Chapter 8 - Paleontology

What does this topic include?
Definitions and Acronyms
Resources
Regulatory and Land Management Agencies, and Private Lands
Laws and Regulations
Paleontological Staff Qualifications Requirements
Contract Administration
Paleontological Resource Identification and Evaluation
Paleontological Resource Mitigation, Stewardship, and Curation

What does this topic include?

Paleontology is a natural science focused on the study of ancient life as it is preserved in the geologic record as fossils (exclusive of fossil humans). Paleontology is a sub-discipline of geology and is closely associated with evolutionary biology. California’s geologic record is diverse with vertebrate, invertebrate, plant, and trace fossils found throughout the state in sedimentary, metasedimentary, and in some metamorphic and volcanic ash deposits. These non-renewable resources are essential to helping us understand current and past aspects of our world such as the radiation, diversification, and extinction of life, regional and local environments, climate and sea level change, plate tectonics, animal behavior and adaptation, soil characteristics, and mineral resources.

Caltrans and local project sponsors, as part of the project delivery process, are obligated to conduct paleontological studies in response to federal and state laws and regulations. Local project sponsors must comply with their local laws and ordinances in addition to state and federal laws and regulations. This chapter provides an overview of key federal and state requirements. Local ordinances are too numerous and diverse to be summarized in this chapter; as appropriate, local entities such as cities and counties should be contacted to determine if there are local requirements.

When addressed pro-actively, paleontological resources are not likely to restrict project options or significantly slow project delivery. This chapter provides guidance on procedures for paleontological resources and formats for documents prepared to support the environmental process and ensure compliance with federal and state laws and regulations.

Definitions and Acronyms

The following definitions establish a baseline for this chapter of the SER.

Fossil
Any remains, trace, or imprint of a plant, animal, or other organism that has been preserved in the geologic record. Fossils can include body fossils (e.g., bones, teeth, shells, leaves), trace fossils (e.g., tracks, trails, burrows, coprolites, chemical signatures), and various kinds of microfossils (e.g., pollen grains, spores, diatoms). Fossils are generally considered to be older than about 11,700 years (the end of the Pleistocene Epoch) but remains older than middle Holocene age (about 5,000 years) can also be considered to represent fossils because they are part of the record of past life.

Paleontology
The study of life in past geologic time based on fossil remains, including their anatomy, phylogeny, ecology, relationships to existing plants, animals, and environments, and the chronology of the Earth's history.

Paleontological Resource
Fossils, fossil localities, and the geologic unit containing fossils or with the potential to contain fossils.

Scientific Significance
The most important concern regarding paleontological resources is the potential loss of scientific information if fossils are damaged or destroyed. Fossils vary in their preservation, abundance, distribution, and scientific importance. Therefore, not all fossils are considered scientifically significant. Note that the term “significant” used in this chapter refers to the scientific significance or value of a paleontological resource, not the significance of an environmental effect as defined by the California Environmental Quality Act (CEQA), which is discussed below under “Laws and Regulations.”

Definitions of a scientifically significant paleontological resource vary by regulatory and land management agencies and paleontological practitioner. However, generally, the term scientifically significant means that the resource has the potential to add to the existing body of scientific knowledge. Caltrans adopts the Society of Vertebrate Paleontology (2010) definition that identifies significant paleontological resources as “fossils and fossiliferous deposits … consisting of identifiable vertebrate fossils, large or small, uncommon invertebrate, plant, and trace fossils, and other data that provide taphonomic, taxonomic, phylogenetic, paleoecologic, stratigraphic, and/or biochronologic information.” In general, avoidance, minimization, and/or mitigation measures are developed only for the protection of scientifically significant paleontological resources.

A list of acronyms and abbreviations used throughout the SER are provided on the SER homepage. A list of paleontology acronyms is provided below.

DPTS - District Paleontology Technical Specialist

PER - Paleontological Evaluation Report

PIS - Paleontological Initial Screening

PIR - Paleontological Identification Report

PMP - Paleontological Mitigation Plan

PMR - Paleontological Mitigation Report

PRPA - Paleontological Resources Preservation Act

PSS - Paleontological Stewardship Summary

Resources

Paleontological resource information is available from many sources, which includes published literature, museums, county general plans, professional organizations, such as the Society for Vertebrate Paleontology, and land managing agencies. Example museum resources include the paleontological repositories at the San Diego Natural History Museum, University of California Museum of Paleontology, Los Angeles County Museum of Natural History, California Academy of Sciences, and several smaller, local museums.

Other resources include universities and colleges, the California Department of Conservation (California Geological Survey), and the U.S. Department of the Interior (U.S. Geological Survey) where geologic maps, reports, and subject matter experts are available to assist in the identification of potentially paleontologically sensitive geologic formations. Tools available include the following websites: Caltrans GeoDOG, State Water Resources Control Board GeoTracker, California Geological Survey Borehole Database, and Caltrans Paleontology Mapping Tool. The Paleontology Mapping Tool allows for an initial evaluation of the scientific significance or paleontological potential of a geologic formation anywhere in California.

Caltrans district environmental staff, Caltrans District Paleontology Technical Specialists (DPTS), and district geotechnical offices can assist in determining if potentially fossil-bearing geologic formation is likely to be impacted by a project. However, a qualified Principal Paleontologist (see Paleontological Staff Qualification Requirements is needed to evaluate the scientific significance or paleontological potential of a geologic formation. Consequently, completing paleontological identification, evaluation, and mitigation efforts usually requires a combination of in-house staff and contracted expertise. In some cases, in-house staff may be able to complete identification and evaluation, without a contractor, by documenting consultation with a qualified Principal Paleontologist. Under either situation, in-house staff or a contractor can do database searches of potentially fossil-bearing geologic formations.

Certain Caltrans Districts have access to additional tools that allow for easier project screening for paleontological resources. For example, San Diego County provides maps of potentially paleontologically sensitive geologic formations and detailed instructions about locations that must be evaluated and actions that must be taken to protect paleontological resources. The information provided by the county allows for expedited project screening and may eliminate the need for a formal Paleontological Identification Report (PIR). In this case, a memo prepared by Caltrans staff may be adequate to document whether additional studies are necessary. Caltrans District 6 has a paleontological resource database which also allows for expedited screening and in-house preparation of PIRs. In some cases, staff may also be able to prepare a Paleontological Evaluation Report (PER) in-house if there is adequate information about the area from previous studies or if they are able to document consultation with an external expert.

Local project sponsors are unlikely to have paleontologists on staff, although in some cases they may have some access to experts at local museums. It is highly likely that contracted expertise will be needed to complete most paleontological studies for locally sponsored, off-State Highway System projects. Early coordination with the local project sponsors is necessary to ensure adequate and timely delivery of required paleontological identification, evaluation, and mitigation documents.

Regulatory and Land Management Agencies, and Private Lands

Several federal agencies may have jurisdiction or involvement in projects with the potential to impact paleontological resources. These agencies may have stricter or different requirements than Caltrans and include the Bureau of Land Management, Bureau of Indian Affairs, National Park Service, U.S. Forest Service, and the U.S. Army Corps of Engineers.

At the state level, two outside (i.e., generally non-project-sponsor) agencies also have potential involvement: the California Department of Parks and Recreation (State Parks) and the California Coastal Commission.

In addition to agency-specific coordination requirements, a few other general considerations deserve mention.

Coordination with regulatory and land management agencies must be initiated as soon as it is determined that they have jurisdiction and that paleontological resources may be present; this may be as early as preparation of the Preliminary Environmental Analysis Report (PEAR)/ Preliminary Environmental Study (PES) documents or early in the Project Approval and Environmental Document (PA&ED) process.
Early coordination is needed so that cost, scope, and schedule estimates can be developed that incorporate these agencies’ requirements and recommendations.
Entry access permits from agencies can require more time and effort to obtain than is originally expected. Therefore, early agency coordination is recommended.
Coordination with Federal Highway Administration (FHWA) is not needed in most cases, because FHWA has assigned their responsibilities under the National Environmental Policy Act (NEPA) to Caltrans (see “Federal Highway Administration” below).
Prior to working outside of Caltrans right-of-way to conduct a paleontological initial screening, identification, or evaluation, work with the district Right of Way office to determine land ownership and to ensure appropriate permits and permissions are obtained.

If a project involves lands administered by federal or state agencies, the local offices of those agencies must be contacted for guidance and direction. If multiple agencies with varied requirements are involved (e.g., a linear project that involves multiple authorities), it is advisable to negotiate a common approach.

With projects involving federally administered lands, the federal land-managing agency will require a permit for any fossil collection during any phase and to perform mitigation. The permit will specify ultimate ownership of fossil specimens, and the federal land managing agency generally retains ownership of the specimens. For example, the Paleontological Resources Preservation Act (PRPA, 36 Code of Federal Regulations [CFR] 291) specifically requires that agencies in the Departments of the Interior and Agriculture retain ownership of fossil specimens. Ownership of and access rights to fossils must be carefully addressed in the repository curation agreement (see the Curation section).

Local project sponsors must develop their own procedures and policies relative to property access and resource ownership before and during construction, bearing in mind any applicable federal and state laws and regulations, county, or city ordinances, as well as the involvement of other federal or state agencies in the project approval process.

All the above considerations will require that contact and coordination be made with any permit-issuing agency as early as possible in the project delivery process to ensure that appropriate staff and resources are allocated, and schedule parameters accounted for. Ideally, in the case of Caltrans and locally sponsored State Highway System projects, initial contact is best made as a part of Project Initiation Document phase efforts followed by more intensive on-going contact during PA&ED and subsequent project delivery phases.

