up to 50 feet in
width. HOR archaeologists Dan Leard and Dan Leonard conducted the survey of the entire APE
on April 19, 2019.
591 Camino de la Reina, Suite 300. San Diego, CA 92108
T 858 712 8400 F 858 712 8333
Figure 1. Project area shown on the USGS 7.5' quadrangle
500 1,000 2,000
--===---■Feet
--==---Meters 0 150 300 600
N
A
1:24,000
PrOJection NAO 1983 UTM ZONE 11 N
Data Source· USA Topo Maps
2
Figure 2. Aerial overview of the Project Area of Potential Effect
II II Project Area N
0
0
200 400 800 A Feet
Meters
50 100 200 1:8,000
Pr01ecbon. NAO 1983 UTM ZONE 11N
Data So1Xce: San O,ego 2017 4-w,ch Imagery
3
Background Studies
As part of the study, HOR conducted a background and archival records search of the project
area that included a search of the cultural resources databases housed with the South
Coastal Information Center (SCIC), the Sacred Lands File (SLF) kept with the Native
American Heritage Commission (NAHC), and any available historic documentation and aerial
imagery for the area. On February 21 , 2019 a request was submitted to the SCIC for a record
search of all archaeological and historical resources within ½ mile of the APE. The record
search identified 53 cultural resource projects and 22 cultural resources. On April 3, 2019 a
letter was sent to the NAHC requesting a review of the SLF for any registered cultural
resources, traditional cultural properties, or areas of heritage sensitivity within the vicinity of
the project area. The results of the SLF were negative.
Previous Cultural Resource Studies
The record search identified 53 cultural resource survey, excavation, and monitoring projects
within a half mile of the APE. The entirety of the project area has been previously surveyed
between 1977 and 2017.
Table 1. Previous cultural resources studies within 1/2 mile of the project area -• Affiliation Title Report Type
Carrico, Archaeological
SD-Richard WESTEC Investigations of the Archaeological, Field 1977 Master Plan 300 Acres 00291 and Lesley Services, Inc. Project Oceanside, study
McCoy California.
Cultural Resource Survey
Gallegos, and Assessment and
Archaeological Testing of SD-Dennis and 1984 WESTEC Site Sdi-9967 (W-3492) Archaeological, Field
00675 Richard Services, Inc. for South Coast Asphalt study
Carrico Products Company
Carlsbad, California
Gallegos, Cultural Resource Survey
SD-Dennis and WESTEC and Assessment for Archaeological, Field 1985 Epoch/Pacific Capital 01033 Richard Services, Inc. Project Oceanside, study
Carrico California
An Archaeological Survey
Report for a Widening of
SD-Lay lander, 1988 CAL TRANS State Route 78 (1-5 to Archaeological, Field
01154 Don East of College study
Boulevard) Oceanside,
California.
Pigniolo, ERC Cultural Resource Survey
SD-Andrew Environmental of Improvements to Archaeological, Field 1989 and Energy Melrose Drive and North 01328 and Dennis Services Santa Fe Avenue Vista, study
Gallegos Company California.
4
Table 1. Previous cultural resources studies within 1/2 mile of the project area -• Affiliation Title Report Type
Wade, Sue Archaeological Monitoring
A. and of the Encina Gas Pipline
SD-Susan M. 1986 RECON Project Profiles of Archaeological, Field
01579 Hector Subsistence Patterns study
Ph.D. Along the South Shore of
Agua Hedionda Lagoon
An Evaluation of the
Wlodarski, Impacts Upon Cultural
Pence Resources Located on 95 SD-Robert J. 1981 Archaeological Acres, Buena Vista Archaeological, Field
01643 and Gwen Consulting Creek, City of Carlsbad, study
R. Romani County of San Diego,
California
Archaeological
SD-Wade, Sue Excavations at SDi-Archaeological, 1987 RECON 4926/SDM-W-2131 Oak 01662 A. Riparian Park City of Excavation
Oceanside, California
SD-Wade, Sue Archaeological Mitigation Archaeological,
01664 A. 1985 RECON of SDi-9898, Del Oro Hills Excavation, Field
Oceanside, California study
Archaeological Archaeological, Evaluations At Calavera
SD-Hills SDl-5416, Evaluation,
02598 Wade, Sue 1992 RECON Archaeological Testing At Excavation, Field
SDl-12470, SDl-12471. study,
Carlsbad ManagemenUplanning
Draft Environmental
SD-Larry Impact Report Revised
1982 Larry Seeman Parks and Recreation Other research 04111 Seeman Element, Carlsbad,
California
SD-Richard 1977 WESTEC Fairbanks Ranch, San Archaeological, Field
04124 Carrico Diego County study
An Archaeological
SD-Bull, 1977 Charles S. Reconnaissance Of The Archaeological,
04229 Charles Bull Lake Calvera Hills Plan Evaluation
Area
Final Report For An
SD-Caltrans 1982 Caltrans Archaeological Test Archaeological, Field
04833 Excavation At Site Ca-study
SDl-9473, Carlsbad, Ca.
Summary Report For An
Archaeological Test
SD-Corum, 1982 Joyce Corum Excavation At Site Ca-Archaeological, Field
04835 Joyce SDl-9473, Oceanside, study
Ca. 11-SD-78 P.M.
