01_04A7553_RFQ_Notice_04222026.pdf

May 6, 2026 RFQ Number 04A7553

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 04A7553

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

• On February 2, 2026, new escalations rates.

• On February 2, 2026, interviews will be held in person.

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

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

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

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

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

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

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

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for A&E On-Call Hydraulics Engineering Services, District 04. In submitting your SOQ, you shall comply with the instructions found herein. In addition to those programs that are specified in this solicitation, prospective consultants are encouraged to consider programs that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, new emerging firms, and other businesses covered by State and Federal programs.

B. The estimated contract amount is $8,000,000 - $13,000,000.

C. The estimated contract term is three years.

D. Interviews will be held in person on June 23, 2026 at 111 Grand mailto:Vanessa.Usanmaz@dot.ca.gov

Ave, Oakland, CA Confirmation letters will be sent to those firms short-listed.

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

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

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of July 30, 2026. The fee for profit shall be ten percent (10%), and the escalation shall be as follows:

From To Escalation Term (yr)

06/08/2026 06/30/2027 1.71% 0 07/01/2027 06/30/2028 3.42% 1 07/01/2028 06/30/2029 3.42% 2 07/01/2029 06/30/2030 3.42% 3

Notes:

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

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

G. The scheduled date to complete cost negotiations and submit final cost proposal is August 11, 2026.

H. Disadvantaged Business Enterprise Program

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

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

26. (Docket Number DOT-OST-2025-0897.) The IFR was published in the Federal Register on October 3, 2025, and took immediate effect. (90 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

FR 47969 (Oct. 3, 2025).) The IFR, as published in the Federal Register, is available at the following url: Docket No. DOT-OST-2025-0897

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

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

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

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

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

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

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

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

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

1. The State of California seeks to realize the potential benefits of

GenAI, through the development and deployment of GenAI tools, while balancing the risks of these new technologies.

2. Bidder / Offeror must notify the State in writing if it:

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

1) functionality of a State system,

2) risk to the State, or https://www.federalregister.gov/documents/2025/10/03/2025-19460/disadvantaged-business-enterprise-program-and-disadvantaged-business-enterprise-in-airport https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions

3) Contract performance.

Note: For avoidance of doubt, the term “materially impacts” shall have the meaning set forth in State Administrative Manual (SAM) § 4986.2 Definitions for GenAI.

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

4. Upon notification by a Bidder / Offeror of GenAI as required, the State reserves the right to incorporate GenAI Special Provisions into the final contract or reject bids/offers that present an unacceptable level of risk to the State.

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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

A. Conflicts of interest may occur due to direct or indirect financial or business interests in the work to be performed or in any real property acquired for such project. Conflicts of interest can include, but are not limited to, past, existing or planned activities or because of relationships with other persons or firms. If there is a conflict of interest, the proposed team, including both the prime consultants and subconsultants, and individual employees of team members would actually or potentially be unable to render impartial assistance or advice to Caltrans. The proposer’s objectivity or availability in performing the contract work may be impaired due to actual or potential conflicts of interest.

B. If the proposed team determines that any actual or potential conflicts of interest exist, it must identity and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the A&E Contract Information website. Along with the description of the actual or potential conflicts of interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts.

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

C. After award, conflict of interest guidelines and policies shall continue to be monitored and enforced by the Caltrans Contract Manager. Additional information about Conflict-of-Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI.

Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website (see link below). The State and Federal contract boilerplates on DPAC’s website also contain information on conflict-of-interest issues (Exhibit D) and can be found on the AE Contract Information website (see link below).

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

IV. SUBMISSION OF STATEMENTS OF QUALIFICATIONS (SOQs)

A. IMPORTANT: Download “Statement of Qualifications Submittal Instructions and General Contract Process Information” from the AE Contract Information website (Dated Rev. 10/07/2020) . Failure to follow these instructions may result in rejection of your SOQs.

B. SOQ Package Submittal Instructions

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

1. The electronic submission of a single unprotected (i.e. not password protected) PDF file of the SOQ is required. The electronic submittal will be accepted until 10:00 a.m. on June 8, 2026. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

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

Your firm’s name Your email address The solicitation number for which you would like to submit a

SOQ

The file name shall include the contract number, consultant name (max.

25 characters) separated by an underscore (_), ending with the “.pdf” extension.