In addition, even if a regulatory or land management agency permit is not needed, access to land other than Caltrans right-of-way may be needed. Permits-to-enter may be required for access outside of Caltrans right-of-way and Caltrans District Right of Way will require time to acquire the permit-to-enter. The following list may be useful when communicating these requirements to the Caltrans District Project Manager:

Expenditure Authorization number
Postmile start and end
Regulatory or land management agency or landowner
Permits or permissions required
Permits-to-Enter required

Federal Agencies

Federal agency involvement is generally triggered when Permits, Licenses, Agreements, and Certifications (PLACs) or federal funding is required to complete the project. Federal land-managing agencies specifically require paleontological permits for conducting project-related resource investigations and mitigations on lands under their jurisdiction. Specific requirements may vary not only between agencies, but between offices of the same agency. Project environmental staff should review information posted on agency websites for up-to-date information and points of contact for the local office appropriate for a specific project.

If a project involves federally administered lands, the appropriate land-managing agency office must be contacted early in the project planning phase (e.g., as a part of project scoping and scheduling) so that appropriate time and costs are included in the project workplans to meet agency requirements. Some projects may also entail contact with multiple agency offices.

Bureau of Indian Affairs

There may be specific issues when a project is located on tribal lands administered by the Bureau of Indian Affairs. The Bureau of Indian Affairs has paleontological resource requirements outlined in Part 59, Chapter 7, of the Indian Affairs Manual. Individual tribes may also have their own requirements. For assistance contact the Bureau of Indian Affairs.

Bureau of Land Management

The Bureau of Land Management grants paleontological resources use permits for the collection of vertebrate and other paleontological resources of scientific interest by qualified researchers, based on the provisions of the PRPA. Permits for paleontological investigations and mitigation may include stipulations that address issues such as curation, distribution of plans, reports, and articles, qualifications, site restoration, and safety. Permit issuance can be a protracted process, so advance planning and early coordination with the local Bureau of Land Management Field Office is necessary. Additional information is available from the Bureau of Land Management.

Federal Highway Administration

The FHWA has long had project and federal funding approval roles for transportation projects. However, since 2007, Caltrans has performed federal responsibilities for environmental decisions and approvals under NEPA for highway projects in California that are funded or otherwise approved by FHWA. These responsibilities have been assigned to Caltrans by FHWA pursuant to Title 23 United States Code (USC) Sections 326 and 327 and two Memoranda of Understanding signed by FHWA. Therefore, consultation with FHWA is not necessary for most projects. However, FHWA retained NEPA lead in a few exceptional cases, so FHWA’s status may need to be verified for individual projects. Please see the SER Vol. 1, Chapter 38, “NEPA Assignment” for additional information.

U.S. Forest Service

Based on the provisions of the PRPA and under 36 CFR, U.S. Forest Service policy makes the salvage of known paleontological resources a standard condition of special use permits. Treatment standards are specific to each forest and rely heavily upon implementation of a mitigation plan developed by qualified Principal Paleontologists. Contact the local Ranger District early in the project development and delivery process. Early coordination and advance scheduling are imperative.

Additionally, some portions of lands within the state boundary of California are administered by National Forest units located in adjacent states, including the Rogue River and Siskiyou National Forests (headquartered in Oregon) and the Toiyabe National Forest (headquartered in Nevada). The National Forest Service’s website provides links to each National Forest in California and contact information.

National Park Service

Each national park unit (park or monument) may have their own permit process for the investigation and mitigation of paleontological resources. Permits are issued under the provisions of the PRPA, the Antiquities Act of 1906, and other authorities. Visit the National Park Service website for information regarding paleontological resource management (including permits) and for contact information.

Additionally, the National Park Service has completed detailed paleontological surveys of some park lands, such as Death Valley and the Santa Monica Mountains, and has information available about others in their Paleontological Research Abstract Volumes on their website.

U.S. Army Corps of Engineers

Like other federal land managing agencies, the U.S. Army Corps of Engineers issues permits for paleontological investigations and mitigation on lands under their jurisdiction. The U.S. Army Corps of Engineers South Pacific Division has three District Offices which are in Sacramento, San Francisco, and Los Angeles. Note that each District has virtually total autonomy, so requirements between Districts can vary. The South Pacific Division’s website provides contact links for each of the three Districts. Permits are generally issued by the U.S. Army Corps of Engineers District's Construction-Operations Division.

California State Agencies

California Department of Parks and Recreation

State Parks’ process and procedures for obtaining permission to perform paleontological investigations are found on their Scientific Research and Collecting on State Park System Lands website. Projects that involve state park property are treated under the provisions of CEQA. However, State Parks normally issue Caltrans an easement for a project. Thus, if more stringent, State Parks’ paleontological policies, practices, and preferences take precedence over those of Caltrans when paleontological resources are present. State Parks’ Natural Resource Division in Sacramento provides paleontological guidance to individual park units.

California Coastal Commission, Local Coastal Programs, and Bay Conservation and Development Commission

The California Coastal Commission and approved Local Coastal Programs (e.g., city or county) issue coastal development permits for development within the Coastal Zone. In the San Francisco Bay Area, the Bay Conservation and Development Commission, as authorized by the McAteer-Petris Act (California Government Code sections 66650-66661), retains oversight and planning responsibilities for most development activity and conservation of coastal resources in the San Francisco Bay and along its shoreline.

Coastal permitting agencies typically rely on compliance with CEQA to ensure adherence with the provisions of Section 30244 of the California Coastal Act. The presence of paleontological resources must be identified and explained on the Application for Coastal Development Permit, and the permitting agency may issue special permit conditions for the protection of paleontological resources. Conditions generally range from avoidance of a site to mitigation in the form of construction monitoring and fossil recovery. This approach virtually parallels the level of protection afforded to paleontological resources by CEQA.

California Local Agencies

As noted in the “Laws and Regulations” section of this chapter, local off- State Highway System projects need to comply with local laws and ordinances when Caltrans is not the CEQA lead agency and is not responsible for the compliance with the local laws and ordinances. Project environmental staff should coordinate with local entities to update their knowledge of local requirements and permits. This information may also be available in city and county ordinances and general plans.

Private Land

As required for access to tribal or public land, access to privately held land requires permission to conduct any paleontological work on that land. For non-invasive paleontological surveys conducted prior to construction, a permit-to-enter is required from the property owner. Work the with district Right of Way office to obtain this permit. Fossil removal should be avoided on private lands until after property ownership has been transferred to the state and a professional repository has been identified to accept the fossils. Though highly unusual, there may be exigent circumstances that require fossil removal during paleontological initial screening, identification, or evaluation if scientifically warranted to salvage the fossil.

Laws and Regulations

Federal Laws and Regulations

Listed below are federal laws and regulations that address paleontological resources and require compliance for the preservation of paleontological resources. These laws and regulations apply to a project if the project has a federal nexus such as a federal PLAC, federal funding, or crosses federal land.

American Antiquities (54 USC 320301-320303)

Originally, the Antiquities Act of 1906 was codified in 16 USC 431 et seq. The Antiquities Act was recodified in 2014 to the National Park Service and Related Programs (54 USC 320301-320303). 43 CFR 3 (Preservation of American Antiquities) contains regulations that implement 54 USC 320301-320303 and requires (for lands within their jurisdiction) the Secretary of Agriculture, Secretary of the Army, or the Secretary of Interior to grant a permit for the examination of ruins, excavation of archeological sites and removal of objects of antiquity for curation at reputable museums, universities, colleges, or other recognized scientific or educational institutions, or to their duly authorized agents. Under 54 USC 320301-320303 and 43 CFR 3, "objects of antiquity" has been interpreted to include fossils by the Bureau of Land Management, the National Park Service, the U.S. Forest Service, and other federal agencies.

Archaeological and Paleontological Salvage (23 USC 305)

The Federal-Aid Highway Act of 1956 was the first highway act to specifically authorize the use of federal highway funds for archaeological and paleontological salvage. In 1958, President Dwight D. Eisenhower signed Public Law 85-767, codifying all pertinent portions of existing federal highway legislation as "Highways" in Title 23 of the USC, including the section for Archeological and Paleontological Salvage (23 USC 305). Section 305 was finally made generic to highway acts by Section 8(e) of the Federal-Aid Highway Act of 1960 (Public Law 86-657).

National Natural Landmarks Program (36 CFR 62)

The National Natural Landmarks (NNL) program was established in 1962 and is administered under the Historic Sites Act of 1935. Implementing regulations are 36 CFR 62. A NNL is defined as:

... an area designated by the Secretary of the Interior as being of national significance to the United States because it is an outstanding example(s) of major biological and geological features found within the boundaries of the United States or its Territories or on the Outer Continental Shelf (36 CFR 62.2).

Federal agencies and their agents (e.g., Caltrans) must consider the existence and location of designated NNLs, and of areas found to meet the criteria for national significance, in assessing the effects of their activities on the environment under NEPA. The National Park Service is responsible for providing requested information about the NNL Program for these assessments (36 CFR 62.6[f]). Project proponents (state and local) are not obligated to prepare an application to list potential NNLs, should such a resource be encountered during project planning and delivery. However, consistent with Caltrans strategic plans and policies, paleontological resources should be evaluated for listing.

Examples of paleontological NNLs and NNLs with paleontological resource components in California include:

Irvine Ranch, Orange County
Mt. Diablo State Park, Contra Costa County
Rainbow Basin, near Barstow, San Bernardino County
Rancho La Brea, Hancock Park, Wilshire Boulevard, Los Angeles
Sharktooth Hill, Kern County

For an up-to-date listing of NNLs in California, visit the National Natural Landmarks Directory.

National Historic Preservation Act (54 USC 300101 et seq.)