0 .0/3.1
Historic Property Survey
SD-Gallegos, Gallegos & Report Rancho Del
2000 Oro/SR 78 Interchange Other research 05403 Dennis Assoc. Volume 1 Of 2
Oceanside, California
5
Table 1. Previous cultural resources studies within 1/2 mile of the project area -• '
Title
1
Affiliation Report Type
Kyle, Cultural Resources
Carolyn, Survey For The Proposed
SD-Roxana 2002 Gallegos & State Route 78/Rancho Archaeological, Field
05404 Phillips, Assoc. Del Oro Interchange study
and Dennis Project-City Of
Gallegos Oceanside, California
SD-Laylander, Historic Property Survey
1988 Don Laylander Report For A Widening Of Other research 05845 Don State Route 78
Robbins-
SD-Wade, Cultural Resources Archaeological,
06195 Mary and 1989 Affinis Inventory: College Fair, Evaluation Timothy G Oceanside, California
Gross
SD-Robbins-Cultural Resources Archaeological, Wade, 1989 Affinis Inventory: College Fair 07858 Mary Oceanside, Ca Evaluation
SD-Rosen, 2003 Martin D. Final Historic Property Other research 08484 Martin D. Rosen Survey Report
An Archaeological Survey
SD-Harley, 1983 Geoff Harley Of The Tri-City Plaza Archaeological,
08748 Geoff Shopping Center Evaluation
Property
Murray,
SD-Matt and Via Las Rosas Archaeological, Mary 2003 Affinis 08883 Robbins-Archaeology Evaluation
Wade
SD-Rosen, 2004 Positive Historic Property Other research 09003 Martin D. Survey Report
Cultural Resource
Assessment For Cingular
SD-Kyle, 2002 Kyle Wireless Facility Sd7 41-Literature search 09079 Carolyn Consulting 01 , City Of Oceanside,
County Of San Diego,
California
Gallegos, Historical/Archaeological SD-Dennis and Gallegos And
09136 Ivan 1991 Associates Survey Report For Larwin Other research
Strudwick Park, Carlsbad, California
SD-Rosen, State of Historic Property Survey 2005 California -Architectural/Historical 09366 Martin D. BTHA Report -Rancho del Oro
Guerrero, City Of Carlsbad Water
SD-Monica C Gallegos & And Sewer Master Plans Archaeological,
09571 and Dennis 2003 Associates Cultural Resource Evaluation,
R. Gallegos Background Study City Of Management/planning
Carlsbad, California
Robbins-
SD-Wade, Affinis Del Oro Heights Tentative Archaeological,
09745 Mary and 2005 Environmental Map-Archaeology (Affinis Evaluation, Other
Andrew Services Job No. 2073) research
Giletti
6
Table 1. Previous cultural resources studies within 1 /2 mile of the project area
1111 II Affiliation Title Report Type
SD-Carrico, Richard Environmental Impact Archaeological,
09884 Richard 1973 Carrico Report Archaeological Evaluation, Other
Survey research
Beaumaris Properties
SD-Robbins-Affinis Vista Way/Rancho del Archaeological,
10155 Wade, 2006 Environmental Oro Parcel -Evaluation, Other
Mary Services Archaeological (Affinis research
Job No. 2115)
Cultural Resources Final
SWCA Report Of Monitoring And Archaeological,
SD-Arrington, 2006 Environmental Findings For The Qwest Evaluation, Field
10551 Cindy Consultants Network Construction study, Monitoring,
Project, State Of Other research
California
SD-Robbins-"Panhandle" Property Archaeological,
Wade, 2008 Affinis Evaluation, Other 11778 Mary Archaeological Survey research
Cultural Resources
Robbins-Study, Former South Archaeological, SD-Wade, 2008 Affinis Coast Material Quarry Evaluation, Other 11786 Mary Amended Reclamation research Plan, Oceanside, San
Diego County, California
Clowery-A Phase I Archaeological
SD-Moreno, Brian F. Smith Assessment Of The Archaeological,
12412 Sara And 2008 & Associates College Boulevard Evaluation, Other
Brian F. research
Smith Widening Project
A Cultural Resources
Ni Inventory For The Route
SD-Ghabhlain, ASM Affiliates, Realignment Of The Archaeological,
Sinead and 2001 Proposed Pf. Net / AT&T Evaluation, Other 12422 Drew Inc. Fiber Optics Conduit research
Pallette Oceanside To San Diego,
California
Rancho Del Oro Drive/ Archaeological, SD-Rosen, 2003 Caltrans State Route 78 Evaluation, Other 12872 Martin D. Interchange, San Diego research County, California
TCM Access Road Archaeological, SD-Morgan, 2011 HOR Grading Project, Cultural Evaluation, Other 13626 Nichole B. Resources Inventory research Report
Robbins-
SD-Wade, Cultural Resources Archaeological,
Mary and 1989 Affinis Inventory: College Fair Evaluation, Other 13844 G. Timothy Oceanside, California research
Gross
SD-Robbins-Via Las Rosas Archaeological,
13948 Wade, 2003 Affinis Archaeology Evaluation, Other
Mary research
7
Table 1. Previous cultural resources studies within 1 /2 mile of the project area
Ill • Affiliation Title Report Type
Ni
Ghabhlain, A Cultural And Historical Sinead, Resources Survey And Mark Archaeological, SD-Becker, 2012 ASM Affiliates, Evaluation For The Evaluation, Other 14039 Adam Inc. Quarry Creek Project research
Giacinta, EIR, City Of Carlsbad,
and Tony California
Quach
Cultural And Historical
Resource Study For The
SD-Ni ASM Affiliates, City Of Oceanside Archaeological,
Ghabhlain, 2011 General Plan-Circulation Evaluation, Other 14069 Sinead Inc. Element Update Program research
Environmental Impact
Report (PEIR)
Robbins-Archaeological Monitoring
Wade, For The Former South Archaeological, SD-Coast Material Quarry
14157 Mary and 2013 Affinis Amended Reclamation Evaluation, Other
Andrew Plan, Carlsbad, San research
Giletti Diego County, California
Cultural Resource Survey
SD-Baksh, Tierra For The Proposed Archaeological,
14564 Michael 1996 Environmental College Boulevard Evaluation, Other
Services Widening Project In research
Oceanside, California
Stropes, Brian F. Smith A Phase I Archaeological Archaeological,
SD-Tracy A. And Assessment Update For Evaluation, Literature
14800 and Smith, 2014 Associates, The College Boulevard search, Other
Brian F. Inc. Widening Project City Of research Oceanside
Archaeological Survey for
Susan M. NWB the SDG&E Quarry Creek
SD-Hector and Environmental Overhead Conversion, Archaeological,
15503 Joshua A. Services, LLC San Diego County, Monitoring
Tansey California (SDG&E eTS
#29953)
Cultural Resources
Survey Report For The
Art/Music Storage
SD-Roger D. 2015 ECORP Buildings And Archaeological, Field
16174 Mason Consulting Theatre/Dance Building study
Project Mira Costa
College Oceanside, San
Diego County
Visual Effects
Assessment On The
Marron-Hayes Adobes
SD-Davis, ASM Affiliates Historic District For The Architectural/Historical 16406 Shannon Quarry Creek Master
Plan Environmental
Impact Report, Carlsbad,
California
8
Table 1. Previous cultural resources studies within 1/2 mile of the project area
Ill II Affiliation Title Report Type
A Cultural And Historical
Ni Resources Survey And
SD-Ghabhlain, 2014 ASM Affiliates Evaluation For The Archaeological,
16407 Sinead Quarry Creek Project, Architectural/Historical
City Of Carlsbad,
California
Cultural Resources
Survey Mira Costa
College/ ENSITE #18547
SD-Perez, Don EBI (270195) 2 Barnard Archaeological, 2014 Drive, Oceanside, San 16484 C. Consulting Diego County, California Evaluation
92058 NW1/4 SE1/4 S28
T11S R4W, EBI Project
No.61142765
Stringer-Historic American
SD-Bowsher, 2014 ASM Affiliates Buildings Survey Marron-Architectural/Historical 16613 Sarah Hayes Adobes Historic
District
Archaeological Monitoring
SD-Castells, ASM Affiliates, For The Quarry Creek Archaeological,
17210 Shelby 2017 Inc. Project, City Of Carlsbad, Excavation,
Gunderman San Diego County, Monitoring
California
Robbins-
SD-Wade, Helix Vista Pacific Project -Archaeological, Field Mary and 2017 Environmental 17342 Nicole Planning Cultural Resources Study study
Falvey
Archaeological Resources
The record search identified 22 previously recorded archaeological resources within a half
mile radius of the APE. The previously recorded resources include 15 prehistoric habitation
sites, one possible prehistoric village site, one isolated bedrock milling station, one
prehistoric lithic isolate, two multicomponent historic and prehistoric habitation sites, one
historic habitation site, and one multicomponent site with a historic adobe structure and
prehistoric habitation. Of the 22 resources, four are within the APE (Figure 3). These include
P-37-005652, P-37-009472, P-37-009473, and P-37-009474.
