December 18, 2025 RFQ Number 08A3957

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 08A3957

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

• On September 30, 2025, the U.S. Department of Transportation (U.S.

DOT) issued an interim final rule (IFR) which, among other things, implemented changes to the Disadvantaged Business Enterprise (DBE) Program via modifications to 49 Code of Federal Regulations Part

26. (Docket Number DOT-OST-2025-0897.) The IFR was published in the Federal Register on October 3, 2025, and took immediate effect. (90 FR 47969 (Oct. 3, 2025).)

• On 03/07/25, GENERAL, Executive Order N-12-23 replaces Executive Order N-12-12. GenAI Reporting and Factsheet Form STD1000 is retired.

• On 01/31/25, GENERAL the Fee & Escalation table has been revised.

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

Artificial Intelligence (GenAI) Technology Use and Reporting added.

Note: Questions concerning this Request for Qualifications (RFQ) must be submitted in writing to the attention of Vanessa Usanmaz at Vanessa.Usanmaz@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.

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 and Paleontological Resource Services, District 8. 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 $1,375,869 - $2,235,787

C. The estimated contract term is three (3) years.

D. Interviews will be held via WebEx on February 6, 2026.

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

mailto:Vanessa.Usanmaz@dot.ca.gov

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 18,2026. The fee for profit shall be ten-point-one (10.1%) percent, and the escalation shall be as follows:

From To Escalation Term (yr)

12/18/2025 12/31/2026 1.81% 0 01/01/2027 12/31/2027 3.62% 1 01/01/2028 12/31/2028 3.62% 2 01/01/2029 12/31/2029 3.62% 3

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 30, 2026.

H. Disadvantaged Business Enterprise Program

1. On September 30, 2025, the U.S. Department of Transportation (U.S.

DOT) issued an interim final rule (IFR) which, among other things, implemented changes to the Disadvantaged Business Enterprise (DBE) Program via modifications to 49 Code of Federal Regulations Part

26. (Docket Number DOT-OST-2025-0897.) The IFR was published in the Federal Register on October 3, 2025, and took immediate effect. (90 FR 47969 (Oct. 3, 2025).) The IFR, as published in the Federal Register, is available at the following url: Docket No. DOT-OST-2025-0897

2. In the event of any ambiguity or discrepancy between the existing law, including the IFR, and this contract, existing law controls.

https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://www.federalregister.gov/documents/2025/10/03/2025-19460/disadvantaged-business-enterprise-program-and-disadvantaged-business-enterprise-in-airport

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.,G. 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.

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-12-23 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting, effective February 20, 2025.

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 must notify the State in writing if it:

A) intends to provide GenAI as a deliverable to the State; or B) intends to utilize GenAI, including GenAI from third parties, to complete all or a portion of any deliverable that materially impacts:

1) functionality of a State system,

2) risk to the State, or

3) Contract performance.

Note: For avoidance of doubt, the term “materially impacts” shall have https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information 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 the meaning set forth in State Administrative Manual (SAM) § 4986.2 Definitions for GenAI.

3. Failure to report GenAI to the State may result in disqualification. The State reserves the right to seek any and all relief to which it may be entitled to as a result of such non-disclosure.

4. Upon notification by a Bidder / Offeror of GenAI as required, 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.

5. Government Code 11549.64 defines “Generative Artificial Intelligence (GenAI)” as an artificial intelligence system that can generate derived synthetic content, including text, images, video, and audio that emulates the structure and characteristics of the system’s training data.

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 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 exist, it must identity 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 A&E Contract Information website. Along with the description of the actual or potential conflicts of interests, 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 wit 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 firm failed to disclose any actual or potential conflicts, which it knew or should have know 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 (see link below). 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 (see link below).

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 AE Contract Information website (Dated Rev. 10/07/2020) . Failure to follow these instructions may result in rejection of your SOQs.