Section 106 of the National Historic Preservation Act does not apply to paleontological resources unless the paleontological specimens are found in culturally related contexts (e.g., fossil shell included as a mortuary offering in a burial or a culturally related site such as petrified wood locale used as a chipped stone quarry). In such instances, the materials are considered cultural resources and are treated in the manner prescribed for the site in question. This means that mitigation is almost exclusively limited to sites determined eligible for, or listed on, the National Register of Historic Places. Cooperation between the cultural resource and paleontological disciplines is required in such instances (see SER, Volume I, Chapter 28).

Section 4(f) of the Department of Transportation Act (23 USC 138; 49 USC 303)

Section 4(f) of the Department of Transportation Act does not specifically address paleontological resources. This section of the law places restrictions on the ability to use Section 4(f) properties (which include publicly owned parks, recreation areas, wildlife or waterfowl refuges, and National Register of Historic Places-eligible or listed properties). Paleontological resources would only be addressed under this law if located within a 4(f) property (see SER, Volume 1, Chapter 20).

National Environmental Policy Act (42 USC 4321 et seq.)

NEPA directs federal agencies to use all practicable means to "Preserve important historic, cultural, and natural aspects of our national heritage..." (42 USC 4331[b][4]).

Paleontological resources are a natural aspect of our national heritage. Paleontological resources must be considered during the project scoping process and if the presence of a paleontological resource is identified, federal agencies and their agents must take the resource into consideration when evaluating project effects. Consideration of paleontological resources may be required under NEPA when a project is proposed for development on federal land, land under federal jurisdiction, or involves federal funding, permits, or approvals. The manner of consideration depends upon the federal agency involved.

Limitation on Federal Participation (23 CFR 1.9)

Section 1.9(a) of the Code of Federal Regulations Title 23 states:

Federal-aid funds shall not participate in any cost which is not incurred in conformity with applicable Federal and State law, the regulations in this title, and policies and procedures prescribed by the Administrator. Federal funds shall not be paid on account of any cost incurred prior to authorization by the Administrator to the State highway department to proceed with the project or part thereof involving such cost.

Because CEQA requires that paleontological resources be addressed as part of the state environmental process (see the “California Environmental Quality Act” section below), any project that is administered by a state or local agency—including local agencies such as county and city planning departments—and is receiving federal-aid funds must also address paleontological resources.

Paleontological Resources Preservation Act (36 CFR 291)

The provisions of Sections 6301-6312 of the Omnibus Public Land Management Act, commonly called the Paleontological Resources Preservation Act (PRPA), prohibit excavating, removing, or damaging paleontological resources located on federal lands administered by the Secretaries of the Interior and Agriculture without first securing a permit. The implementing regulations of the PRPA are found in 36 CFR 291 and include the provision that all such resources remain the property of the federal government. The Act also prohibits exchanging, transporting, exporting, receiving, or offering paleontological resources if any party in the transaction knew, or should have known, that a resource was removed in violation of the law. Violations are punishable by criminal fines and imprisonment of up to 5 years for first offenses (36 CFR 291.34). Sections 6302 through 6312 of the Omnibus Public Land Management Act and 36 CFR 291 spell out additional requirements.

The PRPA requires the Secretaries of the Departments of Interior and Agriculture to undertake a systematic and comprehensive program of paleontological resource management on lands they administer. Within the Department of the Interior, the agencies most frequently impacted by and involved in transportation projects include the Bureau of Land Management, the Bureau of Indian Affairs, and the National Park Service. Similarly, the U.S. Forest Service in the Department of Agriculture is regularly a stakeholder in Caltrans projects.

Forest Service Prohibitions (36 CFR 261)

CFR Title 36, Part 261 contains regulations that prohibit, on National Forest System lands, the excavation, damage to, or removal of any vertebrate fossil or removal of any paleontological resource for commercial purposes [collecting for profit] without a special use permit under 36 CFR 291.13. Within specific national forests, under 36 CFR 261.70(a)(5), the Regional Forester has jurisdiction to establish additional specific regulations to protect objects or places of historical, archaeological, geological, or paleontological interest.

California State Laws and Regulations

The following state laws and regulations are applicable, or potentially applicable, to Caltrans and locally sponsored projects. Individual applicability must be assessed on a project-by-project basis.

California Environmental Quality Act

The CEQA Statute and Guidelines require state and local government agencies to inform decision makers and the public about the potential environmental impacts of proposed projects, and to reduce those environmental impacts to the extent feasible. A significant effect on the environment is defined under CEQA as “a substantial, or potentially substantial, adverse change in any of the physical conditions within the area affected by the project, including land, air, water, minerals, flora, fauna, ambient noise, and objects of historic or aesthetic significance” (CEQA Guidelines Section 15382). If a unique paleontological resource or site or unique geologic feature would be disturbed or destroyed, the impacts must be analyzed to determine if they are significant under CEQA.

The CEQA Statute, Public Resources Code (PRC), Section 21002, states that:

It is the policy of the state that public agencies should not approve projects as proposed if there are feasible alternatives or feasible mitigation measures available which would substantially lessen the significant environmental effects of such projects, and that the procedures required...are intended to assist public agencies in systematically identifying both the significant effects of proposed projects and the feasible alternatives or feasible mitigation measures which will avoid or substantially lessen such significant effects.

The CEQA Guidelines, California Code of Regulations (CCR), Title 14, Division 6, Chapter 3, Section 15002(a)(3), states that CEQA is intended to:

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

Paleontological resources are specifically referenced in CEQA Appendix G: Environmental Checklist Form, which asks:

Would the project directly or indirectly destroy a unique paleontological resource or site or unique geologic feature?

Caltrans considers unique paleontological resources or sites to be those resources or sites that meet the criteria for scientific significance, as defined above in the “Definitions” section of this chapter. If paleontological resources are identified in the PEAR, or other project scoping studies (e.g., PES), as being within the proposed project area, the sponsoring agency (Caltrans or local) must take those resources into consideration when evaluating project effects.

Periodic review of CEQA related court cases for decisions related to paleontology is recommended.

California Coastal Act (PRC, Division 20, Sections 30000-30900)

The California Coastal Act authorizes the California Coastal Commission to review permit applications for development within the coastal zone and, where necessary, to require reasonable mitigation measures to offset the effects of that development. It should be noted that approval of coastal development permits generally post-date a project's environmental document and may not necessarily be consistent with requirements previously issued by other regulatory/land management agencies (see SER, Volume 5).

Section 30244 of the Coastal Act, states:

Where development would adversely impact archaeological or paleontological resources as identified by the State Historic Preservation Officer, reasonable mitigation measures shall be required.

When the California Coastal Commission determines that a paleontological resource is present within an applicant’s proposed project area, the California Coastal Commission generally looks for evidence that the applicant has taken the resource into consideration (e.g., through formal survey by a principal paleontologist with implementation of resulting recommendations). If a paleontological site is present, special permit conditions may range from avoidance of the site to construction monitoring and/or salvage of scientifically significant fossils. This approach virtually parallels the level of protection afforded to paleontological resources by CEQA. Additionally, the California Coastal Commission relies heavily on project sponsoring or permitting agencies to ensure compliance with CEQA (and consequently, the California Coastal Act).

Archaeological, Paleontological, and Historical Sites (PRC, Division 5, Chapter 1.7)

Section 5097.5(a) of the PRC states:

A person shall not knowingly and willfully excavate upon, or remove, destroy, injure, or deface, any historic or prehistoric ruins, burial grounds, archaeological or vertebrate paleontological site, including fossilized footprints, inscriptions made by human agency, rock art, or any other archaeological, paleontological or historical feature, situated on public lands, except with the express permission of the public agency having jurisdiction over the lands.

Violation of this section is a misdemeanor. As used in this section, "public lands" means lands owned by, or under the jurisdiction of, the state, or any city, county, district, authority, or public corporation, or any agency thereof. Consequently, Caltrans as well as local project proponents, are required to comply with PRC 5097.5 for their own activities, including construction and maintenance, as well as for permit actions (e.g., encroachment permits) undertaken by others.

Department of Parks and Recreation (CCR, Title 14, Division 3, Chapter 1)

CCR Title 14 Natural Resources, Division 3, applies to lands (parks, trails, etc.) administered by the California Department of Parks and Recreation (State Parks). Two sections of Chapter 1 address paleontological resources. These are:

Section 4307 - Geological Features: No person shall destroy, disturb, mutilate, or remove earth, sand, gravel, oil, minerals, rocks, paleontological features, or features of caves.

Section 4309 - Special Permits: The Department [State Parks] may grant a permit to remove, treat, disturb, or destroy plants or animals or geological, historical, archaeological, or paleontological materials; and any person who has been properly granted such a permit shall to that extent not be liable for prosecution for violation of the foregoing.

California Local Laws and Ordinances

Many cities and counties have passed ordinances and resolutions related to paleontological resources within their jurisdictions. Examples include the counties of Orange and San Bernardino and the cities of San Diego, Carlsbad, Palmdale, and Chula Vista. These regulations generally provide additional direction and guidance on assessment, avoidance, and mitigation measures for projects subject to CEQA compliance. While Caltrans is not responsible for local agency compliance with either CEQA or local laws, local off-system projects do need to comply with local laws and ordinances. Project staff should periodically coordinate with local entities to update their knowledge of local requirements. As noted above, local ordinances are too numerous and diverse to be summarized in this chapter.

Paleontological Staff Qualification Requirements

Principal Paleontologist

A qualified Principal Paleontologist's knowledge, skills, and abilities may be necessary to prepare PIRs, are required to prepare most PERs, and are always required to prepare PMPs and Paleontological Mitigation Reports (PMRs).

There are no federal or California state mandated educational and/or experience requirements for paleontologists. The following guidelines are principally derived from a combination of professional society, federal, state, and local agency guidance.