P-37-005652 (CA-SDl-5652) was originally recorded by James Edwards in 1977. The site
includes the restored Marron/Hayes adobe residence and pump house, a historic artifact
scatter, a prehistoric artifact scatter, and prehistoric shell midden. The artifact assemblage
included historic stone, leather, and a brass button, and prehistoric lithics, including
choppers, scrapers, hammerstones, a mano fragment, and two projectile points. In 1998,
Gallegos & Associates updated the site and performed subsurface testing of the prehistoric
loci.
P-37-009472 (CA-SDl-9472) and P-37-009473 (CA-SDl-9473) were originally recorded by
Dennis Quillen in 1982 and described as Chione sp., Pecten sp., and Mytilus sp. shell
9
remains and basalt flakes present in rodent den mounds. Possible fire-cracked rock was also
observed at CA-SDl-9473. The sites were recorded on two separate small ridges on the
south side of Hwy 78 and north of Buena Vista Creek. Construction of Hwy 78 may have
impacted the sites.
P-37-009474 (CA-SDl-9474) was originally recorded by Dennis Quillen in 1982 and
described as a historic habitation with two privy features and scattered historic debris
consisting of historic bottle glass, ceramic sherds, brick, and hand-forged iron fragments all
dating to the 1920s. The site is likely the remnants of a historic building that appears at this
location on historic quadrangle maps. Two looter pits were observed at the site.
Table 2. Previously recorded resources within ½ mile of the project area
11tflll:BIU■B·B1 • Eligibility
P-37-CA-SDI-Site AP2 Prehistoric lithic artifact 1958 Unevaluated
000631 631 scatter, reported as likely
destroyed
P-37-CA-SDI-Site
000632 632
P-37-CA-SDI-Site
000633 633
P-37-CA-SDI-Site
000634 634
P-37-CA-SDI-Site
005601 5601
P-37-CA-SDI-Site
005651 5651
P-37-CA-SDI-Site
005652 5652
AP2
AP4
AP2
AP2
AP2
AP2, AH4,
HP2,
AP15
Mano fragment and
possible midden deposit
Prehistoric campsite with
bedrock metate
Prehistoric campsite with
lithic scatter
Large prehistoric site with
four concentrations of
lithic artifacts and shell
Extensive lithic and shell
artifact scatter -
considered eligible for the
NRHP
Restored Spanish style
adobe house with historic
and prehistoric artifact
scatter and buried shell
midden deposit
Approximately 3,000
artifacts and ecofacts
were recovered during
testing.
1958 Unevaluated
1958 Unevaluated
1958 Unevaluated
1977 Unevaluated
1977 Recommended
eligible
1977 Eligible
P-37-CA-SDl-Site AP2,
AP15,
AH4
Possible prehistoric
village site with
prehistoric and historic
artifact scatter and
1978 Unevaluated
006139 6139
P-37-CA-SDI-
008913 8913
P-37-CA-SDI-
008914 8914
P-37-CA-SDI-
009472 9472
P-37-CA-SDI-
009473 9473
Site
Site
Site
Site
AP2
AP2
AP2
AP2
midden deposit
Light prehistoric lithic 1981
scatter with groundstone
and shell
Light prehistoric lithic 1981
scatter with shell
Light scatter of prehistoric 1982
lithic debitage and shell
Light scatter of prehistoric 1982
lithic debitage, shell, and
possible FCR
Unevaluated
Unevaluated
Unevaluated
Recommended
ineligible
10
Table 2. Previously recorded resources within ½ mile of the project area
11tldiSt¥lli\1t■t1·N • Eligibility
P-37-CA-SDI-Site AH2, AH4 Building remnants, two 1982 Recommended
009474 9474 privies, and historic trash Eligible
scatter
P-37-CA-SDI-Site AH2, Prehistoric habitation with 1984 Recommended
009967 9967 AH4, AP2, shell and lithic scatter; ineligible
AP15 historic house foundation
and refuse
P-37-CA-SDI-Site AP2 Small lithic scatter 1985 Unevaluated
010235 10235
P-37-CA-SDI-Site AP2 Small lithic scatter 1985 Unevaluated
010236 10236
P-37-Isolate AP2 Mano fragment 1991 Unevaluated
015016
P-37-CA-SDI-Site AP2, Prehistoric campsite with 2000 Unevaluated
018878 15732 AP15 shell midden, lithic
scatter, and groundstone
P-37-CA-SDI-Site AP16 Small shell scatter 2006 Unevaluated
027329 17863
P-37-CA-SDI-Site AP16 Shell scatter with 1 flake 2006 Unevaluated
027330 17864
P-37-CA-SDI-Site AP2, Small prehistoric scatter 2011 Unevaluated
032876 20776 AP15
P-37-CA-SDI-Site AP2, Small prehistoric scatter 2011 Unevaluated
032877 20777 AP15
11
Figure 3. Previously recorded resources within ½ mile of the project area
(Confidential)
II II Project Area
c:J 1/2 Mile Buffer
-Previously Recorded Site N
• o-■s■oi:0=1::::i,o■o■o--■211,~~et
--=:::::11---■Meters 0 150 300 600
A
1:20,000
Protection· NAO 1983 UTM ZONE 11N
Data Source San Diego 2017 4-.,ch Imagery
12
Survey Methods
HOR cultural resources specialists conducted a thorough pedestrian surface inspection of
the entire project footprint. The pedestrian survey was consistent with the Secretary of the
Interior's (SOI) Standards and Guidelines for Archaeology and Historic Preservation (48FR
44716, September 29, 1983) with the intent to locate and record all cultural resources.