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

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

https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information mailto:Vanessa.Usanmaz@dot.ca.gov

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

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

Revised 03/04/2024

SCOPE OF WORK/DELIVERABLES

Hydraulics Engineering Services for Caltrans, Division of Design, Office of Hydraulic Engineering Program, District 04 On-Call Contract

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Hydraulics Engineering Services on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Design, Office of Hydraulic Engineering Program, District 04 , from 0 phase to 3 phase completion of various Projects, in the maintenance, development and construction of proposed Caltrans transportation facilities. The Caltrans Contract Manager shall assign specific work to the Consultant to assist the Caltrans work force through the issuance of Task Orders describing in detail the services to be performed. The Consultant shall only perform work that is assigned in an authorized Task Order. The Contract does not guarantee that a Task Order shall be issued. The Consultant may provide services to Caltrans including, but not limited to, Engineering Studies producing Project Development and Design products and deliverables to support the preparation of the Project Report (or Project Report equivalents), Project Approval report, developing Design Plans, Specifications and Estimates (PS&E); support to the Office Engineers during project Advertisement and Award; project history files; design support during the construction phase.

1. Exclusion of Work.

Hydraulic analysis for bridge design and scour mitigation at bridges.

Hydraulic reports for piers and structural items.

Information Technology (IT) related activities are excluded from the A&E scope of work. Information Technology related activities such as auxiliary automated information handling, including systems design and analysis, conversion of data, computer programming, information storage and retrieval, voice systems that use interactive databases, video including videoconferencing systems that transmit sensitive data, data communications, requisite systems controls, the use of interactive databases and simulation are excluded.

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All design tasks including, but not limited to, reviewing approved Project Initiation Documents (PID) and Constructability Reviews may be assigned as work under the Contract.

RFQ Number 04A7553 Attachment 1

The Consultant for the Contract shall perform the services above after the contract authority for Contract 04A6813 is exhausted (expected no later than November 30, 2026). The Consultant shall plan accordingly to meet the timing of and the volume of workload needs.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Alameda, Contra Costa, Marin, Napa, San Francisco, San Mateo, Santa Clara, Solano, and Sonoma. Other specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Caltrans, Division of Design, Office of Hydraulic Engineering Program, District 04, projects to extend into another adjoining District 1, 3, 5, and 10/County line. Certain California County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' District 1, 3, 5, and 10 outside of the boundary of Caltrans’ District 04. In some instances, data collection may involve regional analysis beyond the counties identified or into adjoining states to properly assess the context and intensity of impacts to the concerned resources. In such instances, the project work shall not extend more than a thirty (30)-mile radius from the District/County, Division of Design, Office of Hydraulic Engineering Program, District 04 geographic boundary. These services shall be required to be provided domestically within the continental U.S.A. as well as internationally. The Consultant shall be capable of delivering the Hydraulics Engineering Services primarily in the USA.

1. Throughout the terms of the Contract, the Consultant and its Subconsultants shall disclose and briefly describe any financial, business or other relationship with Caltrans, governmental agencies (e.g. California Transportation Commission - CTC, Bay Area Toll Authority - BATA, Metropolitan Transportation Commission - MTC, and other) that relates to or concerns the Caltrans on-going (e.g. San Francisco Bay Bridge corridor, and other) contracts and projects which may have a potential conflict of interest with the contract, in the Statement of Qualifications.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Hydraulics Engineering Services within the geographical jurisdiction of the Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and

RFQ Number 04A7553 equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product. The Consultant shall assist Caltrans, Division of Design, Office of Hydraulic Engineering Program, District 04, to produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package.

2. Provided in Attachment A is a list of proposed Caltrans projects; Division of Design, Office of Hydraulic Engineering Program, District 04, however, this list is not exclusive and it does not constitute a commitment that the projects will be initiated or completed or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of projects that are within the geographical jurisdiction of the Contract set forth in “Location of Work” Section within the Division of Design, Office of Hydraulic Engineering Program, District 04’s jurisdiction.

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

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

3. In the Contract is a list of proposed personnel classifications for which services are anticipated to be needed by Caltrans during the term of the Contract; however, RFQ Number 04A7553 this is not an exclusive list of the personnel classifications of Hydraulics Engineering Services that may be requested. Caltrans reserves the right to add/or delete personnel classifications from this list. Consultant personnel will work under the general direction of a Caltrans Senior Hydraulic Engineer.