A qualified Principal Paleontologist, as required for Caltrans projects and in agreement with the Society of Vertebrate Paleontology’s Impact Mitigation Guidelines (2010), is an individual with all of the following:

A graduate degree in paleontology or geology, with demonstrated experience in the vertebrate, invertebrate, or botanical paleontology of California or related geographic areas or geologic provinces.
A California Professional Geologist’s license (recommended).
Expertise in California geology, stratigraphy, and biostratigraphy.
Demonstrated knowledge of California geology and paleontology resources management practices.
At least two years of full-time professional experience or equivalent specialized training in paleontological research (i.e., the identification of fossil deposits, application of paleontological field and laboratory procedures and techniques, and curation of fossil specimens), administration, and management practices.
Proficiency in recognizing fossils in the field, determining their significance, and collecting the fossils.

Demonstrated knowledge of the paleontology and stratigraphy of the project area and competence in fieldwork, reporting, and curation are the most important attributes of a qualified Principal Paleontologist. The DPTS must check the Principal Paleontologist’s references and examine examples of past work unless there is prior knowledge of the individual's work.

Paleontological Monitor

A qualified Paleontological Monitor, as required for Caltrans projects and in agreement with the Society of Vertebrate Paleontology’s Impact Mitigation Guidelines (2010), is an individual who has demonstrated experience in the collection and salvage of fossil materials. An undergraduate degree in geology or paleontology is preferable but is less important than documented experience performing paleontological monitoring and mitigation. A resume must be provided, along with documentation of examples of similar work undertaken successfully. The documentation should include a list of projects, duties performed on these projects, and related references. The Paleontological Monitor must work under the direction of a qualified Principal Paleontologist.

Caltrans District Paleontology Technical Specialist

A Caltrans DPTS is generally an individual with at least a bachelor's degree in geology or paleontology and either coursework or work experience in paleontology. If staff with this background are lacking, the Caltrans District/Region should first contact adjacent Caltrans Districts/Regions or the Caltrans DEA Office of Hazardous Waste, Air Quality, Noise, and Paleontology (HWANP) for assistance. That failing, Caltrans Districts/Regions may assign individuals with related knowledge that are able to coordinate paleontological work being performed by qualified individuals. In this latter instance, consultants must necessarily be relied upon to provide a wider range of services.

A Caltrans DPTS will generally:

Consult and coordinate with other agencies.
Prepare, or oversee the preparation of, the PIS.
Prepare, or oversee the preparation of, the PIR.
Prepare, or oversee the preparation of, the PER.
Oversee the preparation of the PMP and PMR.
Prepare the Paleontological Stewardship Summary (PSS).
Review environmental documents and Plans, Specifications, and Estimates (PS&E) packages to ensure paleontological commitments are included.
Coordinate with and support the Resident Engineer and Environmental Construction Liaison.
Provide quality control and quality assurance.
May directly oversee contract work.

For Caltrans projects and locally sponsored projects on the State Highway System, paleontological workplans and reports must be submitted to the Caltrans DPTS for review and approval. Review may reveal the need for revision prior to approval. The Caltrans DPTS may also complete interagency and/or intra-agency coordination or assist in completing that coordination.

If unanticipated paleontological resources are encountered during construction of a project, the Caltrans DPTS will provide technical assistance and either directly or indirectly (e.g., through the Environmental Construction Liaison) provide support to the Resident Engineer in the preparation of any needed construction contract change orders for, or resulting from, paleontological mitigation. In cases where a construction contractor has retained a paleontology subcontractor, the Caltrans DPTS will provide technical assistance to the Resident Engineer.

Contract Administration

Contract or task order administration responsibilities are usually assigned to the DPTS or Environmental Generalist. The DPTS may need to be involved in the contract Consultant Selection Committee and provide task order support.

When paleontological consultant staff are used, periodic written progress reports must be required in the consultant's contract or task order. Progress report format, content, and schedule must be specified in the contract or task order. On-site monitoring of the timing, frequency, and duration of fieldwork must be undertaken by the Caltrans Contract or Task Order Manager, or designated representative. The appropriate Contract Manager, Task Order Manager, District Environmental Construction Liaison, and project Environmental Generalist may, respectively, provide additional support in drafting task orders and contracts.

Appropriate staff must provide general technical review of contracted work to ensure that all aspects of the work required by the contract/task order have been adequately carried out and documented. Work plan and report organization, language, and content must be reviewed to ensure that the documents are presented in an intelligible manner and follow the required format and content requirements, and that reports have sufficient information and clarity of argument to persuade all reviewers that the conclusions in the report are valid. Additional information regarding contracts and contract administration can be found at the Caltrans Division of Procurement and Contracts website.

Paleontological Resource Identification and Evaluation

The Project Development Team formally initiates environmental studies, including paleontological resources studies, and determines which state and federal laws and regulations apply. The Caltrans DPTS should communicate routinely with the Project Development Team on the status of paleontological screening and reports.

The Caltrans approach to project-related paleontological resources involves four steps:

Initial screening, ranking, and if necessary,
Identification
Evaluation
Avoidance, minimization, and/or mitigation

These four steps involve preparation of up to six separate documents:

Paleontological Initial Screening (PIS) – a memo that documents whether native sediments or rocks will be disturbed by the project and explains why a PIR is or is not necessary. Ranking of the potential paleontological resource may be done at this time, if appropriate.
Paleontological Investigation Report (PIR) – initial assessment that identifies potential paleontological resources, briefly evaluates project impacts, and recommends whether further evaluation is warranted (“positive” finding) or is not warranted (“negative” finding).
Paleontological Evaluation Report (PER) – follow-up assessment that provides an expert’s evaluation of the scientific value of the paleontological resource(s) affected by a project, clarifies the extent to which the resource will be impacted, and makes recommendations for avoidance, minimization, and/or mitigation.
Paleontological Mitigation Plan (PMP) – work plan that describes to an implementable level the specific actions to be taken prior to, during, and after construction, to mitigate impacts to the paleontological resource.
Paleontological Mitigation Report (PMR) – documents the completed mitigation work.
Paleontological Stewardship Summary (PSS) – memorializes any long-term commitments necessary to protect the paleontological resource after construction is complete.

Identification of paleontological resources can occur at any time during the life of a project. However, it is best accomplished as part of preparing a PEAR or PES document that, in turn, provides input to the Project Initiation Document. Requirements for each document are addressed individually below, because, in many cases, each report will be prepared as a stand-alone. However, in practice, some of these documents may be combined for greater efficiency. Examples include the following.

PIS and PIR can be combined when native sediments or rocks will be disturbed.
The PER may also be completed during the Project Initiation Document phase and combined with the PIR when project information and resources allow, and when the PIR is anticipated to be positive (i.e., to identify the need for a PER). For example, combining the PIR and PER is appropriate when a known paleontologically sensitive (high potential) formation, deposit, or unit would be encountered during project excavations. The decision to combine the PIR and PER must be made by the Caltrans DPTS.
The PER and PMP may be combined when it is known that mitigation will be required.
In some cases, it will even be appropriate to combine the PIR, PER, and PMP, if all parties agree that the PIR will be positive and mitigation will be required, or if the PER or combined PIR/PER is being updated late in the project delivery process.

Depending on whether any reports are combined, along with project-specific factors, the complete set of final paleontological reports for a project may include a combination of both consultant and in-house prepared documentation.

Paleontological reports prepared by Caltrans staff or its contractors and reports for locally sponsored on-system projects must follow the report templates which are available on the Forms and Templates page of the SER. The templates for the PMP and PMR are currently under development, and until their release, the outlines provided in the sections below must be followed; links will be added to the Forms and Templates page when they are available. Locally sponsored off-State Highway System reports do not have to use these templates or outlines, but to expedite reviews it is recommended that they include all the indicated technical information and analyses except for Caltrans-specific items (e.g., project number).

Paleontological Initial Screening

The PIS documents initial screening conducted by the Caltrans DPTS to identify if there is the potential for the presence of paleontological resources that could be impacted by the project. Therefore, the lithology that could be affected by the designed project must be evaluated in a PIS to answer this question:

Will the project disturb native geologic units or deposits with the potential to contain fossils?

If the answer is “yes” or “maybe”, then a PIR must be prepared. If the answer is “no”, the PIS will recommend no further action. For example, a project involving resurfacing that has no potential for impacting scientifically significant fossils, as defined above, does not require further evaluation.

Initial screening for paleontological resources for Caltrans projects is best accomplished during preparation of the PEAR. The PEAR then provides input to the Project Initiation Document, where project scope and other key project information is documented, and any necessary evaluation and mitigation efforts can be incorporated into the project scope and schedule.

Paleontological Resource Ranking

The potential for a project to affect scientifically significant fossils is generally evaluated by assigning a “paleontological potential” ranking to each of the geologic units that would be involved in the project—that is, disturbed by excavation, grading, drilling, or even in some cases blasting. Paleontological potential may apply to the entirety of the geologic unit, or to a specific facies or member within a geologic unit. In either case, paleontological potential is considered to apply to that unit, facies, or member throughout its three-dimensional extent; unlike archaeological sites, which may be highly localized, paleontological resources are bounded by the geologic units that contain them. Once paleontological potential has been evaluated, appropriate avoidance, minimization, and/or mitigation procedures are developed based on the assigned potential ranking. This strategy is taken because fossils are entombed in rocks and sediments, and in many cases the actual presence of fossils cannot be determined until construction excavation for the project is underway.