Survey methods conformed to prevailing State of California and the SOi's Standards and
Guidelines. HOR pedestrian survey transect intervals did not exceed 15 meters. All cultural
resources encountered were fully documented and photographed and all spatial data was
recorded using a Trimble GeoXT handheld GPS unit with sub-meter accuracy. Field
sketches, field artifact inventories, and detailed field notes were employed to document
cultural resources.
Survey Results
The VC1 project area extends along a narrow valley on the south side of California Highway
78 and on the north side of Buena Vista Creek (Photograph 1 ). The terrain includes steep to
moderate south-facing side slopes in the eastern half and flat valley floor across the western
half. As a result of the survey, four previously recorded archaeological sites were relocated
and updated. These include CA-SOl-5652, CA-SOl-9472, CA-SOl-9473, and CA-SOl-9474.
No new cultural resources were identified during the survey.
Photograph 1. Overview of the VC1 project area, facing west
13
CA-SDl-5652
CA-SDl-5652 was originally recorded by James Edwards in 1977. The site includes the
restored Marron-Hayes Adobe residence and pump house, historic artifact scatters, and
prehistoric artifact scatters. The artifact assemblage included historic stone, leather, and a
brass button, and prehistoric lithics, including choppers, scrapers, hammerstones, a mano
fragment, and two projectile points.
In 1998, Gallegos & Associates updated the site and identified two concentrated areas of
prehistoric material in the southern half of the site, designated Locus A and Locus B (Kyle,
Phillips, and Gallegos, 2002). Gallegos & Associates implemented a subsurface testing
program of the prehistoric component that consisted of excavation of 30 shovel test pits
(STP) and six 1 x 1 meter test units. Subsurface testing identified two separate shell midden
features and a sparse scatter of shell and artifacts over the remainder of the site. Cultural
material recovered during testing included 2,800 pieces of debitage, 4 bifaces, 8 flake tools,
11 core/cobble tools, 1 core, 16 manos, 2 metate fragments, 1 stone bowl fragment, 29
ground stone fragments, 38 ceramic sherds, 2 olivella shell beads, 1 bone bead, 1 punched
Argopecten sp. shell, 10 otoliths, 1 antler fragment, faunal remains, shell, and historic debris.
Radiocarbon analysis from small charcoal and shell samples yielded dates from 1330 to
1970 years B.P. Based on the results of the testing, CA-SDl-5652/H was recommended
eligible for inclusion in the NRHP and the CRHR.
In 2015, ASM Affiliates completed a HABS documentation and National Reg ister nomination
for the Marron-Hayes Historic Adobes District (Stringer-Bowsher et al 2015). The Marron-
Hayes Adobe, along with the no longer extent Hayes Adobe (CA-SDl-9474H), comprises the
Marron-Hayes Historic Adobes District. It was constructed ca. 1854 and altered in 194 7. The
Marron -Hayes Adobes Historic District was once part of a much larger 362-acre ranch and
is significant for its association with Silvestre Marron , one of the first non-Indian settlers of
the present-day Oceanside-Carlsbad area, and John Chauncey Hayes, an influential late
19th c. and early 20th c. lawyer, judge, newspaper man, farmer, real estate developer, and
one of the founders of Oceanside. The extant Marron-Hayes Adobe is significant as a rare
and intact example of a late Mexican-style adobe in San Diego County (1850-1906), as well
as an excellent example of mid-20th c. (1947) Mission Revival architectu re.
14
Photograph 2. Overview of CA-S01-5652 from Locus A, facing west
Most of the southern half of the site is within the current study area. This portion of the site
is on a gentle south facing slope on the north side of Buena Vista Creek. Most of the site is
covered with dense coastal sage scrub and annual grasses (Photograph 2). Both of the
previous site recorders noted that this area has been used for agriculture. Currently, this area
is part of the Buena Vista Creek Ecological Reserve.
Despite poor ground visibility, both Loci A and B were easily relocated. Locus A covers the
southeast corner of the site and consists of a dense surface scatter of crushed shell. Shell
midden deposit and fire-cracked rock (FCR) are exposed on the surface of an intersection of
dirt/gravel roads that cut through Locus A (Photograph 3). Buried midden soil is visible in
erosional ruts at the road intersection. These ruts extend down to depths of at least 20 cm
below surface level and show dense shell deposit (Photographs 4 and 5). One lithic tool was
identified within Locus A (Artifact 1 ). Artifact 1 is a double-sided chopper of metavolcanic
material. As a result of the survey, the boundaries of CA-SDl-5652 were expanded to cover
the full extent of Locus A.
15
Photograph 3. Overview of CA-SDl-5652 Locus A, facing northwest
Photograph 4. Shell and midden soil exposed in the road at Locus A
16
Photograph 5. Shell and midden soil exposed in the road at Locus A
Locus B covers part of the southwest portion of the site and consists of moderate to dense
shell scatter with some FCR and midden soil mostly visible in area of rodent burrowing
(Photograph 6).
Photograph 6. Overview of CA-501-5652 Locus B, facing south
17
Two possible historic features were also identified at the site. Feature 1 is a water pump with
a rectangular concrete base and a rusted metal pump mechanism (Photograph 7). Tags on
the mechanism read "Serial Number S27 Model 9R1 " and "A PEERLESS PUMP DIVISION/
FOOD MACHINERY AND CHEMICAL CORPORATION/ LOS ANGELES, CA/
INDIANAPOLIS, IND," with an "fmc" logo. The pump likely dates to the mid-20th Century. It
is unclear if this is related to the historic pump house noted by Edwards in 1977. Feature 2
is a large eucalyptus tree on the northeast edge of Locus B. The tree was likely planted
during the historic occupation of the site.
