0_06A3140_RFQ_Ad.pdf

December 10, 2024 RFQ Number 06A3140

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 06A3140

Read carefully as the following revisions have been made to this document:

• On 07/25/24, GENERAL, Executive Order N-12 – Generative Artificial

Intelligence (GenAI) Technology Use and Reporting added

• On 02/15/24, GENERAL the Fee & Escalation table has been revised

• On 03/16/23, GENERAL the Fee & Escalation table has been revised

• On 04/01/22, GENERAL, Ukraine-Russian-related Sanctions

Requirement added

• On 04/01/22, SUBMISSION OF STATEMENTS OF QUALIFICATIONS

(SOQs), the electronic submittal time changed to 10:00am

• On 01/18/22, under DBE Goals, section 2 added NAICS Codes.

Note: Questions concerning this Request for Qualifications (RFQ) must be submitted in writing to the attention of Denetia Smith at Denetia.Smith@dot.ca.gov. Questions must be received no later than seven (7) business days after the RFQ advertisement.

Consultants contacting the District or Division directly seeking information about this RFQ will be disqualified from consideration in the selection process.

Proposers are advised that Caltrans has established a federally mandated overall annual DBE goal comprising both race neutral and race conscious elements to ensure equal participation of DBE groups specified in 49 CFR 26.5. In compliance with 49 CFR 26, Caltrans set a contract goal for DBEs participating in this solicitation expressed as a percentage of the total dollar value of the resultant Agreement. The DBE participation goal for this solicitation is twenty-one percent (21%). See section I.H. in this RFQ for requirements.

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for on-call Cultural Resource services. In submitting your SOQ, you shall comply with the instructions found herein. In addition to those programs that are specified in this solicitation, prospective consultants are encouraged to consider programs that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, new emerging firms, and other businesses covered by State and Federal programs.

B. The estimated contract amount is $4,000,228.00 - $6,500,370.00.

C. The estimated contract term is five (5) years.

D. Interviews will be held via WebEx on January 29, 2025.

Confirmation letters will be sent to those firms short-listed.

E. The most highly qualified consulting firm will be required to submit an electronic copy of the financial documents listed on the appropriate Financial Documents Submittal Checklist available on the AE Contract Information website. The most highly qualified consulting firm will be notified of their selection and receive instructions for the electronic submission of the financial documents.

The most highly qualified consulting firm must submit a complete financial documents package no later than four (4) days after notification of selection. The prime consultant must submit the complete financial documents package in order for Caltrans to have the information necessary to engage in negotiations. The prime consultant is solely responsible for timely and complete submission of financial documents on behalf of the entire proposed team; financial documents will not be accepted from proposed subconsultant firms. Failure to submit a complete financial documents package by the specified due date may result in termination of negotiations with the most highly qualified consulting firm.

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of March 10, 2025. The fee for profit shall be ten-point zero percent (10.0%), and the escalation shall be as follows:

Year Period Escalation

(SOQ Submittal Date) 1/13/2025 – 1/31/2026 2.08%

2 2/1/2026 – 1/31/2027 4.17% 3 2/1/2027 – 1/31/2028 4.17% 4 2/1/2028 – 1/31/2029 4.17% 5 2/1/2029 – 1/31/2030 4.17% 6 2/1/2030 – 1/31/2031 4.17%

Notes:

1. Partial year will only occur on the last year of the contract term. All other periods are full years.

2. Increases to the loaded billing rates after contract execution is not authorized for any reason per Article IV, Section 17 and Article XVI, Section 6 of the California Constitution.

G. The scheduled date to complete cost negotiations and submit final cost proposal is March 21, 2025.

H. Disadvantaged Business Enterprise Program https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

1. This solicitation and resultant Agreement is financed in whole or in part with federal funds and therefore subject to Title 49, Code of Federal Regulations, Part 26 (49 CFR 26) entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs." To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation. The required goal for DBE participation in this solicitation is not less than twenty-one percent (21%).

2. Only participation by certified DBEs will count toward the contract goal for this solicitation. In order to count toward a contract goal, a firm must be certified as a DBE by the California Unified Certification Program (CUCP) and possess the NAICS and work codes applicable to the type of work the firm will perform on the Agreement by the SOQ submittal due date. NAICS and Work codes are provided by the Office of Civil Rights website.

3. It is the proposer’s responsibility to verity that the DBE firm is certified as a DBE by the specified SOQ submittal due date and time. The list of DBEs certified by the CUCP are located on the Office of Civil Rights website.

4. A DBE must perform a commercially useful function (CUF) for the type of work it will perform on the Agreement as provided in 49 CFR 26.55(c)(1)-(4). A DBE performs a CUF when it is responsible for the execution of a distinct element of the work of the Agreement and is carrying out its responsibilities by actually performing, managing, and supervising the work involved.