Caltrans has developed a tripartite scale for the assessment of paleontological potential, which should be used to evaluate the geologic units on Caltrans projects:

High potential

Rock units which, based on previous studies, contain or are likely to contain significant vertebrate, invertebrate, plant fossils, and/or trace fossils. These units include, but are not limited to, sedimentary geologic units that contain significant nonrenewable paleontological resources anywhere within their geographical extent, and sedimentary geologic units temporally and lithologically suitable for the preservation of fossils. These units may also include some volcanic deposits, such as tuffs, as well as low-grade metamorphic geologic units. Fossiliferous deposits with very limited geographic extent or an uncommon origin (e.g., tar pits and caves) are given special consideration and ranked as having high potential. To summarize, high potential includes the potential for containing:

Abundant vertebrate fossils or abundant and ecologically/phylogenetically significant invertebrate, plant, or trace fossils.
A few significant fossils (large or small vertebrate, invertebrate, plant, or trace fossils) that may provide new and significant taxonomic, phylogenetic, ecologic, stratigraphic, and/or climate data.
Areas that may contain datable organic or fossil remains older than Recent, including Neotoma (sp.) middens as well as fossils with the potential to provide important geochronologic information.
Areas that may contain unique new vertebrate or invertebrate deposits, traces, and/or trackways.

Projects affecting geologic units with a high potential to contain significant paleontological resources require some combination of avoidance, minimization, and/or mitigation.

Low potential

This category includes sedimentary geologic units and some volcanic and low-grade metamorphic geologic units that:

Are fossiliferous but have not yielded fossils of scientific value in the past.
Have not yet yielded fossils but possess a potential for containing fossil remains.
Contain common and/or widespread invertebrate fossils if the taxonomy, phylogeny, and ecology of the species contained in the rock are well understood.

Sedimentary geologic units expected to contain vertebrate fossils are not placed in this category because vertebrates are generally rare and found in more localized strata. Projects affecting geologic units designated as having low potential generally do not require full time mitigation monitoring during construction and may not require mitigation monitoring at all. However, in the case of geologic units that have not yet yielded fossils but possess a potential for containing fossil remains, the Principal Paleontologist must determine the most effective and cost-effective way to protect the resource with the approval of the Caltrans DPTS.

As construction excavation gets underway, unanticipated paleontological resources may be encountered and re-evaluation of impacts to paleontological resources and mitigation of those impacts may be necessary. If the paleontological resource is determined to have high potential, some combination of avoidance, minimization, and/or mitigation is required. If spot monitoring is being conducted, it may need to be increased to full time and, if no monitoring had been planned, it may need to be implemented.

If the Caltrans DPTS is a qualified Principal Paleontologist, the Caltrans DPTS can implement this change by direct field oversight with notice and a written detailed explanation for the required change given to the Resident Engineer and Project Manager. This notice/explanation can be provided by email and made part of the project record. This change can also be implemented by contracting directly with a consultant who can provide a qualified Principal Paleontologist, again, with notice and a written (email) detailed explanation for the required change given to the Resident Engineer and Project Manager.

However, in rare instances, if access to a qualified consultant through a separate contract is needed but not possible, monitoring will need to be implemented by issuing a Contract Change Order to the construction contractor. In this case the contractor will be required to subcontract with a qualified Principal Paleontologist approved by the Caltrans DPTS to evaluate the resource. Even if the mitigation is not being performed by a subcontractor to the construction contractor, a Contract Change Order may still be required if paleontological mitigation activities impact the construction contractor's work.

No potential

Geologic units of intrusive igneous origin, most extrusive igneous rocks, moderately to highly metamorphosed rocks, and artificial fill are classified as having no potential for containing scientifically significant fossils. For projects encountering only these types of geologic units or undisturbed sediments, paleontological resources can generally be eliminated as a concern when the PIS or PIR is prepared.

There is a table that summarizes the paleontological formation sensitivity ratings in the PER and PIR-PER but can also be used in the PIR and PMP as needed.

As noted above, certain federal agencies (e.g., Bureau of Land Management, U.S. Forest Service), local jurisdictions (e.g., counties or cities), and scientific organizations (e.g., the Society for Vertebrate Paleontology), have established their own operational categories for the paleontological potential or sensitivity of geologic units. These operational categories may be mentioned in Caltrans paleontology technical reports, but the Caltrans tripartite protocol must be used on Caltrans projects on the State Highway System. At local government levels similar variations exist in assessing scientific significance and potential based on investigator preference and regional approaches to the issues. Unless mutually agreed otherwise, the requirements of federal and state land-managing agencies prevail on lands they administer. Local agency preferences will be accommodated when practicable. If multiple agencies with varied requirements are involved (e.g., a linear project that involves multiple authorities), it is advisable to negotiate a common approach and ensure that there is a clear understanding between project staff (Caltrans or local), consultants, and personnel from other agencies as to exactly which criteria will be used. This negotiation is to be completed by the Caltrans DPTS and the Caltrans DPTS has the responsibility to inform the Project Development Team of the negotiation result.

Paleontological Identification Report

The PIR must be prepared early in the PA&ED phase of project delivery. The PIR is critical to determine whether a PER is necessary and to allow enough preparation time. When a PER is not needed, the PIR must be completed early enough for the information generated to be included in the environmental document.

For local projects, it is strongly recommended that screening be completed early in the scoping and conceptual alignment phase of the project (e.g., as a part of preparing the PES) so that any necessary evaluation and mitigation efforts can be incorporated into the project scope and schedule.

The PIR identifies whether there is the potential that scientifically significant paleontological resources could be impacted by the project. Therefore, the geology of the project alignment and the project construction methods must also be evaluated in a PIR to answer two questions:

Do the native geological units or deposits that will be disturbed have the potential to contain scientifically significant paleontological resources?

If the answer is “yes” or “maybe,” then the PIR must include the recommendation that a PER be prepared. The actual evaluation of the extent of impacts and any need for mitigation will be included in the PER.

If the answer is “no,” the PIR will recommend no further action.

The procedures described above must be followed any time there is a change in project scope that affects the areal extent or depth of ground disturbance.

Information Needed: At a minimum, to complete resource and impacts identification efforts the following are needed:

A geologic map of the project area, preferably using the most detailed geologic mapping available (e.g., 7.5-minute quadrangle).
Identification of the geologic units and description of the geologic history in the project area.
A records search of paleontological data, including genus or species level fossil content, latitude, longitude, and elevation of fossil(s), description of lithology including depositional environment and formation name.
Project mapping of sufficient detail to correlate the potential project footprint with geologic maps and paleontological resources. A best practice is to have this information in georeferenced format.
Definitive determination as to whether the project will involve construction excavation. If excavation will occur, at least initial information as to the nature, type, estimated location, and estimated depth of the excavations is needed to make reasonable inferences as to potential impacts. This is a three-dimensional evaluation.

Level of Detail: The required level of detail for the information needed for the PIR will vary by project and will be determined by the complexity of the geology and stratigraphy of the area and the complexity of the project. Planning, engineering, and environmental staff must coordinate to determine project-specific needs. For example, PIRs may be relatively brief for projects with little or no disturbance of native strata or in areas with only intrusive igneous rock. PIRs for projects with extensive excavation or complex geology will need to be significantly longer and more detailed.

PIR Content: The primary topics the PIR must include are the project location and description, applicable laws and regulations, the paleontological screening activities conducted to support conclusions about the potential for impacts, and results and recommendations. A template for the PIR is available on the SER Forms and Templates page.

Preparer's Qualifications: Identify person(s) preparing the PIR and their qualifications. PIR preparation requires the services of a professional meeting the experience/education requirements of a qualified Principal Paleontologist (see the “Paleontological Staff Qualification Requirements” section of this chapter), which may be a Caltrans DPTS or a contractor.

Confidentiality of Resource Location Information

The PRPA specifically prohibits disclosure of paleontological resource information to the public except under specified conditions (disclosure of this information is not subject to the Freedom of Information Act). This prohibition is applicable only to lands administered by the Departments of the Interior and Agriculture. Although no other federal or state statutes specifically prohibit the release of site-specific paleontological information, in keeping with Caltrans policy of being good stewards of resources located on lands under its jurisdiction, and to keep environmental commitments made as a part of project delivery, paleontological data should only be released on a need-to-know basis to qualified and responsible individuals. The locations of specific paleontological specimens should not be depicted precisely on project maps distributed to the public. However, geologic mapping or generalized paleontological potential maps are necessary in paleontological reports and plans.

Local project sponsors must develop their own policies relative to the confidentiality of paleontological resource location information, bearing in mind any applicable county or city ordinances, as well as the involvement of other federal or state agencies in the project approval process.

Paleontological Resource Avoidance and Minimization

Caltrans, with environmental stewardship responsibilities for paleontological resources, must evaluate avoidance of impacts first and minimization of impacts second. Avoidance reduces time and funding costs that are generally required for minimization or mitigation of impacts to resources. However, avoidance must occur early in the project planning and working with the Project Development Team is a positive, necessary step to evaluate avoidance options. For projects that include coordination with other agencies, avoidance can also expedite the issuance of any PLACs required to achieve project environmental compliance.

There are several ways to avoid and minimize project impacts to paleontological resources. An evaluation of potential project redesign should be considered that avoids or reduces the potential impacts to paleontological resources. Examples of this include adjustments to the project alignment or changes in construction excavation methods to avoid fossiliferous strata. Note that because geologic units often extend for great distances laterally and vertically, and many roadway projects are constrained by the locations of existing alignments, rights-of-way, and/or infrastructure, avoidance or minimization can be difficult or even impossible to accomplish while still meeting project goals.

