September 29, 2026 RFQ Number 59A1428

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 59A1428

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.

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 Water & Wastewater Project Development and Construction Design Support Services, District 59. 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 $3,600,000 - $5,850,000

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

D. Interviews will be held via WebEx on November 16, 2026.

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

mailto:Vanessa.Usanmaz@dot.ca.gov

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

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

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of December 28, 2026. The fee for profit shall be ten-point zero percent (10.0%), percent, and the escalation shall be as follows:

From To Escalation Term (yr)

10/29/2026 10/31/2027 1.71% 0 11/01/2027 10/31/2028 3.42% 1 11/01/2028 10/31/2029 3.42% 2 11/01/2029 10/31/2030 3.42% 3 11/01/2030 10/31/2031 3.42% 4 11/01/2031 10/31/2032 3.42% 5

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 January 8, 2027.

H. Disadvantaged Business Enterprise Program This solicitation is subject to Title 49, Code of Federal Regulations, Part 26 (49 CFR 26) entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs.” Disadvantaged Business Enterprise (DBE) participation goals have been waived for this solicitation. Although DBE goals have https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information been waived for this solicitation, Caltrans encourages the participation of DBEs, as defined in 49 CFR 26, in performing contracts financed in whole or in part with federal funds. Information about the Federal DBE Program is available on the United States Department of Transportation website.

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. On March 4, 2022, Governor Gavin Newsom issued Executive Order N-6-

22 (the EO) regarding Economic Sanctions against Russia and Russian entities and individuals. “Economic Sanctions” refers to sanctions imposed by the U.S. government in response to Russia’s actions in Ukraine, as well as any sanctions imposed under state law. The EO directs state agencies to terminate contracts with, and to refrain from entering any new contracts with, individuals or entities that are determined to be a target of Economic Sanctions. Accordingly, should the State determine Contractor is a target of Economic Sanctions or is conducting prohibited transactions with sanctioned individuals or entities, that shall be grounds for termination of this agreement. The State shall provide Contractor advance written notice of such termination, allowing Contractor at least 30 calendar days to provide a written response. Termination shall be at the sole discretion of the State.

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 https://www.fhwa.dot.gov/civilrights/programs/dbe/ https://www.fhwa.dot.gov/civilrights/programs/dbe/ https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-Russia-Ukraine-Executive-Order.pdf https://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-Russia-Ukraine-Executive-Order.pdf 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

Intelligence (GenAI) Technology Use and Reporting, effective February 20, 2025.

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

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

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

1) functionality of a State system,

2) risk to the State, or

3) Contract performance.

Note: For avoidance of doubt, the term “materially impacts” shall have 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 exists, it must identify and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the AE Contract Information website. Along with the description of the actual or potential conflicts of interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts. The list of conflicts, including conflicts that apply to individuals as well as firms, and the mitigation measures on the Disclosure of Potential Conflict of Interest Form must be submitted as a separate section in the Statement of Qualifications. Disclosure of information will not disqualify a proposed team from competing for a contract. The existence of actual or potential conflicts of interest will be used as a criterion to evaluate team availability during the evaluation and selection process. Caltrans reserves the right to terminate negotiations with the first selected firm and begin negotiations with the next selected firm or to cancel the procurement prior to execution if Caltrans learns that the selected team failed to disclose any actual or potential conflicts, which it knew or should have known about, or if the proposed team provided or omitted information on the disclosure form that results in the information being false or misleading.

C. After award, conflict of interest guidelines and policies shall continue to be monitored and enforced by the Caltrans Contract Manager. Additional information about Conflict-of-Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI. Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website (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 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information 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. Pacific Standard Time (PST) on 10/29/2026. 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.

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

mailto:Vanessa.Usanmaz@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Revised 04/26/2023

SCOPE OF WORK/DELIVERABLES

WATER & WASTEWATER PROJECT DEVELOPMENT AND

CONSTRUCTION DESIGN SUPPORT SERVICES

For Caltrans, District 59, Division of Engineering Services, Office of Electrical, Mechanical, Water, and Wastewater