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 01/22/2026. 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, Vanessa Usanmaz, at Vanessa.Usanmaz@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 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information mailto:Vanessa.Usanmaz@dot.ca.gov 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

Revised 06/10/2021

SCOPE OF WORK/DELIVERABLES

Cultural and Paleontological Resource Services for Caltrans, Division of Environmental Planning, Capital Outlay Support Program, District 8

On-Call Contract

FOR ENVIRONMENTAL – CULTURAL RESOURCE and PALEONTOLOGICAL RESOURCE

SUPPORT SERVICES

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Cultural Resource and Paleontological Resource Services, including, but not limited to, records searches, field surveys, analysis, reports, and monitoring, on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Environmental Planning, Capital Outlay Support Program, District 8, from 0 phase to 3 phase completion of 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.

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All tasks including, but not limited to record searches, field surveys, analysis, reports, and monitoring may be assigned as work under the Contract.

The Consultant for the Contract shall perform the services above after the contract authority for Contract 08A3622 is exhausted (expected no later than June 1, 2026). The Consultant shall plan accordingly to meet the timing of and the volume of work load needs.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Riverside and San Bernardino in California within the limits of District 8. The 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 Planning, Capital Outlay Support Program, District 8, projects to extend into another adjoining District/County. 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 Environmental Planning, Capital Outlay Support Program, District 8 geographic boundary. These services shall be required to be provided domestically within the continental U.S.A. The Cultural Resource and Paleontological Resource Services work shall be performed at Division of Environmental Planning, Capital Outlay Support Program, District 8.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Cultural Resource and Paleontological 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 Planning, Capital Outlay Support Program, District 8.

2. Provided in Section 5 below is a list of proposed Caltrans projects; Division of

Environmental Planning, Capital Outlay Support Program, District 8, 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 Planning, Capital Outlay Support Program, District 8’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. In the Contract is a list of proposed personnel classifications for which services are anticipated to be needed by Caltrans during the term of the Contract; however, this is not an exclusive list of the personnel classifications of Cultural Resource and Paleontological Resource Services that may be requested. Caltrans reserves the right to add/or delete personnel classifications from this list.

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 December 6, 2024 Programmatic Agreement (PA) among the Federal Highway Administration, the Advisory Council on Historic Preservation, the California State Historic Preservation Officer, the United States Army Corps of Engineers’ Sacramento District, San Francisco District, and Los Angeles District, 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 December 6, 2024 Memorandum of Understanding between the California Department of Transportation and the California State Historic Preservation Officer Regarding Compliance with Public Resources Code Section 5024 and Governor’s Executive Order W-26-92, Memorandum of Understanding (MOU) between the Federal Highway Administration and the California Department of Transportation’s Participation in the Project Delivery Program Pursuant to 23 U.S.C. 327, which became effective on May 27, 2022, 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, and paleontology shall include, but not be limited to, archaeological and paleontological 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 Planning, Capital Outlay Support Program, District 8 plans to work on under the Contract are as follows:

Project EA Project Number Co-Rte-PM Project Description 08-1R130 0824000237 Sbd-18-84/84. Install Traffic Signal 08-1R520 0825000079 Sbd-247-39.8/44.6 Enhance the Roadway

08-1N530 0823000053 Riv-371-67.1/67.4 Install Left Turn Lane 08-1M250 0821000110 Var-62-70/85 CAPM 08-1L110 0819000151 Sbd-18-R17.8/31.7 CAPM 08-1M260 0821000112 Sbd-138-19.8/36.6 Culvert Repair 08-1M280 0821000115 Sbd-62-94/106 CAPM 08-1N730 0823000043 Sbd-62-40.5 Slope Protection 08-1M780 0822000041 Sbd-142-2.2/2.5 S-Curve 08-1R520 0825000079 Sbd-247-39.8/44.6 Enhance the Roadway 08-1L07U 0824000052 Sbd-38-7/46.6 Replace/Install Culverts 08-1N880 0823000063 Riv-620R3/R3.7 Install Traffic Signals

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 Planning, Capital Outlay Support Program, District 8, 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 and Paleontological 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).

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.

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

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 Proposals and Reports.

ix. Geoarchaeology/Geomorphology reports.

x. Ethnography Reports.

xi. Findings of Effect (FOE).

xii. Memorandums of Agreement (MOA).

xiii. Data Recovery (Phase III) Proposals and 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 utilize Global Positioning System (GPS) and

Environmental Systems Research Institute (ESRI) GIS software to provide digital report date as required.

iii. 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.