5. See “Statement of Qualifications Submittal Instructions and General Contract Process Information” for detailed information and references to the required forms. Required forms will be made a part of the Agreement. Failure to meet the DBE goal or Good Faith Effort requirements and provide required DBE participation at due date and time of SOQ submittal may result in the SOQ submittal being rejected as non-responsive.

I. Federal and/or State prevailing wage rates may apply. This requirement, if applicable, will be specified in the draft Agreement. See SOQ Submittal Instructions, Section I., H. regarding the California Department of Industrial Relations (DIR) Consultant/Contractor Registration Program on the AE Contract Information website.

J. Caltrans does not guarantee, either expressly or by implication, that any work or services will be required under any contract issued as a result of this RFQ.

K. A Pre-award or Post-award Audit will be performed on any contract issued as a result of this RFQ.

https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights

L. Contract boilerplate can be obtained on the AE Contract Information website.

M. Pursuant to Executive Order (EO) N-6-22 issued March 4, 2022, persons identified in the list established by the US Department of the Treasury are ineligible to bid on, submit a proposal for, enter into, or renew any Agreement with the State for any goods and/or services.

Any person who submits a bid or proposal to Caltrans certifies that it is not identified in the most current lists located https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions.

If applicable, any person who submits a bid or proposal to Caltrans certifies that its subcontractors are not identified in the most current lists located https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions

N. Pursuant to Executive Order N-12 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting

1. The State of California seeks to realize the potential benefits of GenAI, through the development and deployment of GenAI tools, while balancing the risks of these new technologies.

2. Bidder / Offeror / Contractor must notify the State in writing if their solution or service includes, or makes available, any GenAI including GenAI from third parties or subcontractors.

3. The State has developed a GenAI Reporting and Factsheet (STD 1000) to be completed by the Bidder / Offeror / Contractor.

4. Failure to submit the GenAI Reporting and Factsheet (STD 1000) will result in disqualification of the Bidder / Offeror / Contractor.

5. Failure to report GenAI to the State may void any resulting contract. The State reserves its right to seek any and all relief it may be entitled to as a result of such non-disclosure.

6. Upon receipt of a Bidder / Offeror / Contractor GenAI Reporting and Factsheet (STD 1000), the state reserves the right to incorporate GenAI Special Provisions into the final contract or reject bids/offers that present an unacceptable level of risk to the state.

II. SCOPE OF WORK/DELIVERABLES

The work to be performed for this RFQ is described in the Scope of Work/Deliverables and is hereby incorporated as Attachment 1.

III. CONFLICT OF INTEREST

A. Conflicts of interest may occur due to direct or indirect financial or business interests in the work to be performed or in any real property acquired for such project. Conflicts of interest can include, but are not limited to, past, existing or planned activities or because of relationships with other persons or firms. If there is a conflict of interest, the proposed team, including both the prime consultants and https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std1000.pdf https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std1000.pdf subconsultants, and individual employees of team members would actually or potentially be unable to render impartial assistance or advice to Caltrans. The proposer’s objectivity or availability in performing the contract work may be impaired due to actual or potential conflicts of interest.

B. If the proposed team determines that any actual or potential conflicts of interest exists, it must identify and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the AE Contract Information website. Along with the description of the actual or potential conflicts of interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts. The list of conflicts, including conflicts that apply to individuals as well as firms, and the mitigation measures on the Disclosure of Potential Conflict of Interest Form must be submitted as a separate section in the Statement of Qualifications.

Disclosure of information will not disqualify a proposed team from competing for a contract. The existence of actual or potential conflicts of interest will be used as a criterion to evaluate team availability during the evaluation and selection process. Caltrans reserves the right to terminate negotiations with the first selected firm and begin negotiations with the next selected firm or to cancel the procurement prior to execution if Caltrans learns that the selected team failed to disclose any actual or potential conflicts, which it knew or should have known about, or if the proposed team provided or omitted information on the disclosure form that results in the information being false or misleading.

C. After award, conflict of interest guidelines and policies shall continue to be monitored and enforced by the Caltrans Contract Manager.

Additional information about Conflict of Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI. Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website. The State and Federal contract boilerplates on DPAC’s website also contain information on conflict of interest issues (Exhibit D) and can be found on the AE Contract Information website.

D. The prime consultant and subconsultants may be proposed on SOQs for other Caltrans A&E on-call contracts; however, the Caltrans Contract Manager may prohibit work on specific project(s) where Caltrans determines that a conflict of interest exists.

IV. SUBMISSION OF STATEMENTS OF QUALIFICATIONS (SOQs)

A. IMPORTANT: Download “Statement of Qualifications Submittal Instructions and General Contract Process Information” from the Streamlined A&E Contract Process website . Failure to follow these instructions may result in rejection of your SOQs.

https://dot.ca.gov/-/media/dot-media/programs/procurement-contracts/documents/soq-submittal-instructions.pdf

B. SOQ Package Submittal Instructions

Read instructions below carefully. You will be required to submit an electronic SOQ file to Sacramento.