On-Call Contract

Table of Contents

A. GENERAL PROJECT DESCRIPTION AND OVERVIEW OF SERVICES

1. Purpose of Work

2. Explanation of Work

3. Caltrans Project Development Team

4. Exclusion of Work

5. Location of Work

B. REQUIRED SERVICES – GENERAL PERFORMANCE

1. General Water and Wastewater Project Development Support Services

2. Public Hearing

3. Proposed Caltrans Projects

4. Emergency Projects

5. Partnering

6. Quality Control Plan

7. Constructability Reviews

8. Design Standards Decision Document

C. REQUIRED SERVICES – WATER SYSTEM POJECT REPORT AND PS&E

1. General Documentation Review and Coordination

2. Engineering Studies and Technical Analyses - Project Report Support

3. Test Well Drilling and Water Sampling

4. Water Design Development - PS&E Preparation

5. Caltrans Supplied Water related Data as available

D. REQUIRED SERVICES – WASTEWATER PROJECT REPORT AND PS&E

1. General Documentation Review and Coordination

2. Engineering Studies and Technical Analyses - Project Report Support

3. Wastewater System Design Development - PS&E Preparation

RFQ Number 59A1428 Water and Wastewater - Attachment 1

4. Caltrans Supplied Wastewater Related Data

E. REQUIRED SERVICES – ENGINEERING SERVICES FOR WATER AND WASTEWATER

SYSTEMS

1. Existing Systems Evaluation and Deficiency Assessment

2. Basis of Design and Design Criteria Development

3. Equipment Selection and System Layout

4. Piping, Chemical Systems, and Technical Documentation

F. REQUIRED SERVICES – DESIGN SUPPORT DURING ADVERTISEMENT AND

CONSTRUCTION PHASE

1. Bidding Phase Support (WBS 260)

2. Construction Design Support (WBS 270)

3. As-Built (Record) Drawings Preparation (WBS 295)

G. REQUIRED SERVICES - WORK BREAKDOWN STRUCTURE ACTIVITIES

H. GENERAL REQUIREMENTS - PERSONNEL

1. Independent Contractor Status

2. Consultant Work Hours and Availability

3. Assigned Personnel on Task Orders

4. Stable Workforce

5. Safety

6. Other Personnel Requirements

7. Confidentiality and Nondisclosure Agreement

I. NON-ARCHITECTURAL ENGINEERING INCIDENTAL SERVICES

1. Non-Architectural and Engineering (A&E) services

2. Training Services

3. Incidental Public Relations Services

J. CONSULTANT PERSONNEL REQUIREMENTS

1. Qualifications for Key Personnel:

2. Consultant Contract Manager

3. Consultant Task Order Manager

4. Consultant Responsible Person

5. Consultant Civil Engineer (Licensed)

6. Consultant Task Order Lead person

7. Consultant Civil Design Engineer - (Unlicensed)

8. Consultant Drafting Technician

9. Consultant Water Specialist and Wastewater Specialist

11. Consultant Hydrogeologist (Licensed)

RFQ Number 59A1428

K. COORDINATION

L. GENERAL REQUIREMENTS FOR DELIVERABLES AND DATA

1. Ownership of Proprietary Property

2. Format for Unprotected and Modifiable Electronic File Transfers

3. Computer Aided Drafting & Design Software Requirements

4. Submittals

5. Project Files

M. REVIEW AND ACCEPTANCE PROCESS

1. General

2. Reviews of Deliverables

3. Acceptance of Deliverables

4. Rejection of Deliverables

N. GENERAL REQUIREMENTS – EQUIPMENT AND APPURTENANCES

1. General

2. Office Equipment and Supplies (Consultant’s Office):

3. Field Equipment and Supplies:

4. Office Equipment and Supplies (Use of Caltrans Office)

O. GENERAL REQUIREMENTS – STANDARDS

1. Federal, State, and Local Requirements

2. Prevailing Wages

3. Caltrans Standards

4. Manuals

5. Policies / Directives

6. Guidance

P. GENERAL MATERIALS AND ORIENTATION PROVIDED BY CALTRANS

1. General Materials

2. Permits to Enter Property

3. Orientation

Q. CONFLICT OF INTEREST

1. General Requirements

2. Project Related

3. Personnel Related

4. Financial or Business Relationship

5. Relationship with other Transportation or Regulatory Agencies

6. Subsequent Contract for Later Phase of Same Project

7. Conflict of Interest Examples

RFQ Number 59A1428

List of Projects

SCOPE OF WORK and DELIVERABLES

WATER & WASTEWATER PROJECT DEVELOPMENT and

CONSTRUCTION DESIGN SUPPORT SERVICES

For Caltrans, District 59, Division of Engineering Services Office of Electrical, Mechanical, Water, and Wastewater, On-Call Contract