Alternatively, Environmentally Sensitive Areas (ESAs) can be created around paleontological locales. ESAs are a part of the Caltrans standard toolkit to protect resources within or immediately adjacent to a project while concurrently allowing project delivery. Generally, this involves exclusionary fencing or monitoring of activities to ensure that the resource is not disturbed. Because the extent of paleontological resources can be vast, the ESA approach may only be viable to protect special areas of the resource. However, avoidance of larger areas through the creation of an ESA may be recommended when the paleontological resource is part of a National Natural Landmark. Avoidance and minimization measures must be stipulated in the PER, the project's environmental document, and the Environmental Commitments Record. If viable and properly implemented, ESAs can reduce costs and time associated with more extensive traditional approaches.

The environmental document should indicate special concerns requiring additional evaluation during the design phase of the project. Because avoidance, and even minimization, are often impracticable, many projects that impact high potential deposits rely on mitigation to fulfill Caltrans’ environmental responsibilities. Design is the critical time to finalize the details of the nature, scope, and timing of any mitigation efforts that will be required. This is because specific subsurface soil, bedrock, and groundwater conditions, as well as project design details that are relevant to the nature, scope, and timing of mitigation efforts, are determined during design. This means developing the PER is necessary as discussed in the next section.

Paleontological Evaluation Report

Once it has been determined that the project has the potential to impact scientifically significant paleontological resources, a PER must be prepared. The PER is an evaluation of the resource and presents the results and recommendations of that evaluation. Included in the PER is an assessment of:

The paleontological potential of individual geologic units and/or scientific significance of the resource(s).
Differential impacts of the various project alternatives.
The need for avoidance, minimization, and/or mitigation.

Unless the PIR and PER are combined, the PER is prepared later in the project development process than the PIR and additional project information may be available. If that is the case, the PER may also contain a review and update of information first presented in the PIR, including:

The project details, particularly more specific and detailed information about the location, extent, and depth of excavation and other ground-disturbing activities.
The geologic units present in the project area and their fossil content.
Applicable laws and regulations.
The necessity and manner of continued or new involvement of other agencies and stakeholders.

Timing: A PER is normally completed as a part of the PA&ED phase of project delivery to support production of the CEQA/NEPA environmental document. However, to complete the PER, the project footprint and mapping information must be of sufficient detail to allow assessment of the potential horizontal and vertical extent of impacts for each alternative. As a result, if the project scope changes after PA&ED, impacts to paleontological resources must be reevaluated and the PER updated as appropriate.

Information Needed: To complete an evaluation of a paleontological resource the information in the PIR must first be reviewed and updated if appropriate. At a minimum, the following additional information must be collected and reviewed:

Paleontological literature for the geologic units that are present in the project area.
Stratigraphy and structural geology of the project area.
Relevant museum collection content.

Evaluation of Paleontological Potential and Scientific Significance: An evaluation of the paleontological potential of each geologic unit within the vicinity of the project should be completed using the Caltrans Paleontological Resource Ranking and procedures outlined above.

Development of Mitigation Strategies: If the PER assessment results in a determination that a geologic unit or paleontological resource is not scientifically significant or that project impacts would be so limited that they do not represent a concern under applicable regulations, this conclusion must be documented in the PER and in the project's environmental document to demonstrate compliance with applicable statutory requirements. However, if it is determined that a geologic unit with high potential will be impacted by the project, then mitigation will be necessary.

Mitigation on Caltrans projects usually consists of paleontological monitoring during construction, recovery of scientifically significant fossils, and the preparation and curation of recovered fossils into an appropriate repository. A qualified Principal Paleontologist (see the “Paleontological Staff Qualification Requirements” section of this chapter) must make the determination as to whether a geologic unit is expected to contain paleontological resources with scientific or educational value.

In rare instances some limited mitigation efforts may be conducted during PS&E. This would happen if, for example, a large fossil specimen was already exposed and removal prior to construction would simplify and expedite construction activities. If permits are required for this mitigation by regulatory/land management agencies, they must be in place before removal activities begin.

Standard Special Provisions or Non-Standard Special Provisions, such as 14-7.04, are required to be included in construction contracts when there is a known paleontological resource requiring mitigation.

Level of Detail: The level of detail required depends on the complexity of the project and the geology, as well as the type of fossils expected and, in some cases, the applicable laws. For example, if a project will disturb a geologic unit that has produced vertebrate fossils in the past, the geologic unit is a paleontological resource with high scientific value, and little additional justification of the importance of the resource is needed. However, invertebrate and plant fossils are more commonly preserved in the geologic record and, therefore, not as rare as vertebrate fossils. In some cases, there are also applicable federal regulations that specify that action must be taken to preserve vertebrate fossils. So, when only invertebrate or plant fossils are expected in a geologic unit, a more detailed explanation is necessary to support the determination of the value of the resource.

The locations of specific paleontological specimens should not be depicted precisely on project maps distributed to the public such as those that appear in the environmental document. However, for projects with potential paleontological impact, the environmental document must include geologic maps depicting the impacted geologic units and paleontological resource potential maps. These maps can be combined into one map as appropriate.

Effort Tracking: For Caltrans projects, the appropriate Work Breakdown Structure (WBS) coding must be used to resource project workplans and track the paleontological activities.

Preparer's Qualifications: Identify person(s) preparing the PER and their qualifications. PER preparation requires the services of a professional meeting the experience/education requirements of a qualified Principal Paleontologist (see the “Paleontological Staff Qualification Requirements” section of this chapter), which may be a Caltrans DPTS or a contractor.

Inclusion of Paleontological Resource Information in the Environmental Document

For projects with potential paleontological impacts, the environmental document must include a succinct summary of the PIR or, if one is prepared, the PER, with relevant geological and paleontological information included in the Affected Environment, Environmental Consequences, and Avoidance, Minimization, and/or Mitigation section(s) as appropriate. At a minimum, the basis for determining the paleontological potential or scientific significance of paleontological resources, or the basis for concluding that there will be no effects to any significant paleontological resources, must be provided. If an issue of special concern is raised in the PER, more detailed information may be necessary.

A typical highway project will require either combined NEPA/CEQA documentation or CEQA-only documentation. From a practical perspective, CEQA-only requires avoidance, minimization, and/or mitigation for impacts to paleontological resources with scientific or educational value. Mitigation is the most common action taken on Caltrans projects, because highway alignments are often highly constrained, and avoidance or minimization is typically not practicable.

In general, under NEPA, federal agencies also only take paleontological resources with scientific value into account. However, the definition of scientific value may vary between one agency's various offices as well as between the offices of different agencies with jurisdiction. Additionally, the PRPA applies whether a paleontological resource has scientific value or not.

Paleontological Resource Mitigation, Stewardship, and Curation

Paleontological Mitigation Plan

A PMP is prepared when it has been determined that a high paleontological potential geologic unit will be impacted by a project and avoidance or minimization are not feasible or adequately effective. The PMP provides detailed information about the implementation of mitigation fieldwork (construction monitoring, fossil recovery), laboratory techniques for fossil preparation and identification, and the designation of a curation (repository) facility to receive the fossils. The level of detail included in the PMP may vary due to project-specific considerations, but the PMP should always provide sufficient information to guide on-the-ground execution.

Mitigation can be initiated prior to, and/or during, construction. The latter is more common for Caltrans projects because it is the most cost-effective approach. It should be pointed out, however, that mitigating during construction poses a greater risk of construction delays. So, if a large specimen is exposed at the surface, it is prudent to mitigate it prior to construction.

Mitigation activities are most likely to include monitoring, salvage of fossil material and data, fossil preparation, fossil curation, and preparation of the PMR. If a permit is required for mitigation by a regulatory or land management agency, it must be in place before ground disturbing activities begin.

In most cases mitigation activities will be conducted by a consultant retained by Caltrans (or a local partner). Paleontological services could also be provided by a subcontractor to the prime construction contractor although this is not preferable because:

Specifications are more complex, and it is problematic making them clear and biddable.
PMP preparation must be postponed until the Construction phase potentially causing scheduling problems, including delay of construction start.
Caltrans has less direct control over the mitigation activities.

A PMP template is currently in development. Until its release, the PMP outline and discussion presented below should be used.

PMP Outline

Project Location and Description

Identify the project location, including county, route, and postmile.
Include project vicinity and location maps.
Summarize the proposed project.
Ensure the project footprint includes all areas of use (e.g., staging areas, borrow pits).

Background Information

Describe the geologic unit(s), boundaries of the high potential geologic unit(s), and locations of exposures in the vicinity of the project area and in the area(s) of direct impact.
Describe the depths of high potential geologic units.
Include a clear, concise, description of why the paleontological resource has high paleontological potential/scientific significance.
Specify construction methods, locations, and depths of excavation/other ground-disturbing activity and their relationship to geologic units for the selected project alternative.
Identify the potential for impacts on significant paleontological resources.
Include mapping of sufficient detail to correlate the project impacts with detailed geological maps showing the extent of fossiliferous geologic units.
Present an overview of the mitigation approach and how the mitigation is expected to address current gaps in the paleontological data, how it will mitigate the impact, and why the identified approach is adequate.