Photograph 7. Overview of CA-S01-5652 water pump feature, facing east
Previous excavations of the prehistoric portions of the site have yielded information important
to the prehistory of the area. The site also likely contains additional subsurface deposits that
have the potential to yield further information. Therefore, the prehistoric component of the
site should be considered eligible for the California Register of Historic Resources (CRHR)
under Criterion 4 and for the National Register of Historic Places (NRHP) under Criterion D.
The historic Marr6n-Hayes Adobe structure is eligible under Criteria B and C. Additionally,
the site boundary is within the National Register nomination boundaries of the Marron-Hayes
Historic Adobes District as drawn by Stringer-Bowsher et al (2015).
CA-501-94 72
CA-SDl-9472 was originally recorded by Dennis Quillen in 1982 and described as Chione
sp., Pecten sp., and Mytilus sp. shell remains and basalt flakes present in rodent den
mounds. The site measured 30 m x 25 m and was recorded on a small ridge on the south
side of Hwy 78 and north of Buena Vista Creek (Quillen 1982a).
18
The site was relocated on top of low, broad ridge extending between Hwy 78 and Buena
Vista Creek adjacent to the west of the previously recorded location (Photograph 8). A diffuse
scatter of Chione sp., Argopecten sp., and Donax sp. shell remains was observed scattered
over an area measuring 73 x 39 m. One basalt tertiary flake was observed on the surface.
Vegetation on the site consists of coastal sage, sweet fennel, and other grasses.
Approximately 50 percent of the surface has been disturbed by vehicular use. The site likely
extended further to the north prior to the construction of Hwy 78. The site may also extend
further south to the creek; however, due to dense riparian vegetation ground visibility to the
south is effectively zero. CA-SDl-9472 has not been tested or evaluated for eligibility to the
CRHR or the NRHP. Subsurface testing would be necessary to assess the site's significance
and potential to yield important information.
Photograph 8. Overview of CA-S01-9472, facing southeast
CA-SDl-9473
CA-SDl-9473 was originally recorded by Dennis Quillen in 1982 and described as a surface
scatter of Chione sp., Pecten sp., and Mytilus sp. shell remains, possible FCR, and basalt
flakes visible in rodent den mounds. The site measured 35 m x 25 m and was recorded on a
small ridge on the south side of Hwy 78 and north of Buena Vista Creek (Quillen 1982b).
Caltrans archaeologists tested the site in 1982 to assess its eligibility for inclusion in the
NRHP (Corum and White 1982). Testing included excavation of twelve 1 x 1 m test units,
power auguring of ten 30 cm diamter test probes, and hand excavation of one 30 cm x 30
cm test probe. Artifacts recovered from the site included debitage, flaked lithic tools, ground
stone, one projectile point, ceramics, and fire-affected rocks. Caltrans determined that the
site was not eligible for inclusion on the NRHP due to extensive disturbance (Corum and
White 1982).
19
The site was relocated on top of low, narrow ridge extending between Hwy 78 and Buena
Vista Creek approximately 90 m the west of the previously recorded location (Photograph 9).
A dense surface scatter of Chione sp., Argopecten sp., and Donax sp. shell remains was
observed scattered over an area measuring 58 m x 33 m (Photograph 10). Two basalt flakes
and several small fragments of possible FCR were observed on the surface. Vegetation on
the site consists of dense coastal sage, sweet fennel, and other grasses. Other than the dirt
road which bisects the site, no obvious ground disturbances were observed. The site may
have extended further to the north prior to the construction of Hwy 78, and also may have
extended further south to the creek; however, due to dense riparian vegetation ground
visibility to the south is effectively zero.
Photograph 9. Overview of CA-S01-9473, facing southwest
20
Photograph 10. Shell varieties at CA-SOI-9473
CA-SDl-9474
CA-SDl-9474H was originally recorded by Dennis Quillen in 1982 and described as a historic
habitation measuring 50 x 30 m with two privy features and scattered historic debris
consisting of historic bottle glass, ceramic sherds, brick, cattle bone and hand-forged iron
fragments dating to the 1920s. The larger of the privies was measured at 1.5 m across at the
top by 2 m in depth. The site is likely the remnants of a historic building that appears at this
location on the 1906 historic quadrangle maps. Two looter pits were observed at the site
(Quillen 1982c).
Based on historical research, Gallegos & Associates identified the location of CA-SDl-9474H
as the site of the Hayes Adobe, an adobe house built for John Chauncey Hayes and Felipa
E. Marron. The Hayes Adobe was constructed ca. 1875 and reported to be in disuse by the
1930s and "almost entirely in ruins" by 1965 (Stringer-Bowsher et al 2015). Gallegos &
Associates conducted additional archaeological fieldwork at CA-SDl-947 4H in 1998 that
included a surface collection of cultural materials, excavation of STPs, a ground penetrating
radar (GPR) study, and backhoe trenching (Kyle, Phillips, and Gallegos, 2002). At the time
of their investigations, no evidence of the structure could be seen on the surface. GPR was
used to determine the presence of subsurface remnants of the adobe structure, privies,
and/or trash dumps. The surface collection and excavation produced a variety of cultural
materials including ceramics, glass, metal, and faunal remains. The GPR study identified a
linear anomaly that corresponded with the documented orientation of the Hayes Adobe and
was interpreted as potential wall remnants. Based on the results of the investigations,
Gallegos & Associates recommended the site eligible for listing on the NRHP under Criterion
A for association with the pioneer settlement of the Oceanside/Carlsbad area; Criterion B for
association with the Hayes and Marron families; and Criterion D on the basis that it may likely
yield information important in history. Additionally , the site considered a contributing element
21
to the proposed Marron-Hayes National Register Historic District that also includes CA-SDl-
5652H.
Photograph 11 . Overview of CA-S0I-9474, facing south
The site was relocated at the previously recorded location on the edge of a flat knoll above
and north of Buena Vista Creek (Photograph 11 ). A wire fence borders the site on the east
and the Hwy 78 ROW borders the site on the north. The west and south edges of the site
are truncated by sewer infrastructure. Resurvey of the area identified a sparse surface scatter
consisting of 3 fragments of whiteware ceramics, 1 piece of porcelain ceramic, 3 fragments
of lightly solarized amethyst glass, 2 fragments of aquamarine bottle glass, 1 adobe brick
fragment, several pieces of mortar or cement, 1 possible sandstone mano fragment
(Photograph 12), 1 basalt secondary flake, and a thin scatter of shell fragments. With the
exception of the lithics, the artifacts appear to date to the early 20th century and match the
assemblage recorded by Quillen. The shell scatter includes Chione sp., Tivela sp., and
Haliotis sp.