1. The electronic submission of a single unprotected (i.e. not password protected) PDF file of the SOQ is required. The electronic submittal will be accepted until 10:00 a.m. on January 13, 2025. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

2. You will be required to create a Novell Filr account with Caltrans.

Send an email message to the Contract Analyst, Denetia Smith, at Denetia.Smith@dot.ca.gov containing the information listed below for a link and instructions to complete the self-registration page and submit the SOQ electronically.

• Your firm’s name

• Your email address

• The solicitation number for which you would like to submit a SOQ

The file name shall include the contract number, consultant name (max. 25 characters) separated by an underscore (_), ending with the “.pdf” extension.

Example A: 50A0694_JohnDoeConsulting.pdf Example B: 50A0694_aaa1234engineer.pdf

3. SOQ submittals will be considered non-responsive if the electronic submittal is not received by the date and time specified in this RFQ.

C. Request for RFQ Copies

Copies of this RFQ may be obtained on the CaleProcure website.

https://www.caleprocure.ca.gov/pages/index.aspx

Attachment 1

SCOPE OF WORK/DELIVERABLES

Cultural Resource Services for Caltrans, Division of Environmental, Cultural Resource Program, District 06 On-Call Contract

FOR ENVIRONMENTAL - CULTURAL RESOURCE: (Cultural Resource)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Cultural Resource Services, including, but not limited to, field sampling, construction materials testing, analysis, reports, plant inspection and work related to testing equipment calibration, on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Environmental, Cultural Resources Program, District 06, from 0 phase to Construction (4) phase completion of various projects, in the maintenance, development and construction of proposed Caltrans transportation facilities.

The Caltrans Contract Manager shall assign specific work to the Consultant to assist the Caltrans work force through the issuance of Task Orders describing in detail the services to be performed. The Consultant shall only perform work that is assigned in an authorized Task Order. The Contract does not guarantee that a Task Order shall be issued.

1. Exclusion of Work.

a. The following services related to General Environmental services are excluded from the Contract

i. Current Contract 06A2643 Cultural Resources scope of work

ii. The Division of Environmental Analysis Contract ( District 43)

Cultural Resource contract 43A0415 scope, which covers the development of cultural resource policy and procedure manuals and other various overhead related special projects.

iii. Water Quality Studies

iv. Visual Impact Analysis

v. Hazardous Waste

vi. Other Environmental related scope such as:

• WBS 165.10 General Environmental Studies

• WBS 165.15 Biological Studies

• WBS 165.25 Draft Environmental Document

• WBS 165.30 NEPA Assignment

vii. Existing Environmental Support - The Consultant shall not provide support for any elements completed by other consultants.

viii. The Consultant shall not work on any projects that are in the planning phase (K-Phase) and the Consultant shall not be reimbursed for any work performed during this phase of a project.

ix. For additional exclusions refer to "Location of Work".

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All tasks including, but not limited to, cultural resource identification, evaluation, recordation, ecofactual and artifactual analysis, report publication and mitigation measures, may be assigned as work under the Contract.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Madera, Fresno, Kings, Tulare, and western portion Kern ( less District 9 portion of Kern County ) in California within the limits of District 06.

The/other specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Caltrans, Division of Environmental, Cultural Resources Program, District 06, projects to extend into another adjoining Division of Environmental, Cultural Resources Program, District 06/County line. In some instances, data collection may involve regional analysis beyond the counties identified or into adjoining states to properly assess the context and intensity of impacts to the concerned resources. In such instances, the project work shall not extend more than a thirty (30)-mile radius from the District/County, Division of Enviornmental, Cultural Resources Program, District 06 geographic boundary. These services shall be required to be provided domestically within the continental U.S.A. as well as internationally. The Consultant shall be capable of delivering the Cultural Resource Services primarily in the USA. Cultural Resource Services may be required at international locations. The Consultant shall be capable of performing Cultural Resource Services at international locations if needed. The Cultural Resource Services work shall be performed at Division of Environmental, Cultural Resources Program, District 06.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Cultural Resource Services within the geographical jurisdiction of the Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product. The Consultant shall assist Caltrans, Division of Environmental, Cultural Resources

Program, District 06, to produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package.

2. Provided in Attachment A is a list of proposed Caltrans projects; Division of Environmental, _Cultural Resources Program, District 06, however, this list is not exclusive and it does not constitute a commitment that the projects will be initiated or completed or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of projects that are within the geographical jurisdiction of the Contract set forth in “Location of Work” Section within the Division of Environmental, Cultural Resources Program, District 06’s jurisdiction.