Hydraulic Engineer Hydraulics Engineering Responsible Person Assistant Hydraulic Engineer Technical Editor

4. Consultant agrees that:

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

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

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

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

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

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

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

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

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

RFQ Number 04A7553 in the Contract shall not exceed 10% of the total value of services that are listed and performed in the Contract.

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

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

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

Team (PDT) meetings or other Caltrans meetings.

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

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

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

8. Maintaining a stable workforce is essential to the successful completion of Caltrans, Division of Design, Office of Hydraulic Engineering Program, District 04, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

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

10. The Hydraulics Engineering Services shall include, but not be limited to, tasks pertaining to Project Reports (PR), PS&E bidding documents, and other project delivery activities. Specific work in the following areas may be needed:

a. Independent Cost Estimating for PS&E or Project Report phase for all cost items in construction project(s), which may include the preparation of a critical path construction schedule that is used to determine the construction contract duration.

b. Americans with Disability Act (ADA) compliance for transportation facilities and right-of-ways, which includes work in site assessments, PR and PS&E.

c. Technical/Specification writing for PR, and PS&E phases.

d. Drafting services for PS&E or other project drawings for this project(s).

11. The Consultant shall assist Caltrans Office Engineer by providing answers to the bidders’ questions during advertisement and award phase.

12. Wildfire damage investigation shall involve a site visit to assess any damage to existing drainage facilities caused by a wildfire and providing recommendations for repair and replacement.

13. Coastal erosion investigation shall involve a site visit to assess on-going erosion or evaluating if proposed highway improvements shall warrant protective measures. As may be warranted protective measures shall be design as detailed in Highway Design Manual Chapter 880.

14. Fish passage design is designing a waterway to remediate a fish passage barrier and requires hydraulic calculation documentation.

15. Hydraulic program SRH-2D shall be used for hydraulic modeling of the waterway for fish passage designs and/or bridge locations.

16. If set forth in an authorized Task Order, the Consultant shall assist Caltrans, Division of Design, Office of Hydraulic Engineering Program, District 04, in reviewing the construction contractor’s Request for Information by performing independent modeling, analysis, and engineering studies during construction.

17. The Consultant shall assist Caltrans, Division of Design, Office of Hydraulic Engineering Program, District 04, in reviews and approvals of all submittals from the construction contractor. The most current Caltrans Standard Specifications allow a minimum six (6) weeks of review time for Caltrans.

18. Where directed in a Task Order, the Consultant performs the following tasks:

a. Review all available existing documents (As-Built Plans, reports, and others).

b. Determine member properties and weight.

c. Prepare complete PS&E construction contract packages in both English and Metric units for a construction contract (or contracts) as directed by the executed Task Orders. The plan sheets shall be electronically prepared using the Caltrans Division of Design’s format. As-built record drawings shall be utilized to the maximum extent possible.

RFQ Number 04A7553

19. Perform Constructability Review: This task involves reviews of plans, special provisions, and construction sequencing.

20. Consultant shall also have knowledge of coastal engineering and shall have the capability to develop reports which address permit concerns from California Coastal Commission such as wave run-up, sand supply, and littoral processes in the coastal area disturbed by highway construction activities.

D. Workplan Standards Guide Codes.

Task Orders are based on the Caltrans Workplan Standards Guide (WSG). The latest WSG is found in the Guide to Project Delivery Workplan Standards Guide, which is available from the Caltrans’ Publication Unit and on the Internet at https://dot.ca.gov/- /media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf The WSG references the Work Breakdown Structure (WBS) categories, which are potential and related work activities applicable to the Contract. The WGS references WBS categories which present the potential and related work activities that the Consultant may be required to perform. All revisions to the current version of the Work Breakdown Structure (WBS) shall apply during the life of the Contract.

The WBS activities below applicable to the Contract are limited to those set forth below:

160.10.25 Hydraulics/Hydrology Studies

165.10.35 Water Quality Studies

165.10.60 Location Hydraulic and Floodplain Study Report

160.15.05 Cost Estimates for Alternatives

185.20 Engineering Reports

185.20.10 Hydrology and Hydraulic Reports

230.30 Draft Drainage Plans

230.35.30 Hydraulic Specifications

230.40.15 Drainage Quantities and Estimates

240.60 Hydraulics Report

255.10.20 Updated Hydraulic PS&E

255.10.25 Updated Technical Reports (See Note 1)

270.66 Technical Support

285.10 Functional Support (See Note 2)

In addition to the listed WBS codes, the following general requirements shall also apply:

https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf

• Development of fish passage design package incorporated into the drainage PS&E.