One historic feature was identified at the site. Feature 1 consists of a rectangular rock
alignment measuring approximately 6 ft x 5.5 ft (Photograph 13). The feature is made of
granitic rock cobbles with a piece of 2 x 4 inch wood plank in the southeast corner. It is
possible that this is the remnants of one of the privy features recorded by Quillen. If so, the
feature has since been filled in.
22
Photograph 12. Mano fragment
Photograph 13. Overview of Feature 1
CA-SDl-9474 has been recommended eligible for listing on the CRHR or NRHP. Based on
a surface examination of the site, it appears that all structural elements of the historic
habitation have been destroyed. The current surface assemblage is sparse and lacks any
diagnostic artifacts that might yield further information about the historic or prehistoric
occupation. However, subsurface testing would be necessary to evaluate the impacts of
construction on the significance of the site. [Note: Archaeological testing and evaluation
required at location of the road cut.]
23
Impact Evaluation
As defined in Appendix G of the 2019 CEQA Statute & Guidelines, project impacts to cultural
resources would be considered significant if the project was determined to:
a) Cause a substantial adverse change in the significance of a historical resource as
defined in Section 15064.5 of the CEQA Guidelines;
b) Cause a substantial adverse change in the significance of an archaeological
resource as defined in Section 15064.5 of the CEQA Guidelines;
c) Disturb any human remains, including those interred outside of formal cemeteries; or
d) Cause a substantial adverse change in the significance of a Tribal Cultural Resource
as defined in Public Resources Code §21074?
The following evaluation considers the potential impacts to the cultural resources identified
within the APE project improvements identified in Figure 4 and Figure 5.
a) Would the project cause a substantial adverse change in the significance of a
historical resource as defined in Section 15064.5 of the CEQA Guidelines?
As provided in Section 4.3 of the SPEIR, project construction activities could include
the use of equipment that could generate high levels of vibration. The highest
vibration levels for construction identified in the SPEIR was that associated with the
operation of a vibratory roller (0.210 peak particle velocity [PPV] at 25 feet). This
assumption would remain accurate for the project in that no blasting is proposed to
facilitate realignment of the roadway as proposed.
24
Figure 4. Proposed Access Road (West)
J,.
LEGEND D ProJectArea ••··· 2017 0 & M Access Road Alignment (from SPEIR)
D Proposed Access Road t:.".": Buena Vista Creek Ecological Reserve
-Vista-Carlsbad Sewer
Existing Sewer Manhole
--Oceanside Sewer
0
0 Feet 200
25
Figure 5. Proposed Access Road (East)
LEGEND
D Proiect Area · · · · · 2017 0 & M Access Road Alignment (from SPEIR)
D Proposed Access Road ~·:::: Buena Vista Creek Ecological Reserve
-Vista-Carlsbad Sewer
Ex1st1ng Sewer Manhole
--Oceanside Sewer
0
0 Feet 200
26
Based on criteria presented in the Federal Transit Administration's (FTA) Noise and Vibration
Manual (2006), "fragile buildings" are subject to damage when vibration exceeds 0.20 PPV. As
provided in the SPEIR, historic structures are often considered in this category due to their age
of construction and the building codes enacted at the time of construction. As a result,
construction activities within 25 feet of fragile structures could result in damaging vibration levels
for historic structures, where present and eligible for the NRHP or CRHR. As provided in the
SPEIR, the CRHR eligible Rancho Buena Vista adobe ranch house is located in close proximity
to the project with actual work proposed at approximately 100 feet of the onsite structure.
However, it is possible that one or more contributing elements could be located in closer
proximity and therefore be subject to potentially significant vibration-related impacts. Mitigation
Measure CULT-1 is proposed to minimize construction-related vibration impacts to historic
structures to a level of less than significant.
b) Would the project cause a substantial adverse change in the significance of an
archaeological resource as defined in Section 15064.5 of the CEQA Guidelines?
As described in Section 4.3 of the SPEIR, the City applied probable work limits for
construction for the Category 4 improvements, including the project. This included
approximating the area of direct impact for construction, adjacent staging areas, and/or
other temporary work areas and averages 50 feet in width. These areas are now defined
in Figure 4 and Figure 5 for VC1 at the project level.
Based on the project APE, four previously recorded sites were identified within the area
of direct impact. CA-SDl-5652 is a multi-component site consisting of the Marron-Hayes
Adobe, historic and prehistoric artifact scatter, and prehistoric shell midden deposit. A
subsurface testing program implemented by Gallegos and Associates in 1998 confirmed
the presence of buried shell midden deposit within the study area. The Marron-Hayes
Adobes Historic District was nominated by ASM Affiliates to the NRHP in 2015. The
Marron-Hayes Adobe is a contributing historic resource to the historic district and is itself
eligible for the CRHR and NRHP under Criteria A, 8, and C. The structure is within 500
feet of the APE. Additionally, the prehistoric component of the site should be treated as
eligible for the CRHR and the NRHP under Criterion D. Construction of the access road
will have a direct adverse effect on the site. Any ground disturbing activity within the
vicinity of the site may encounter additional buried archaeological deposits. Prior to any
ground disturbing activities a protection plan should be implemented to mitigate adverse
effects on buried cultural resources. HOR also recommends that Mitigation Measure
CUL T-3, Archaeological Monitoring, be implemented for all activities within the historic
district. In addition, HOR recommends that the City comply with Carlsbad's Tribal
Cultural Resources Procedures as defined in Section 8 of Carlsbad's Tribal, Cultural,
and Paleontological Resources Guidelines (2017).