Mitigation

The approach to mitigation requires professional judgment. The PMP is the basis for project mitigation budgeting. Some of the key elements of mitigation should include the following bulleted items:

Describe the specific activities and the timing of those activities that will be taken to mitigate project effects, including all fieldwork and laboratory efforts; bear in mind that timing may include pre-construction, during construction, and post-construction.
Describe where mitigation will be done and at what depth will it start.
Describe in detail how monitoring will be conducted, safety measures that will be implemented, the volume, frequency, and location (if known) of any bulk sampling, preparation procedure for recovered specimens, and reporting format and content.
Detail decision thresholds:
- Address how and when fieldwork will achieve the mitigation goals, allowing fieldwork to cease.
- State specific decision criteria (e.g., less than "x" specimens per cubic meter, more than “x” percent of excavation completed with no significant fossil finds).
- Mention any circumstances in which additional effort might be needed to achieve mitigation goals if the proposed scope of work proves unsuccessful. Include the rationale for mitigation methods and sample retention. Spell out the explicit criteria for discard of specific fossil specimens since not all fossils necessarily need to be collected.
- Justify that the level of effort will provide adequate material to mitigate the project’s effects.
Estimate and specify the number of field and lab crew needed and the estimated duration of their participation in the mitigation effort. Include brief statements as to their individual qualifications for each position classification (e.g., educational background and paleontological experience).
Include a schedule as detailed as possible given the fact that the final construction schedule isn't available yet for completing the proposed work.
- This may be done as text and/or in graphic form (e.g., timeline), and include a start date, duration of fieldwork and laboratory processing, and time for report preparation.
- The schedule for completing paleontological monitoring and mitigation must be coordinated with the project delivery and construction schedules. Therefore, the initial PMP schedule will most likely require revision once the construction contractor's schedule is available. Work will frequently require efforts after construction contract acceptance, thus necessitating that an appropriate project Expenditure Authorization and other funding mechanisms to remain active.
Provide information about paleontological resources that may be unexpectedly discovered during construction. In this case, evaluation, mitigation plan development, and actual mitigation efforts might all be required during construction. Section 14-7 of the Standard Specifications contains general provisions for unanticipated paleontological discoveries. The Caltrans DPTS can provide direct and indirect (e.g., through the Environmental Construction Liaison) functional support to the Resident Engineer to assist in resolving the situation in an acceptable, expedient manner. As noted above, it is best practice if a paleontological consultant is retained directly by Caltrans (or a local partner) rather than by the prime construction contractor.

Curation

Identify the curation facility and include a draft curation agreement (see the “Curation” section of this chapter for facility requirements). Note that because the cost of curation is usually dictated by volume, all excess matrix must be removed from the fossil, to the greatest extent possible, during analysis and/or pre-curation preparation. A curation agreement with an approved facility must be in place prior to initiating any paleontological monitoring or mitigation activities. Recovered specimens must be prepared to at least the point of identification (not exhibition) and stabilized for preservation in conformance with individual curation facility requirements. All recovered specimens must be cataloged using the format of the proposed curation facility.

Permits

Identify any permits that may be needed to conduct the work, the nature of the relationship between the permit and the specific work action, and the issuing agency/agencies and point of contact information for each permit. Summarize the work elements needed to obtain each permit and include a permit acquisition schedule.

Preparer's Qualifications

Identify person(s) preparing the PMP and their qualifications. PMP preparation requires the services of a professional meeting the experience/education requirements of a qualified Principal Paleontologist (see the “Paleontological Staff Qualification Requirements” section of this chapter).

Timing and Resource: PMPs are usually prepared during the PS&E phase once an alternative has been selected and detailed information about project earthwork is available. In some cases, preliminary PMPs may be prepared during the PA&ED phase and updated and finalized during the PS&E phase.

Usually, the salvage of fossils occurs during construction, with fossils being removed as they are uncovered. However, in some cases, it may be advantageous to conduct survey and preliminary salvage prior to construction, thus minimizing the potential for construction delays. In this situation, mitigation can include excavation and surface collection prior to construction activities. However, in the case of privately owned lands that will be purchased for the project, these efforts should only occur after Caltrans has become the fee-simple owner.

For Caltrans projects, regardless of whether mitigation takes place prior to or during construction, the appropriate WBS coding must be used to resource the workplans and track the paleontological activities. Similarly, the appropriate WBS codes must be used to track technical assistance required during construction and functional support to the Resident Engineer in preparing any construction Contract Change Orders for, or resulting from, paleontological mitigation.

Qualifications and Interagency Coordination: As noted above, the PMP must be prepared by, or under the supervision of, a qualified Principal Paleontologist (see the “Preparer’s Qualifications” above) and submitted for review far enough in advance of an anticipated start work date that all involved agencies have time to comment, the lead agency has time to adjust the plan to accommodate such input, and for the plan to be resubmitted for all necessary approvals. In the case of State Highway System projects, coordination with other agencies must be accomplished by Caltrans staff rather than the consultant. It is imperative that all regulatory/land management agencies with jurisdiction over a paleontological site agree as to the level of effort in the mitigation plan, including agreement on the applicability of pertinent laws, regulations, and permit requirements. When properly designed, the PMP serves as a basis for obtaining any necessary PLACs from other agencies. PMP implementation must be completed under the direction of a qualified Principal Paleontologist.

Safety and Coordination with Construction: The PMP must address construction site safety. All consultant or in-house personnel must obey site safety requirements. Prior to paleontological monitoring all monitoring personnel must complete a construction safety orientation with the construction contractor. A procedure for interfacing paleontological and construction personnel will need to be developed in consultation with the Resident Engineer. The paleontological mitigation team should also provide paleontology awareness training to the construction contractor's crew to facilitate cooperation.

Mitigation: Mitigation measures will be applied to geologic units determined by a qualified Principal Paleontologist to contain scientifically significant paleontological resources if impacts to those geologic units cannot be avoided or minimized by project planning.

Mitigation measures vary, but may include:

Recovering a sample of fossiliferous material prior to construction.
Monitoring construction and halting work to recover important fossils.
Cleaning, identifying, and cataloging fossil specimens collected for curation purposes.

Not all types of earthwork allow for mitigation of paleontological resources. The qualified Principal Paleontologist will make the determination if mitigation is feasible. For example, drilling operations may pulverize the soil and rock, but microfossils may still be salvaged from the cuttings.

Construction monitoring programs must include qualified paleontological monitors equipped with tools and supplies to allow for the rapid removal of specimens so that delays to construction can be minimized. If excavation is occurring in multiple locations simultaneously, adequate numbers of fully equipped monitors must be present to manage all locations. Procedures to temporarily divert construction equipment to inspect fossil finds need to be worked out beforehand with the Resident Engineer.

Construction monitoring programs should be downgraded to an on-call status with construction worker training in use for paleontological resource identification or suspended entirely if no fossils are found after 50 percent of project excavation is complete. This is a procedure also recommend in the Society of Vertebrate Paleontology’s Impact Mitigation Guidelines (2010). This procedure applies to each native geological unit or deposit for each construction activity disturbing a unit or deposit required to be monitored by the PMP.

Excavation methods vary with the type of fossil species and the nature of the matrix. Large specimen recovery (e.g., large vertebrates such as mammals and some large invertebrates) may require exposure in situ and plaster jacketing prior to removal. Medium and small specimen recovery (e.g., small mammals, most invertebrates, and plants) are usually quarried and can be separated from their matrix away from the excavation site. Similarly, matrix may be wet or dry screened. When wet screening, the matrix may be soaked in water with detergent and screened to retain various size fractions for sorting, identification, and cataloging. In some cases, acids are used to separate the specimens from the matrix.

Reporting: The approved PMP must incorporate the reporting requirements of involved/interested federal and state stakeholders, and the curation facility, and be consistent with the state of the practice of the professional community. Local entity desires should be accommodated if practicable. The number of copies of the PMP needed for distribution will vary by project.

Paleontological Mitigation Report

The PMR documents implementation of the approved PMP. A PMR template is currently in development. Until its release, the PMR outline and discussion below should be used.

PMR Content

Summary of Findings - This should be a one to two-page statement summarizing the purpose and scope of the paleontological mitigation effort, dates of fieldwork, results, and disposition of the collection.

Introduction

Identify the project location by name, county, route, and postmile.
Include project vicinity and location maps.
Describe the nature and purpose of the paleontological mitigation effort including legal obligations that necessitated the effort.
Specify the dates and location(s) of fieldwork.
Include the names of paleontological staff along with a brief summary of the qualifications and educational background of key personnel.
Identify permits or permissions obtained, if any.
Include agency/agencies office(s) and point(s) of contact information.
Include other information as necessary to introduce the report.

Resource Context

The paleontological site(s) must be placed in regional geologic context, at a minimum:

Include a brief description of the regional geologic history (characteristics such as stratigraphy, principal structures, geomorphology, and distribution of geologic units).
Identify the fossiliferous geologic units monitored and key fossils.
Summarize previous paleontological investigations conducted in the vicinity.
Document the rationale that led to the determination that the geologic units monitored possess scientific significance or importance, if such a determination was necessary.

Field and Laboratory Methods

Describe, in detail, the methods and techniques used in the field and laboratory.
Discuss, in detail, any deviation(s) from the originally approved PMP and the reasons for the deviation(s).

Results

Summarize the results of the mitigation effort, at a minimum:

Identify the locations monitored.
Identify recovered fossils by name (using both common names and Latin nomenclature), locality, and geologic unit; if numerous taxa are represented, the most straightforward way to present this information may be in a table.
Detail the accession number(s) of the collection(s) and the name of the curation facility/facilities.
Include project area geologic map(s) showing areas where fossils were recovered.
Provide geologic cross-sections depicting fossil localities and excavated units.
Include additional graphics and illustrations as appropriate.

Preparer's Qualifications

Identify person(s) preparing the PMR and their qualifications. PMR preparation requires the services of a professional meeting the experience/education requirements of a qualified Principal Paleontologist (see the “Paleontological Staff Qualification Requirements” section of this chapter) to provide final paleontological potential/scientific significance evaluations.

Appendices, at a minimum:

Attach the collection catalog (accession information to be provided after curation).
Include a glossary of geological and paleontological terms used.

Timing and Resources: Since the post-fieldwork level of effort cannot be accurately determined until fieldwork is complete and the volume of recovered material is known, the original cost, scope, and schedule as shown in the PMP may require revision. Therefore, timing of the PMR submittal must be discussed and renegotiated as needed. If consultant staff are preparing the PMR, their scope of work may also need to be renegotiated.