Caltrans intends to utilize the Contract to complete a specific piece of work as long as it is located within the geographical jurisdiction of the Contract set forth in the “Location of Work” for each of the projects listed in the Contract utilizing the services described in this Scope of Work and as described in a Task Order. In the future, Caltrans may find it necessary to create a separate contract (or contracts) that involves a specific project listed in the Contract and includes part of the work contained in the Contract. Caltrans reserves the right to procure Architectural and Engineering (A&E) services involving the listed projects or unlisted projects (within the geographical jurisdiction of the Contract set forth in “Location of Work” Section) involving in whole or in part the same work using a project-specific agreement if the schedule to complete performance of the specific project extends beyond the term of the Contract or the cost to complete the specific project exceeds the dollar balance remaining in the Contract after accounting for amounts due to the Consultant for work previously performed and for work that is scheduled to be performed in executed task orders.

Should a project-specific agreement be procured under these provisions, the parties mutually agree that, in accordance with Exhibit D, Section III, Termination of the Contract, Caltrans shall terminate for convenience the portion of the Contract that includes the common scope of work identified in the project-specific agreement per Exhibit D, Section III, Termination of the Contract. Such partial termination for convenience shall be processed by amendment to the Contract. Unless otherwise required by law, regulation, or Caltrans policy or procedure, the Consultant may compete for these project-specific Contracts.

3. Consultant agrees that:

a. The Consultant Contract Manager or designee shall manage, instruct and supervise all Consultant employees and subcontractors, and shall not allow any other party to manage, instruct and supervise such parties.

b. Consultant shall employ and discharge its own employees and subcontractors.

c. Unless approved in writing by the Caltrans Contract Manager, Consultant shall not hire employees or subcontractors to exclusively and only work on Caltrans matters. Consultant may hire employees and subcontractors for a specific Caltrans matter provided such party has the skills and knowledge to work on other matters and they are assigned to other matters from time to time.

d. The work performed by Consultant, its employees and its subcontractors shall be a regular part of Consultant’s regular and established business.

e. Consultant shall make all of its own business (including personnel) decisions and bear the risk for its decisions.

f. Consultant shall provide its own tools, equipment and supplies, and Consultant shall not rely on Caltrans to provide such tools, equipment and supplies. Notwithstanding the foregoing, Caltrans may, during the term of the Agreement, allow Consultant to access selected items of equipment;

provide non-employee userids and related access to Caltrans computer systems to Consultant employees and subcontractors; and provide non-employee access cards and other such forms of identification to Consultant employees and subcontractors.

g. Consultant shall provide its own training to its employees and subcontractors, and Consultant shall not rely upon Caltrans to provide such training.

4. The required information and documentation shall be prepared for project environmental clearance under the National Environmental Policy Act (NEPA), the California Environmental Quality Act (CEQA), Section 106 of the National Historic Preservation Act (NHPA), the January 1, 2014 First Amended Programmatic Agreement (PA) among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, and Caltrans regarding compliance with Section 106 of the National Historic Preservation Act, as it Pertains to the Administration of the Federal-Aid Highway Program in California (PA), the Memorandum of Understanding (MOU) between the Federal Highway Administration and Caltrans concerning the State of California’s Participation in the Surface Transportation Project Delivery Pilot Program, which became effective on July 1, 2007, (MAP- 21 amended 23 US 327 to establish a revised and permanent Surface Transportation Project Delivery Program. As a result, Caltrans entered into a memorandum of understanding pursuant to 23 USC 327 [NEPA Assignment MOU] with FHWA. The NEPA Assignment MOU became effective October 1, 2012.) and other applicable statutes, laws, codes, regulations, and Federal and State policies, procedures, ordinances, standards, specifications, performance standards, and guidelines.

Activities required to conduct specialized studies in architectural history, California history, historical archaeology, ethnographic studies, and prehistoric archaeology shall include, but not be limited to, archaeological excavations and specialized data analyses (including, but not limited to, radiocarbon dating, obsidian hydration dating, identification and analysis of human remains, marine and terrestrial mammal bone, fish bone, and invertebrate remains, identification of macro and micro-botanical material, analysis of lithic artifacts, and geomorphologic analyses). Survey, recordation, and evaluation of standing architectural and engineering structures will sometimes be needed.

5. The projects that Caltrans, Division of Environmental, Cultural Resources

Program, District 06, plans to work on under the Contract are as follows:

Project Number Co-Rte-PM Project Description

0621000021 TUL-216-6.840/6.950 Ivanhoe Safe Routes 0621000137 TUL-190-20.900/21.200 Porterville Roundabout Leg Reconstruction 0622000114 MAD-041-23.430/23.550 Curve Improvement on Road 416