CA-SDl-9474 is a multi-component site consisting of possible remnants of the Hayes
Adobe, historic artifact scatter, and prehistoric artifact and shell scatter. A subsurface
testing program and GPR study implemented by Gallegos and Associates confirmed the
presence of buried cultural material and found evidence of subsurface structural
remnants. The Hayes Adobe is a contributing historic resource to the Marron-Hayes
27
Adobes Historic District and the site is recommended eligible for the CRHR and NRHP
under Criteria A, B, and D. Construction of the access road may have a direct adverse
effect on the site. Any ground disturbing activity within the vicinity of the site may
encounter additional buried archaeological deposits. Prior to any ground disturbing
activities a protection plan should be implemented to mitigate adverse effects on buried
cultural resources. HDR also recommends that Mitigation Measure CUL T-3,
Archaeological Monitoring, be implemented for all activities within the historic district. In
addition, HDR recommends that the City comply with Carlsbad's Tribal Cultural
Resources Procedures as defined in Section 8 of Carlsbad's Tribal, Cultural, and
Paleontological Resources Guidelines (2017).
CA-SDl-9472 contains a prehistoric surface scatter consisting of lithic artifacts and shell
debris. The significance of the site has not been evaluated. Subsurface testing would be
necessary to determine the significance and eligibility under Criterion D. Unless
demonstrated to be otherwise, th is site should be treated as potentially eligible. HDR
therefore recommends subsurface testing and evaluation of the site. HDR also
recommends that Mitigation Measure CUL T-3, Archaeological Monitoring, be
implemented for all ground disturbing activities within the vicinity of these sites.
CA-SDl-9473 also contains a prehistoric surface scatter consisting of lithic artifacts and
shell debris. CA-SDl-9473 has been extensively tested and recommended ineligible for
inclusion on the CRHR and the NRHP due to extensive disturbance. Assuming SHPO
concurrence, no further testing or evaluation is necessary.
• To remain consistent with the prior SPEIR analysis and based on the results of
the archaeological survey, the project has potential to cause significant impacts
to cultural resources eligible for listing on the CRHR and NRHP. Project related
excavation within the archaeological resources may cause the destruction,
relocation, or alteration of buried archaeological deposits that may be likely to
yield information important to prehistory or history. Thus, construction related to
improvements to the VC1 access road has the potential to cause substantial
adverse change in the significance of archaeological resources CA-SDl-5652,
CA-SDl-9472, CA-SDl-9473, and CA-SDl-9474. This is considered a potentially
significant impact and Mitigation Measure CUL T-3 is required.
c) Would the project disturb any human remains, including those interred outside of formal
cemeteries?
As provided in Section 4.3 of the SPEIR, construction of the improvements proposed
under the 2017 CSMP, including the project, would occur at the vicinity of existing facility
locations. However, during the construction of these facilities, the potential for the
unexpected discovery of interred human remains, either prehistoric or historic, is a
possibility. The potential then increases in areas that have supported prehistoric and
historic settlements, including the project area. These direct impacts could be significant.
Mitigation Measure CUL T-5 is proposed to reduce these potential impacts to the
unexpected discovery of interred human remains.
28
d) Would the project cause a substantial adverse change in the significance of a Tribal
Cultural Resource as defined in Public Resources Code §21074?
As provided in (b), the project would result in direct impacts to CA-SDl-5652, which is a
multi-component site consisting of the Marron-Hayes Adobes Historic District, and
includes historic and prehistoric artifact scatter. This impact could include a substantial
adverse change in the significance of a Tribal Cultural Resource pending further
consultation with interested tribes. Implementation of Mitigation Measure CUL T-2 is
required .
29
Project-Level Mitigation Recommendations
The cultural resources study was conducted as part of the implementation of Mitigation Measure
CULT-2 (Project Specific Archaeological Survey). This mitigation measure, along with Mitigation
Measures CUL T-1 and CUL T-3 are designed to reduce potentially significant impacts identified
for CSMP Categories 1, 2, 3, and 4, including the project. Based on the implementation of
Mitigation Measure CUL T-2, the project would result in a direct impact on cultural resources. As
provided in Section 4.3 of the SPEIR, with the implementation of the following mitigation
measures in combination with adherence to Carlsbad's Tribal, Cultural , and Paleontological
Procedures (2017), these impacts would be reduced to a less than significant level.
CUL T-1 Construction-Related Vibration. Prior to the issuance of project-specific
construction documents for CIP Capacity and Condition Projects (Hardscape
Environs), the City Engineer shall determine whether construction activities would
occur within 25 feet of a NRHP or CRHR eligible or listed historic structure. For
structures that have not been previously evaluated, the City Engineer shall consult
with a qualified Architectural Historian approved by the City to conduct an evaluation
of the structure.
If the structure is determined eligible or already eligible or listed in the NRHP or
CRHR, a structural evaluation shall be conducted by a Professional Structural
Engineer to identify maximum allowable levels of vibration during construction . If a
historic determination is required, the engineer shall provide recommendations on
approaches to stabilization in conjunction with vibration monitoring. Permanent
stabilization measures shall follow the Secretary of the Interior's guidelines for the
treatment of historic properties. If the buildings are temporarily stabilized for the
duration of construction activities, when removed, the buildings shall be restored to
their pre-construction condition when the stabilization measures are removed .
CUL T-2 Project-Specific Archaeological Survey. Prior to the issuance of project-specific
construction documents for CIP Capacity and Condition Projects (Hardscape and
Cross-County Environs}, Pump Station Rehabilitations , and Out-of-Service Area
Projects, a Qualified Archaeologist approved by the City shall contact the
NAHC regarding a Sacred Lands File Search for the project area. In addition, the
City shall request a written response from the San Luis Rey Band of Mission Indians
(SLR Band) (a tribe traditionally and culturally affiliated with the site) regarding
whether the site of the 2017 CSMP improvement project may potentially affect Native
American resources . If the NAHC and/or the SLR Band confirms potential known
resources, a pedestrian survey (i.e., physical walk over) shall first be conducted by
the Qualified Archaeologist and a TCA (traditionally and culturally affiliated) Native
American Monitor. Should the pedestrian survey identify Native American cultural
resources, the Qualified Archeologist shall, in consultation with the TCA Native
American monitor and the SLR Band , make an immediate written evaluation of the
significance and appropriate treatment of the resource, including any avoidance
measures, additional testing and evaluations, or data recovery plans, and Pre-
Excavation Agreements with the Tribe. If the SLR Band confirms, in consultation with
30
the Qualified Archaeologist, that there is a potential for unknown resources to be
uncovered during construction activities, then Mitigation Measure CUL T-3,
Archaeological Monitoring, shall be implemented (City of Vista 2017).