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

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

vi. 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.

vii. 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.

viii. 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 and Functional Manager. 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 in addition to the GIS shapefiles.

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 Environmental Handbook, Volume II (http://www.dot.ca.gov/ser/envhand.htm).

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 http://www.dot.ca.gov/ser/envhand.htm 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 (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 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 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 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, but not be 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. Positions shall have a horizontal accuracy of less than one

(1) foot. Features shall be collected as point, line or polygon based on type. The Consultant should request the most current Data Dictionary from Caltrans prior to field work. The final product delivered to Caltrans shall include Trimble format raw data files (.ssf) and corrected data files (.cor). Corrected data shall be submitted in two (2) formats:

• Latitude/longitude, WGS 1984 datum, decimal-degree units.

• USGS UTM Projection, for the appropriate CA area, and have units in feet.

vi. Draft ASR. Archaeological survey results shall be documented in an Archaeological Survey Report (ASR). If field survey results in the identification of sites, within the given time frame, or as specified in the Task Order, after the receipt of Caltrans’ comments, the Consultant shall submit the specific number of copies as specified in the Task Order, of the draft ASR, incorporating all required changes and additions requested by Caltrans. In addition, the Consultant shall submit one (1) reproducible original draft ASR, or the specific number of copies as specified in the Task Order, including, but not limited to, all original maps, illustrations, photographs (with negatives or unprotected and modifiable digital electronic files), site records, and CHRIS search results. Also, the Consultant shall submit a digital electronic version of the document in both MS Word and PDF versions and/or in the format specified in the Task Order.

The document shall follow the outline and content of the ASR guidelines presented in Volume II of the Caltrans Environmental Handbook. Caltrans shall provide a review of the draft and return it with comments to the Consultant within four (4) weeks or the timeframe specified in the Task Order after its receipt.

vii. Final ASR. Within four (4) weeks, or as specified in the Task Order, after the receipt of Caltrans’ comments on the Draft, the Consultant shall submit a specific number of copies, or the specific number of copies as specified in the Task Order, of the final ASR, incorporating all required changes and additions requested by Caltrans. In addition, the Consultant shall submit one (1) reproducible original Final ASR, 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 in both MS Word and PDF versions and/or in the format specified in the Task Order.

viii. All data shall be reviewed for completeness and accuracy.

17. Architectural and Engineering Resources - Phase I Survey.

a. When appropriate and specified in a Task Order, the Consultant shall conduct an inventory of architectural and engineering resources within the APE or study area of the project.

i. DPR 523A, 523B, 523D, or 523E Form (http://ohp.parks.ca.gov/).

The Consultant shall complete a 523A, 523B, 523D, or 523E form for each architectural or engineering resource or district recorded (if properties not exempt from evaluation, as specified in Attachment 4 of the PA, (http://www.dot.ca.gov/ser/vol2/PA_04- EH.pdf).

ii. The Consultant shall complete an HRER when there are architectural and/or engineering resources that are not exempt from evaluation.

iii. The HRER is a technical document used to document the identification and evaluation of buildings, structures, objects, bridges, districts, landscapes, irrigation systems, farms, industrial complexes, sites, roadways, railroads, canals, trails, and other built-environment resources within the APE, as well as evaluations of historical archaeological resources.

iv. After initiation of studies, the Consultant shall submit to Caltrans the specific number of copies as specified in the Task Order, of the draft HRER within the given time frame, as specified in the Task Order.

v. Caltrans shall provide a review of the draft HRER and return it with comments to the Consultant within the timeframe specified in the Task Order after its receipt.

vi. Within two (2) weeks, or as specified in the Task Order, after the receipt of Caltrans’ comments on the draft HRER, the Consultant shall submit the specific number of copies as specified in the Task Order, of the final HRER, incorporating all required changes and additions requested by Caltrans. In addition, the Consultant shall submit one (1) reproducible original of the final HRER, 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).

vii. Also, the Consultant shall submit a digital electronic version of the document in both MS Word and PDF versions and/or in the format specified in the Task Order.

b. The above documents are found on Caltrans Environmental Handbook, Volume II (http://www.dot.ca.gov/ser/envhand.htm).

18. Archaeological Study Requirements - Archaeological HRERs,…