Notes:

1. Hydrology and Hydraulic

2. For Change Orders

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

E. General Personnel Requirements.

1. Independent Contractor Status

For circumstances when Consultant personnel perform work at the Consultant home office or within Caltrans facilities alongside with Caltrans staff, all supervision and instructions shall be transmitted by the Consultant Task Order Manager. Consultant Task Order Manager shall exercise comprehensive control authority over its personnel in the manner and means to fulfill work performed without any involvement of the Caltrans Functional Manager or designee.

a. Consultant Personnel Relationship

i. Consultant is an independent contractor, and nothing contained in the Contract shall be construed as constituting any relationship with Caltrans other than that of project owner and independent contractor. In no event shall the relationship between Consultant personnel and Caltrans be construed as creating any relationship whatsoever between Caltrans and any of Consultant’s employees.

ii. Neither Consultant nor any of its employees is or shall be deemed to be an employee of Caltrans. The Consultant has the sole rights to terminate its personnel at-will without cause and demonstrate its right to control over the personnel.

b) Consultant Personnel - Supervision Control and Instructions

i. Consultant personnel shall operate as independent contractors whereby free to perform jobs in their own ways and means, using their own specific methodologies to achieve the desired task order services and deliverables.

ii. Consultant personnel are not required to follow Caltrans functional office protocols nor Caltrans specific instructions on how to perform its work.

RFQ Number 04A7553

iii. Except as otherwise specified in the Contract, Consultant Contract Manager has sole authority and responsibility to employ, discharge, terminate and otherwise control its employees and has complete and sole responsibility as a principal for its agents, for all subconsultants and for all other persons that Consultant or any subconsultant hires or engages to perform or assist in performing the Scope of Work.

iv. Consultant shall make all of its own business including personnel decisions and bear the risk for its decisions without any burden or liability placed upon the Department.

c) Skilled and Qualified Labor

i. The Consultant will provide professional services in an area of its specialization as an essential part of the purpose of the business enterprise, considered as skilled professionals and do not require training.

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

d) Consultant agrees that:

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

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

iii. Consultant shall provide its own tools, equipment and supplies, and Consultant shall not rely on Caltrans to provide such tools, equipment, and supplies. Notwithstanding the foregoing, Caltrans may, during the term of the Contract, allow Consultant to access selected items of equipment; provide non-employee User-Ids and related access to Caltrans computer systems to Consultant employees and subconsultants; and provide non-employee access cards and other such forms of identification to Consultant employees and subconsultants.

iv. Consultant shall advise its employees and subconsultants of the foregoing contract terms that apply to them, and Consultant advise such employees and subconsultants to report to Consultant any apparent or actual breaches. Consultant shall relay any such reports to Caltrans Contact Manager.

RFQ Number 04A7553

v. The Consultant’s personnel shall be capable, competent, and experienced in performing the types of work in the Contract with minimal instruction. Personnel skill level should match the specific job classifications, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2 and task complexity. The Consultant’s personnel shall be knowledgeable about, and comply with, all applicable Federal, State, and Local laws and regulations.

vi. The Consultant is required to submit a written request and obtain the Caltrans Contract Manager’s prior written approval for any substitutions, additions, alterations, or modifications to the Consultant’s originally proposed personnel and project organization, as depicted on the proposed Consultant’s Organization Chart or the Consultant’s cost proposals. The Consultant personnel shall have the same job classification, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2, not exceed the billing rate, and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to Caltrans.