0622000123 MAD-041-22.100/34.100 SR 41 - CAPM

0619000003 KIN-005-16.200/26.700 Kettleman I-5 CAPM 0623000050 KER-VAR-17.480/57.580 Kern ADA Upgrades 0619000025 TUL-190-16.300/17.300 Porterville Intersection Improvements II 0618000016 TUL-245-0.000/33.000 Tul 245 Culvert Rehab 0612000215 MAD-99-13.500/14.700 Avenal 17 Interchange 0618000041 FRE-168-8.130/45.800 Fre 168 Culvert Rehab 0623000170 VAR-198-4.340/4.350 Fresno/Kern Bridge Improvements 0620000070 MAD-041-15.400/22.100 Madera 41 CAPM 0600020559 FRE-099-15.800/17.600 South Fresno State Route 99 Corridor

0622000126 TUL-063-7.900/11.850 TUL 063 CAPM

0620000074 KER-046-33.200/46.000 Semitropic CapM 0622000208 KER-204-2.940/2.940 Kern 204, Pedestrian Hybrid Beacons 0622000202 FRE-005-1.300/1.400 Coalinga Avenal SRRA Truck Parking Expansion 0618000073 KER-058-59.450/77.250 Ker 58 CAPM/WIM update 0619000003 KIN-005-16.200/26.700 Kettleman I-5 CAPM 0621000216 KIN-198-14.800/21.500 Hanford 198 CAPM 0614000040 TUL-099-25.200/30.600 Tulare Six-lane and Paige Avenue Interchange 0622000203 KIN-041-16.700/18.300 Kettleman City Shared-Use Path 0619000203 KIN-198-19.100/20.500 9th Ave Interchange in Hanford 0618000042 FRE-180-53.800/86.600 Fre-180 Valley Culvert Rehab 0623000156 KIN-198-5.000/14.800 Lemoore 198 CAPM

0619000222 TUL-190-32.200/52.800 TUL 190 PRESERVATION

0622000122 KIN-041-11.970/48.200 Kings 41 Drainage Restoration 0618000251 KER-099-2.940/57.290 Kern 99 Culvert Rehabilitation

The above list is not an exclusive list of projects.

6. At the sole discretion of Caltrans, Consultant may be required to provide the required services on safety projects, emergency projects, Emergency Storm Damage Projects, excess parcel assessments, or other current/future transportation projects, including minor projects not listed above, except for those specially excluded above, within the geographical jurisdiction of the Contract set forth in “Location of Work” Section. However, the dollar value of the services not listed in the Contract shall not exceed 10% of the total value of services that are listed and performed in the Contract.

7. The potential projects may vary in scope and size, and may encompass any type of improvement for the State transportation system including, but not limited to, roadway rehabilitation, widening and/or realignment of existing facilities, relocation of existing facilities, and construction of new facilities. The project location, project limits, purpose, expected results, project deliverables, period of performance, project schedule, and scope of work to be performed shall be described in each Task Order.

8. Consultant shall be available, on two (2) days’ written notice:

a. To meet with Caltrans; to participate in internal Project Development

Team (PDT) meetings or other Caltrans meetings.

b. To attend public meetings (day and evening) where an expert is required.

c. To participate in any public hearings necessary for a Project.

d. To provide technical expertise on an “as-needed” basis.

9. Maintaining a stable work force is essential to the successful completion of Caltrans, Division of Environmental, Cultural Resources Program, District 06, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

10. The Consultant may be expected to spend time for extended assignments to perform A&E services at Caltrans offices. At the sole discretion and convenience of Caltrans, Caltrans may permit Consultant to use office space, office equipment (such as copiers, printers and telephones) and furniture at various Caltrans (field) offices on a short-term, temporary basis. Consultant will provide its own computers, office supplies, and related work materials. The Consultant, including its Subconsultants, shall include the Field Office Indirect Cost Rate in its cost proposals and use the Field Office Indirect Cost Rate in billing Caltrans for those personnel utilizing Caltrans’ (field) office facilities. The cost rates will reflect the Consultant’s lower costs where Caltrans provides office space, office equipment and furniture. If the Consultant, including its Subconsultants, does not currently have a Field Office Indirect Cost Rate, it will develop and use a Field Office Indirect Cost Rate to reflect an equitable distribution of allowable costs to the contract (as specified in 48 CFR 31.203(f). When working on-site in the Caltrans Facilities, the Consultant shall adjust its hours to meet the business needs of Caltrans and shall generally work and be present during Caltrans building business hours (which are 8:00 a.m. - 5:00 p.m.). The business hours can be adjusted in different Task Orders.

11. The Consultant’s Cultural Resource Services shall be in support of Federal and

State environmental laws and regulations. Reports/Studies shall become part of the required documentation for project approval under Federal and State environmental laws and regulations. These formal environmental compliance documents and formal clearance may include Environmental Impact Reports (EIR), Environmental Impact Statements (EIS), Initial Study (IS)/ Negative Declaration (ND)/ Mitigated Negative Declaration (MND), Environmental Assessments (EA)/ Finding of No Significant Impacts (FONSI), or Categorical Exemptions (CE)/ Categorical Exclusions (CE).