The final PMR must include the collection catalog. The steps involved in processing the collection catalog are:

A final version of the PMR collection catalog provided to Caltrans for review and conditional approval.
Submittal of a copy of the final PMR to the curation facility.
Curation facility assigns accession numbers and ultimately accepts the collection and report.
Curation facility provides the collection catalog.
The now complete PMR, including the collection catalog, is resubmitted to Caltrans for final approval.

For Caltrans projects, the appropriate WBS coding must be used to resource workplans and track the PMR preparation activities.

Qualifications and Coordination: The report must be prepared by, or under the supervision of, a qualified Principal Paleontologist (see the “Preparer’s Qualifications” section above) and submitted for review to Caltrans and all agencies with jurisdiction. In the case of on- State Highway System projects, coordination with other agencies must be accomplished by Caltrans staff rather than the consultant.

Ownership and Curation: Fossils collected remain the property of the landowner and the collection must be properly curated at an approved facility (see the “Curation” section, below) and preserved for future researchers. When mitigation occurs during the construction phase of a project, Caltrans typically is the fee-simple landowner—except, for example, in the case of easements across federally administered lands. In the latter instance, the federal land-managing agency generally retains ownership as discussed in the “Regulatory and Land Management Agencies, and Private Lands” section of this chapter.

Reporting: See above for required PMR contents and note that the approved PMR must incorporate the requirements of involved or interested federal and state stakeholders and the curation facility and be consistent with the state of the practice of the professional community. Local entity desires should be accommodated if practicable. The number of copies of the PMR needed for distribution will vary by project and electronic copies may be acceptable. Include tables, figures, and specimen sketches as appropriate and include appropriate labeling, legends, and scale information.

Maps - The following are minimum map requirements:

All maps:
- Display the district, county, route, and project postmile limits, project or contract (and task order) numbers, north arrow, and scale.
Project location map:
- Must be a district highway map, or approved alternate, illustrating the location of the project on a regional scale.
Project vicinity map:
- Must be a U.S. Geological Survey topographic base map, or approved alternate, that depicts the location of the project and all fossil resource localities in relation to the surrounding topography.
Project geologic map(s):
- Must be at an appropriate scale to illustrate the areas of excavation monitored and locations where fossils were recovered.

Suitable standardized base maps, including aerial photographs, on file at the Caltrans district office can be provided to the paleontologist(s) for their use.

Photographs - The following are minimum photographic requirements:

General views of each locality with appropriate labeling so that they stand independent of the text presentation.
Detailed views of representative fossil specimens with appropriate labeling.

Paleontological Stewardship Summary

The PSS is completed after paleontological mitigation is finished (including delivery of fossils and associated records to the curation facility) and includes:

The location of the paleontological resources (including county, route, and postmile, limits and side of highway).
A description of the resource.
The types of use restrictions, and the duration of those restrictions.
A list of any long-term commitments supplied to the Maintenance and Operations staff (including the Encroachment Permits Office) by environmental staff.

An updated Environmental Commitments Record and/or Certificate of Environmental Compliance may generally serve as the PSS. District environmental staff should include this summary in the project file and add to their project tracking database as appropriate.

Curation

For work within Caltrans right-of-way, either in fee or by easement, Caltrans must identify or approve an appropriate repository for the paleontological collection and ensure that collected materials are properly prepared and delivered to the repository. The state retains ownership of the specimens. Collection of fossils during paleontological field surveys for the PIR or PER is generally avoided because often a repository has not yet been identified and approved. If the collection of fossils must be conducted during PIR or PER field surveys, then a task order would be required for a consultant to perform emergency recovery and curation into an approved repository.

Curation or repository agreements generally need to be executed prior to construction. However, in some cases, the final choice of repository may need to wait until the nature of finds is known (i.e., there might be preliminary discussions with the repository, but the repository agreement might be finalized during construction).

The following is a list of factors to consider when locating and choosing a curation facility and in preparing the curation agreement. These considerations are based upon federal and other existing standards and practices. Individual curation facilities may have additional, or different, standards and requirements. Similarly, if collections are from lands controlled or owned by regulatory/land management agencies, those entities may have additional, or different, guidance or requirements.

Preferably, the facility should be accredited by or meet the standards of the American Association of Museums.
The repository should have an approved curatorial/collections management plan that includes procedures for accessioning, cataloging, loaning, and de-accessioning of fossils and their associated records.
The repository must have a curator/collections manager trained in curation, storage, and the preparation of paleontological resources.
Access to the collections, databases, and associated documentation by Caltrans and other agencies with jurisdiction as well as qualified researchers should be addressed in the curation agreement.
When the project includes easements over federal lands, access to and ownership of fossil specimens must be carefully addressed in the curation agreement.
Site-specific location information must remain confidential unless release is approved by Caltrans and any other agencies with jurisdiction.
The repository should have a code of ethics for facility staff and those allowed access to the collections.
The repository must house fossil specimens and related materials (e.g., maps and records) under environmentally appropriate conditions in facilities with appropriate storage (e.g., suitable cabinets and drawers).
Fossil collections being curated for Caltrans must be prepared, curated, and properly stored or exhibited.
The repository must have appropriate security and fire prevention/suppression plans and measures in place.
Ownership of fossils curated for Caltrans must be indicated in at least the catalogs/databases.
The repository should allow loan of materials to similarly qualified institutions for exhibit or research.

Be aware that processing of collected specimens generally requires work after construction contract acceptance. As a result, it may be necessary to work with the Project Manager to ensure that an appropriate project Expenditure Authorization and other funding mechanisms remain active. Curation of specimens and finalization of the PMR are the activities most likely to extend beyond construction contract acceptance.

Post-Construction

Post-construction paleontological responsibilities may extend into on-going facility maintenance and operations, including issuance of encroachment permits.

Maintenance and Operations: If paleontological resources are still located within the fee simple highway right-of-way after completion of construction, Caltrans can meet the compliance requirements of PRC 5097.5 by writing a memo to the Deputy for Maintenance authorizing disturbance of paleontological resources for maintenance activities. District/Region environmental staff must provide appropriate description and management constraints information for inclusion in the authorizing memo; this includes any avoidance, minimization, and/or mitigation requirements that still apply to protect the resource.

For all types of rights-of-way, if previously unknown paleontological resources are unexpectedly discovered, maintenance and operations staff must immediately contact the Caltrans DPTS for assistance in developing an effective response and a long-term solution for the appropriate treatment of the paleontological resources. Delays in contacting the Caltrans DPTS could result in project delays.

Encroachment Permits: If work conducted under an encroachment permit has the potential to affect a known paleontological resource located within Caltrans fee simple right-of-way, the encroachment permit must include authorization to disturb the resource pursuant to PRC 5097.5, as described above for operations and maintenance, along with any requirements for avoidance, minimization, and/or mitigation of impacts. Compliance with applicable federal and state laws, including those pertaining to paleontological resources, is required prior to the issuance of an encroachment permit.

If the operating right-of-way is an easement, limitations on activities are identified in the easement documents. Coordination with the fee title holder is required before authorizing any permit. If the highway is prescriptive right-of-way, Caltrans only has edge-of-pavement to edge-of-payment authority and must consult the fee title holder. As discussed above, if previously unknown paleontological resources are unexpectedly discovered, maintenance and operations staff must immediately contact the Caltrans DPTS for assistance.

(Last content update: 2/28/25 CD)

Chapter 8 - Paleontology

What does this topic include?

Definitions and Acronyms

Resources

Regulatory and Land Management Agencies, and Private Lands

Federal Agencies

Bureau of Indian Affairs

Bureau of Land Management

Federal Highway Administration

U.S. Forest Service

National Park Service

U.S. Army Corps of Engineers

California State Agencies

California Department of Parks and Recreation

California Coastal Commission, Local Coastal Programs, and Bay Conservation and Development Commission

California Local Agencies

Private Land

Laws and Regulations

Federal Laws and Regulations

American Antiquities (54 USC 320301-320303)

Archaeological and Paleontological Salvage (23 USC 305)

National Natural Landmarks Program (36 CFR 62)

National Historic Preservation Act (54 USC 300101 et seq.)

Section 4(f) of the Department of Transportation Act (23 USC 138; 49 USC 303)

National Environmental Policy Act (42 USC 4321 et seq.)

Limitation on Federal Participation (23 CFR 1.9)

Paleontological Resources Preservation Act (36 CFR 291)

Forest Service Prohibitions (36 CFR 261)

California State Laws and Regulations

California Environmental Quality Act

California Coastal Act (PRC, Division 20, Sections 30000-30900)

Archaeological, Paleontological, and Historical Sites (PRC, Division 5, Chapter 1.7)

Department of Parks and Recreation (CCR, Title 14, Division 3, Chapter 1)

California Local Laws and Ordinances

Paleontological Staff Qualification Requirements

Principal Paleontologist

Paleontological Monitor

Caltrans District Paleontology Technical Specialist

Contract Administration

Paleontological Resource Identification and Evaluation

Paleontological Initial Screening

Paleontological Resource Ranking

High potential

Low potential

No potential

Paleontological Identification Report

Confidentiality of Resource Location Information

Paleontological Resource Avoidance and Minimization

Paleontological Evaluation Report

Inclusion of Paleontological Resource Information in the Environmental Document

Paleontological Resource Mitigation, Stewardship, and Curation

Paleontological Mitigation Plan

PMP Outline

Paleontological Mitigation Report

Paleontological Stewardship Summary

Curation

Post-Construction

Statewide Campaigns

Statewide Campaigns

Statewide Campaigns

Statewide Campaigns