CUL T-3 Archaeological Monitoring. Cultural resource mitigation monitoring shall be
conducted to provide for the identification, evaluation, treatment, and protection of
any cultural resources that are affected by or may be discovered during the
construction of the proposed project. The monitoring shall consist of the full-time
presence of a Qualified Archaeologist and a TCA (traditionally and culturally
affiliated) Native American Monitor, and the monitoring activities shall be identified
and defined in a Pre-Excavation Agreement between the City's Engineering
Department and the San Luis Rey Band. The purpose of this agreement shall be to
formalize protocols and procedures for the protection , treatment, and disposition of,
but not limited to , such items as Native American human remains, funerary objects,
cultural and religious landscapes, ceremonial items, traditional gathering areas and
cultural items, located and/or discovered through the cultural resource mitigation
monitoring program in conjunction with the construction of the proposed project,
including additional archaeological surveys and/or studies, excavations,
geotechnical investigations, soil surveys, grading, or any other ground disturbing
activities. Other tasks of the monitoring program shall include the following:
• The requirement for cultural resource mitigation monitoring shall be noted on all
applicable construction documents, including demolition plans, grading plans, etc.
• The Qualified Archaeologist and TCA Native American Monitor shall attend all
applicable pre-construction meetings with the Contractor and/or associated
Subcontractors.
• The Qualified Archaeologist shall maintain ongoing collaborative consultation with
the TCA Native American Monitor during all ground disturbing or altering activities,
as identified above.
• The Qualified Archaeologist and/or TCA Native American Monitor may halt
ground-disturbing activities if archaeological artifact deposits or cultural features
are discovered. In general, ground-disturbing activities shall be directed away
from these deposits for a short time to allow a determination of potential
significance, the subject of which shall be determined by the Qualified
Archaeologist and the TCA Native American Monitor, in consultation with the San
Luis Rey Band. Ground-disturbing activities shall not resume until the Qualified
Archaeologist, in consultation with the TCA Native American Monitor, deems the
cultural resource or feature has been appropriately documented and/or protected.
At the Qualified Archaeologist's discretion, the location of ground disturbing
activities may be relocated elsewhere on the project site to avoid further
disturbance of cultural resources.
• The Qualified Archaeologist and/or TCA Native American Monitor may also halt
ground disturbing activities around known archaeological artifact deposits or
cultural features if, in their respective opinions, there is the possibility that they
could be damaged or destroyed.
31
• The avoidance and protection of discovered unknown and significant cultural
resources and/or unique archaeological resources is the preferable mitigation for
the proposed project. If avoidance is not feasible, a Data Recovery Plan may be
authorized by the City as the Lead Agency under CEQA. If data recovery is
required, then the San Luis Rey Band shall be notified and consulted in drafting
and finalizing any such recovery plan.
• Prior to the release of any Bonds associated with the construction of
improvements noted in the 2017 CSMP, a Monitoring Report and/or Evaluation
Report, which describes the results, analysis and conclusions of the cultural
resource mitigation monitoring efforts (such as, but not limited to , a Data Recovery
Program) shall be submitted by the Qualified Archaeologist, along with the TCA
Native American Monitor's notes and comments, to the City's Director of
Community Development for approval.
• Implementation of the following mitigation measure would reduce significant
impacts identified for 2017 CSMP Categories 1, 2, 3 and 4 as identified under
Impact 4.3-4 to less than significant levels. The proposed mitigation would replace
the mitigation measures adopted in the 2008 PEIR for potential impacts to human
remains.
CUL T-5 Disturbance to Human Remains. As specified by California Health and Safety
Code Section 7050.5, if human remains are found on the project site during
construction or during archaeological work, the person responsible for the
excavation, or his or her authorized representative, shall immediately notify the San
Diego County Coroner's office by telephone. No further excavation or disturbance of
the discovery or any nearby area reasonably suspected to overlie adjacent remains
(as determined by the Qualified Archaeologist and/or the TCA (traditionally and
culturally affiliated) Native American Monitor) shall occur until the Coroner has made
the necessary findings as to origin and disposition pursuant to Public Resources
Code 5097.98. If such a discovery occurs, a temporary construction exclusion zone
shall be established surrounding the area of the discovery so that the area would be
protected (as determined by the Qualified Archaeologist and/or the TCA Native
American Monitor), and consultation and treatment could occur as prescribed by law.
As further defined by State law, the Coroner would determine within two working
days of being notified if the remains are subject to his or her authority. If the Coroner
recognizes the remains to be Native American, he or she shall contact the Native
American Heritage Commission (NAHC) within 24 hours. The NAHC would make a
determination as to the Most Likely Descendent. If Native American remains are
discovered, the remains shall be kept "in situ" ("in place"), or in a secure location in
close proximity to where they were found , and the analysis of the remains shall only
occur on-site in the presence of the TCA Native American Monitor.
32
..
Thank you for the opportunity to work on this project. If there are any questions regarding the
information provided in this letter or if additional information is needed, please contact me at the
HDR San Diego office (858) 712-8273.
Sincerely,
Daniel Leard
Staff Archaeologist
33
' r
References
City of Vista. 2017. City of Vista Sewer Mitigation Program Supplemental Program EIR.
City of Carlsbad. 2017 Carlsbad Tribal, Cultural, and Paleontological Resources Guidelines.
Prepared for the City of Carlsbad, Prepared by ECORP Consultation 2017
Corum, Joyce M. and Chris White. 1982. Final Report for an Archaeological Test Excavation at
Site CA-SDl-9473, Carlsbad, California 11-SD-78 P.M. 0.0/3.1 11206-086121 .
Unpublished report on file at the SCIC, San Diego State University.
Kyle, Carolyn , Roxana Phillips, and Dennis Gallegos. 2002. Cultural Resource Testing
Program for Sites CA-SDl-5652/H and CA-SDl-9474/H SR 78/Rancho del Oro
Interchange Project Oceanside, California.
Quillen, Dennis K. 1982a. State of California Department of Parks and Recreation
Archaeological Site Survey _Record , CA-SDl-9472.
1982b. State of California Department of Parks and Recreation Archaeological Site
Survey Record , CA-SDl-9473.
1982c. State of California Department of Parks and Recreation Archaeological Site
Survey Record , CA-SDl-9474H.
Stringer-Bowsher, Sarah, Jennifer Gorman, and Shannon Davis (ASM Affiliates). 2015.
Historic American Building Survey: Marron-Hayes Adobes Historic District,
Carlsbad, San Diego County. HASS No. CA-2900.
34
..