12. Responsibilities with regards to NEPA, in most cases, shall be that of Caltrans, since these responsibilities have been assigned to Caltrans by the Federal Highway Administration (FHWA). Caltrans shall be the lead State agency or Responsible Agency for environmental compliance for these projects under

CEQA.

13. Personnel with expertise in Global Positioning System (GPS) and Environmental Systems Research Institute (ESRI) GIS software will also be needed.

14. When required, the Consultant shall utilize Native American Monitors/Advisors or Most-Likely Descendant as specified in the Task Order. Caltrans shall designate the appropriate Native American Monitors/Advisors or Most-Likely Descendants in the Task Orders. The Consultant shall comply with California Public Resources Code Section 5097.9 and Health and Safety Code Section 7050.

15. Cultural Resources Study Requirements - General

a. Specialized services that the Consultant shall be prepared to perform itself or via a Subconsultant includes, but not be limited to, the following:

i. Historic and archaeological records searches.

ii. Archaeological surveys.

iii. Architectural history surveys in accordance with Office of Historic

Preservation Standards (http://ohp.parks.ca.gov/).

iv. Recordation and evaluation of historic engineering structures

(including, but not limited to, bridge and canals).

http://ohp.parks.ca.gov/

v. Ethnographic and ethnohistoric studies.

vi. Native American consultation and coordination.

vii. Identification, exposure, recovery, and documentation of prehistoric and historic archaeological materials and features.

viii. Recognition, interpretation, and recordation of natural soils; the recognition, interpretation and recordation of California Holocene and late Pleistocene natural and cultural stratigraphy and any associated cultural deposits (geomorphology/geoarchaeology), as well as late Holocene historic strata.

ix. Laboratory processing, cataloging, analysis, and preparation of recovered archaeological materials (artifacts and ecofacts) for permanent curation.

x. Technical studies including, but not limited to, radiocarbon dating, obsidian hydration and source analysis, vertebrate and invertebrate faunal analysis, micro- and macro-botanical specimen extraction and paleobotanical analysis, typological, technological, and functional analysis of historic and prehistoric artifacts (lithic, shell, bone, metal, ceramic, glass, and others).

xi. Preparation of maps, plans, soil or stratigraphic profiles, illustrations, photographs, and other records of archaeological and historical finds.

xii. Archaeological site stabilization and/or weatherization (including, but not limited to, the acquisition and placement of clean fill of specified particle size and the installation of rip-rap.

xiii. Systematic removal of cultural deposits within the area of direct impact to identify and record features, stratigraphy, and other structural components prior to destruction by construction.

xiv. Archaeological and/or Native American monitoring of highway construction activities.

xv. Identification of historic properties for eligibility to the National Register of Historic Places and/or as historical resources for the purposes of CEQA, including, but limited to, archaeological resource evaluations, cultural or historic resource evaluations, bridge evaluations, other engineering property evaluations, and historic architectural evaluations.

xvi. Research and development of thematic contexts for specific periods of significance to facilitate the identification and evaluation of specific cultural resource types.

xvii. Determinations of effects of undertakings on historic properties.

xviii. Recommending, developing, and implementing measures to mitigate possible adverse effects and significant impacts to historic properties and historical resources.

xix. Recordations of historic buildings or structures in accordance with standards of the Historic American Buildings Survey (HABS) and/or the Historic American Engineering Record (HAER).

xx. Preparation of descriptive and interpretive reports, websites, videos, and displays including those for public interpretation and outreach.

xxi. Developing GIS and Microsoft Access data consistent with existing District cultural resources databases.

xxii. Collection of the field data necessary to enter points, lines, and polygons into the District cultural resources databases.

b. Cultural resource compliance documents that the Consultant may be required to prepare include, but not be limited to:

i. Historic Property Survey Reports (HPSR).

ii. Historical Resources Compliance Reports (HRCR).

iii. Determinations of Eligibility (DOE).

iv. Data Recovery Plans (DRP) and Historic Property Treatment Plans

(TR).

v. Archaeological Evaluation Reports (AER) (includes previously identified as Phase II reports).

vi. Archaeological Survey Reports (ASR).

vii. Historic Resource Evaluation Reports (HRER)-Architectural or

Engineering, Historic Resource Evaluation Reports (HRER)- Historic Archaeology.

viii. Extended Phase I Reports.

ix. Geoarchaeology/Geomorphology reports.

x. Ethnography Reports.

xi. Findings of Effect (FOE).

xii. Memorandums of Agreement (MOA).

xiii. Data Recovery (Phase III) Reports.

xiv. Informational letter reports or memo as specified in the Task

Order.

c. Unless otherwise noted in the Caltrans Task Order, the following requirements shall apply to all cultural resource studies performed under the Contract. Specific requirements for surveys and excavations are outlined in the Contract.