The Consultant personnel shall have significant experience in the work involving a similar transportation facility for at a minimum two (2) previous projects, unless otherwise approved by the Caltrans Contract Manager.

vii. In responding to Caltrans’ Task Order and in consultation with the Caltrans Contract Manager, the Consultant Contract Manager shall identify the specific individuals proposed for the task and their job assignments. The Consultant shall provide documentation that proposed personnel meet the appropriate minimum qualifications as required by the Contract.

viii. The Consultant’s personnel shall typically be assigned to and remain on specific Caltrans projects/deliverables until completion and acceptance of the project/deliverables by Caltrans. Personnel assigned by the Consultant shall be available at the start of a Task Order and after acceptance of the project/deliverable by Caltrans.

ix. After the Caltrans Contract Manager’s approval of the Consultant’s personnel proposal and finalization of a Task Order, the Consultant may not add, delete or substitute personnel without the Caltrans Contract Manager’s prior written approval.

x. Resumes containing the qualifications and experience of the Consultant’s and Subconsultant’s personnel, which include existing and additional personnel, and copies of their minimum required certifications, shall be submitted to the Caltrans Contract Manager

RFQ Number 04A7553 for review before assignment on a project or Task Order. The resume and copies of current certification for each candidate shall be submitted to the Caltrans Contract Manager within one (1) week of receiving the request.

xi. The Caltrans Contract Manager may interview the Consultant’s personnel for the qualifications and experience. The Caltrans Contract Manager’s decision to select the Consultant’s personnel shall be binding to the Consultant and its Subconsultants. The Consultant shall provide adequate qualified personnel to be interviewed by the Caltrans Contract Manager within one (1) week of receiving the request.

xii. The Caltrans Contract Manager shall evaluate the adequacy (quality and quantity) of the work performed by the Consultant’s personnel, and determining whether the deliverables satisfy the acceptance tests and criteria. The Caltrans Contract Manager may reject any Consultant personnel who are determined by the Caltrans Contract Manager to lack the minimum qualifications. If at any time the level of performance is below expectations, the Caltrans Contract Manager may direct the Consultant to immediately remove Consultant personnel from the project specified in a Task Order and request that the Consultant provide another qualified person be assigned as needed. The Consultant personnel shall meet the qualifications required by the Contract for performance of the work as demonstrated by a resume and copies of current certifications submitted by the Consultant. Consultant personnel shall receive prior written approval from the Caltrans Contract Manager.

Invoices with charges for personnel not pre-approved by the Caltrans Contract Manager for work on the Contract and for each Task Order shall not be reimbursed.

xiii. The Consultant shall not remove or replace any existing personnel assigned to Task Orders without the prior written consent of the Caltrans Contract Manager. The removal or replacement of personnel without the written approval from the Caltrans Contract Manager shall be violation of the Contract and may result in termination of the Contract per Exhibit D, Section III, Termination of the Contract.

xiv. When assigned consultant personnel is on approved leave and required by the Caltrans Contract Manager, the Consultant Contract Manager shall provide a temporary substitute employee until the assigned employee returns to work from the approved leave. The Consultant personnel shall have the same job classification, as set

RFQ Number 04A7553 forth herein or in the Consultant’s Cost Proposal, Attachment 2, not exceed the billing rate and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to Caltrans. Consultant personnel shall receive prior written approval from the Caltrans Contract Manager to work on the Contract.

xv. Other project personnel who are not identified on the Consultant’s cost proposal, including, but not limited to, field and laboratory technicians, shall also satisfy appropriate minimum qualifications for assigned Task Orders. Caltrans’ prior written approval is required for all personnel not identified on the Consultant’s organization chart or the Consultant’s cost proposals before providing services under the Contract.

xvi. The Consultant is responsible to provide fully trained personnel to efficiently perform the work. The Consultant’s personnel may be asked to attend certain special training if recommended by the Caltrans Contract Manager. On such occasions, with the approval of the Caltrans Contract Manager, Caltrans shall compensate the Consultant for the Consultant’s actual cost for time spent in training only. All other costs, fees, and expenses associated with the training, including any transportation costs and training fees, shall be the Consultant’s responsibility. In addition, services to train the Caltrans personnel shall not be provided by the Consultant under the

xvii. In location(s) where the Consultant personnel is expected to work for extended period(s) of time, the Consultant shall either relocate the personnel or make every effort to hire local persons.

F. Hydraulics Engineering Personnel Requirements.

1. The Consultant and all subconsultants, shall throughout the life of the Contract, retain within its firm, a staff of people who shall be properly licensed and certified in accordance with the laws of the State of California and qualified to perform all aspects of the required work described in the Contract and all work specified in a Task Order along with any emergencies that may arise during the life of the Contract.

The Consultant shall be prepared to provide additional personnel, as necessary, during the period performance of the Contract to accommodate the work.

2. Consultant Contract Manager.

The Consultant Contract Manager shall coordinate work-related matters and Consultant’s operations under the Contract with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, , and/or Resident Engineer.

The Consultant Contract Manager shall have a minimum of five (5) years of responsible experience performing the duties as a contract manager for similar Hydraulics Engineering Services contracts. The Consultant Contract Manager shall be knowledgeable about all Caltrans policies and procedures. The Consultant Contract Manager shall be an employee of the Consultant.

The Consultant Contract Manager shall be a Registered Professional Engineer licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists at all times during the Contract period, to perform the tasks described in the Contract and in the Task Orders and shall have a documented minimum ten (10) years of demonstrated experience acceptable to Caltrans in Hydraulics Engineering Services work.

In addition to other specified responsibilities, the Consultant Contract Manager shall be responsible for all matters related to the Consultant’s personnel, Subconsultants, Hydraulics Engineering Services work, and Consultant’s and Sub-Consultants’ operations including, but not limited to, the following:

a. Ensuring that deliverables are clearly defined, acceptance tested and that criteria are specific, measurable, attainable, realistic and time-bound; and that the deliverables satisfy the acceptance tests and criteria.

b. Supervising, reviewing, monitoring, training, and directing the Consultant’s and Sub-Consultants’ personnel.

c. Assigning qualified personnel to complete the required Task Order work as specified on an “as-needed” basis in coordination with the Caltrans Contract Manager.

d. Administering personnel actions for Consultant personnel and ensuring appropriate actions taken for Subconsultant personnel.

e. Maintaining and submitting organized project files for record tracking and auditing.

f. Developing, organizing, facilitating, and attending scheduled coordination meetings, and preparation and distribution of meeting minutes.

g. Implementing and maintaining quality control procedures to manage conflicts, insure product accuracy, and identify critical reviews and milestones.

h. Assuring that all applicable safety measures are in place.

RFQ Number 04A7553

i. Providing invoices in a timely manner and providing monthly Contract expenditures.

j. Reviewing invoices for accuracy and completion before billing to Caltrans.

k. Managing Subconsultants.

l. Managing overall budget for Contract and provide report to the Caltrans

Contract Manager.

m. Monitoring and maintaining required DBE or DVBE involvement.

n. Ensuring compliance with the provisions in the Contract and all specific

Task Order requirements.

3. Consultant Task Order Manager.

For each Task Order, the Consultant shall provide a Consultant Task Order Manager to coordinate the Consultant Task Order operations with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager.

The Consultant Task Order Manager shall be accessible to the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, and/or Functional Manager at all times during normal Caltrans working hours that Task Order work is underway.

The Consultant Task Order Manager (who may be other than the Consultant Contract Manager) shall be assigned to conduct, or direct the conduct of, all work assigned under a single Task Order. The Consultant Task Order Manager shall be the primary contact for the assigned Task Order and be available as needed for communication with Caltrans.

The consultant Task Order Manager shall have a minimum of five (5) years of experience performing the duties of Task Order Manager for similar Hydraulics Engineering Services work. The consultant Task Order Manager shall be a Registered Professional Engineer licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists at all times during the contract period.

4. Consultant Personnel and Team Member Qualifications.

The Hydraulic Engineer shall be a registered Professional Engineer licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists at all times during the Contract period, and shall have a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in Hydraulics Engineering or related fields. Other project design professionals, such as Assistant Hydraulic Engineers, shall have, at a minimum, a Degree (Bachelors, Masters, or higher) in

RFQ Number 04A7553

Engineering from an ABET accredited institution (College or University) or possession of a valid Engineer-in-Training (EIT) certificate issued or accepted by the California State Board for Professional Engineers, Land Surveyors, and Geologists, and shall have a documented minimum three (3) years of demonstrated experience acceptable to Caltrans in Hydraulics Engineering and related fields.

The minimum years of demonstrated experience for these other project design professionals may be waived provided they are assigned tasks not covered by prevailing wage, overseen by a more experienced engineer, with a minimum three

(3) years of experience, and whose contract participation will be subject to review and approval by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager.

Depending on the work required under a specific Task Order, the Consultant’s responsible technical personnel shall possess one of the following licensing or degree requirements:

a. Registered Professional Engineer (RPE) licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors,…