i. The Consultant shall obtain copies of appropriate USGS topographic maps/ Digital Ortho Quads (7.5’).

ii. The Consultant shall be responsible for contacting appropriate historical societies or other groups for information about resources within the study area unless otherwise specified in the Task Order.

iii. Caltrans shall be responsible for initially contacting appropriate Native American groups to identify concerns about resources within the study area.

iv. Caltrans shall coordinate with the appropriate Native American group if the project is on land controlled by a federally-recognized Tribe.

v. The Consultant shall notify the Caltrans Contract Manager or Caltrans designee in writing at a minimum one (1) week before it begins any field work.

vi. Unless otherwise specified in Task Order, the Consultant shall initiate field work within ten (10) business days of receipt of Caltrans' signed Task Order and Notice to Proceed.

vii. Caltrans’ prior written authorization is required for dissemination, in any form, confidential or sensitive information (including, but not limited to, prehistoric site locations) received or developed by the Consultant during the Consultant’s investigation.

16. Archaeological Study Requirements - Phase I (Surveys)

a. The Consultant shall undertake Phase I archaeological studies to identify archaeological (prehistoric and historic) and cultural (Native American or other ethnic) resources within the project Area of Potential Effects (APE) or Study Area. These resources shall include not only prehistoric, ethnographic, and historic archaeological sites, but possible historic architectural resources (including, but not limited to, buildings, structures, and objects) observed during field visits and formal surveys. In the latter case, the Consultant is responsible for notifying Caltrans regarding the location of potential historic architectural or engineering resources in or near the APE.

b. Caltrans shall define the study area or APE for the undertaking. Unless otherwise specified in the Task Order, the Consultant shall conduct a records search at the appropriate California Historical Resources Information System office (CHRIS or Information Center). Information regarding the aerial extent for the records search shall be specified in the Task Order. The Consultant shall be required to incorporate record search information into GIS shapefiles, including, but not limited to, survey boundaries and archaeological site locations and boundaries. Specific details regarding shapefile attributes should be coordinated with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, District/Region Area Construction (Claims) Engineer, Laboratory Supervisor, Headquarters’ Structural Construction Engineer, Resident Engineer, District Landscape Architect, District Surveys Engineer, District Right-of-Way Engineer, District Water Quality Program Manager, District Deputy Director for Program/Project Management, District’s Traffic Operations Units, Project Coordinator, Deputy District Director for Environmental Analysis, District Surveys Office Chief, and/or District’s Public Information Officer. The Consultant shall also scan any site records that Caltrans does not already have and provide those in .pdf or other specified format to Caltrans.

c. The Consultant shall conduct pre-field research, examining appropriate archaeological, ethnographic, and historical documents for the project area.

d. The following requirements pertain to the Consultant’s field methods for Phase I investigations:

i. Physical, pedestrian survey coverage shall include 100% of the project area, unless otherwise specified in the Task Order or by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager. Transect spacing shall be commensurate with the terrain and vegetation coverage; however, unless specified in the Task Order, transects shall be no greater than 50 feet apart.

Surveys outside the existing Caltrans right-of-way shall take place only after Permits to Enter are obtained by Caltrans.

ii. In areas previously determined to be sensitive for subsurface archaeological deposits, every effort shall be made during the Phase I survey to assess the subsurface stratigraphy of an area.

Including, but not limited to, all cuts, animal burrows, waterway sidewalls, and any other extant access to the subsurface. These observations shall be supplied and accessed in the ASR.

iii. All prehistoric and historical archaeological sites shall be recorded following site recordation procedures described in the “Instructions for Recording Historical Resources” (Office of Historic Preservation, January, 1995) and Caltrans Standard Environmental Reference (SER), Volume II (https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser). At a minimum, a Primary Record (DPR 523A), Archaeological Site Record (DPR 523C), a Location Map (7.5’ Topo or Digital Ortho Quads (DPR 523J), and a Sketch Map (DPR 523K) for every archaeological site shall be provided to Caltrans and filed at the regional office of the CHRIS. Artifacts shall not be collected during the Phase I survey without written permission from the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager. The Consultant is required to obtain the Primary Number and Site Trinomial for each site from the CHRIS prior to the completion of the ASR; final California Department of Parks and Recreation (DPR) 523 forms shall contain the Primary Number and Site Trinomial and shall be submitted with the final ASR.

iv. Site Record updates are required for all previous recorded-archaeological sites in the APE or Study Area to ensure that the modern DPR 523 forms described in the DPR website https://dot.ca.gov/programs/environmental-analysis/standard-environmental-refe

(http://ohp.parks.ca.gov/) are used and all site information is current and accurate. At a minimum, a Continuation Sheet (DPR 523L) shall be provided to Caltrans and filed at the regional office of the CHRIS for every previously recorded archaeological site within the Study Area or APE and updated GPS data shall be supplied as well to both Caltrans and the CHRIS.

v. Isolates shall be recorded and mapped at the direction of the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, as specified in the Task Order. A Primary Record (DPR 523A) and a Location Map (DPR 523J) indicating isolate location shall be provided to Caltrans and filed at the regional office of the CHRIS. Isolates shall not be collected during the Phase I survey without permission from the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager.

Consultant is required to obtain the Primary Number for each isolate from the CHRIS; final DPR 523 forms shall contain the Primary Number and shall be submitted with the final ASR and provide the GPS data.

vi. Project mapping shall include:

• Project Vicinity Map. This map is for general project orientation. By request, county base maps shall be provided by Caltrans in hard copy and/or in digital electronic format.

• Project Location Map (U.S.G.S. 7.5’ topo or Digital Ortho Quads at its original/actual scale). This map depicts the area surveyed and location of all cultural resources identified.

• Project Study Area/Area of Potential Effects (APE). This map depicts the potential project boundaries in addition to the area of archaeological (and architectural survey, when appropriate) coverage. This map shall be a rectified aerial photo at a scale of at a minimum one inch equals 200 feet.

The archaeological APE and architectural APE each shall be distinguished on the APE map unless otherwise specified. All cultural resources, and their boundaries, are plotted on this map. Caltrans shall provide base maps in hard copy and/or digital electronic format.

• Archaeological site map shall depict site boundaries, relative density of cultural material, and the location of all features and diagnostic artifacts. Site boundaries shall be depicted relative to the existing edge of pavement, right-of-way fence, and postmile markers. All site locations shall be recorded with a GPS instrument, as described in the

Contract. Universal Transverse Mercator (UTM) coordinates shall be obtained and provided for several locations along the site boundary and for all major surface features.

e. Unless otherwise specified in Caltrans’ Task Order, the following records and reports shall be required for each Phase I investigation performed.

Submittal requirements and review periods specified below shall apply unless otherwise specified in Caltrans’ Task Order.

i. Historic Architectural and Engineering Resource Information.

Within ten (10) days of the conclusion of each field event, the Consultant shall notify Caltrans in writing of the presence of any architectural or engineering structures or features identified. A preliminary recommendation should also be made as to whether additional historic studies are needed, such as the preparation of an Historic Resource Evaluation Report (HRER). Photographs and a copy of the field map showing the location(s) of any historic architectural or engineering structures or features shall be submitted at that time.

ii. Archaeological Site Records (DPR 523c forms). Caltrans may schedule a field review with the Consultant of all recorded archaeological sites prior to submittal of the draft site records. The purpose of the field review is to double-check all site descriptions, including locations and mapping information relative to the potential project limits. Following the field review, the Consultant shall submit to Caltrans a minimum of three (3) copies, or the specific number of copies as specified in the Task Order, of the draft archaeological site records within the given time frame, as specified in the Task Order. For previously recorded sites, this submittal shall include all available previous versions of the site record. Caltrans shall provide a review of the draft site records and return it with comments to the Consultant within the timeframe specified in the Task Order after its receipt. Within the given time frame, or as specified in the Task Order, after the receipt of Caltrans’ comments, the Consultant shall submit a minimum of two (2) copies, or the specific number of copies as specified in the Task Order, of each record to the appropriate Information Center to obtain permanent site trinomials, incorporating all required changes and additions requested by Caltrans. In addition, the Consultant shall submit one (1) reproducible original, or the specific number of copies as specified in the Task Order, including, but not limited to, all original maps, illustrations, and photographs (with negatives or unprotected and modifiable digital electronic files). Also, the Consultant shall submit a digital electronic version of the document on standard writeable CD in both MS Word and PDF versions and/or in the format specified in the Task Order.

iii. When appropriate, the Consultant shall use the Caltrans Cultural Resource Database (CCRD) for documenting all cultural resources.

The CCRD includes an Access database for creating DPR 523 forms, and an ArcView GIS Project for locational information.

The Consultant shall contact the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager for instructions and questions regarding the CCRD and expected products.

iv. Caltrans shall provide the Consultant with a current template of the CCRD front-end in Access, as well as a back-end file, and instructions on how to operate the CCRD. All DPR 523 forms shall be entered in this format. The final product delivered to Caltrans shall include a standard writeable CD labeled with project information and CD contents, containing, but not limited to:

• the Consultant’s backend file

• JPG images of any photographs used in the DPR forms, labeled by trinomial or primary number.

• PDF versions of all records entered in the CCRD, labeled by trinomial or primary number.

v. The Consultant shall use Trimble Pathfinder Pro XR or XRS or comparable GPS unit to record the locations of all newly discovered archaeological sites. Evaluated historic buildings or engineering structures and their property boundaries may be located in space via GPS data or via polygons accurately mapped on a georeferenced or rectified map of known projection. Post-processed differential correction shall be performed on all GPS data files using data from an acceptable base station or alternate source.