A. GENERAL PROJECT DESCRIPTION AND OVERVIEW OF SERVICES

1. Purpose of Work.

a) The Consultant shall perform consultation, research, professional and technical engineering studies required for Water and Wastewater systems related project development services including field sampling, reports, and construction design support. Work will include, performing engineering studies producing project development and deliverables to support the preparation of the Project Report (or Project Report equivalents), sludge quality/ quantity report, water quality analysis, drinking water well investigation including geotechnical drilling test well, well pump testing and well quality analysis, for the development of the Project Engineer Report. Consultant shall develop design products for water and wastewater permit related work, Plans Specifications & Estimate (PS&E), bridge utility design, including construction design support services. Water and Wastewater systems would be required for facilities located at safety roadside rest areas (SRRA), maintenance stations (MS), commercial vehicle enforcement facilities (CVEF), and other State transportation facilities.

b) Design Criteria The Consultant shall perform all work in accordance with the Caltrans Division of Engineering Services (DES) Water and Wastewater Engineering Manual, applicable Caltrans manuals and standards, related guidance documents, and all applicable State and Federal laws and regulations. All work shall comply with applicable statutes, laws, regulations, and policies pertaining to the following:

i. The National Environmental Policy Act (“NEPA”),

ii. The California Environmental Quality Act (“CEQA”),

iii. Title 24 of California Code of Regulations,

iv. Compliance with “Water and Wastewater Related Design Criteria and

Code References” listed under “GENERAL REQUIREMENTS – STANDARDS”, herein.

c) Capital Project Delivery Phase:

The Consultant shall perform professional and technical engineering studies required for project development and delivery support services limited to

RFQ Number 59A1428 performing A&E Services on the State Highway System (SHS), including Maintenance facilities, in the Phase 0 - Project Approval and Environmental Document (PA&ED), Phase 1 - Plans, Specifications, and Estimates (PS&E), and Phase 3 – Specifically for Construction Design Support. See Section F. – “Required Services – Design Support During Construction”. If requested by a project’s resident engineer and the Caltrans Contract Manager, and as included in a Task Order, the Consultant shall be available with five (5) days notice to conduct periodic field observations to verify the Engineer of Record’s design intent.

d) Architectural and Engineering Services:

This Agreement is for Architectural and Engineering (“A&E”) services, as described in California Government Code Sections 4525, et seq., and California Code of Regulations, Title 21, Chapter 12, Article 1, section 1520.1, except that non-A&E incidental and ancillary services are permitted if the cumulative value of all such non-A&E services do not exceed 15% of the total expenditures under this Agreement. Non- A&E incidental services are further addressed in Section D, Non- Architectural and Engineering (“A&E”) Services.

2. Explanation of Work.

a) The Caltrans Contract Manager assigned to this Agreement (“Caltrans Contract Manager”) shall assign specific work to the Consultant through the issuance of task orders describing in detail the services with associated schedule to be performed under this Agreement (“Task Order(s)”). Task Order development and execution shall be governed by the provisions set forth in Exhibit A - “Scope of Work and Deliverables”, subsection 2. - “Task Order” of this Agreement. The Consultant shall only perform work that is assigned in an authorized Task Order. This Agreement does not guarantee that a Task Order shall be issued.

b) Task Orders shall be executed within the first 36 months and design support for construction related tasks as described in Section F. 2. – “Construction Design Support (WBS 270)” to continue through the remaining duration of the Agreement. No project development related tasks will be assigned after the first 36 months of the Agreement.

c) If applicable, when a subsequent agreement for the same or similar scope of work is executed within three (3) months prior to the termination of this Agreement, no additional Task Orders shall be executed under this Agreement upon the effective date of the subsequent agreement.

d) The Consultant for the Agreement shall perform the services above after the contract authority for Contract 59A1152 is exhausted or no more than two (2) months prior to expiration of Contract 59A1152 (expected sunset date: January 2, 2027), whichever occurs sooner. The Consultant shall plan accordingly to meet the timing of and the volume of workload needs.

3. Caltrans Project Development Team

a) The Caltrans Project Development Team (PDT) consists of subject matter experts in various functional units directly involved with the implementation of a transportation project. The PDT utilizes a systematic, interdisciplinary approach which will ensure the integrated use of project development guides, social sciences and the environmental design arts in planning and in decision making which may have an impact on the transportation project.

b) Caltrans employs a formal interdisciplinary PDT approach, bringing together various disciplines to collaboratively plan, develop, and evaluate project alternatives. The PDT supports the Caltrans project manager by providing guidance, offering recommendations to both the project manager and district management, and helping implement the project work plan. Team members actively participate in key meetings, public hearings, and community engagement efforts. The PDT is also responsible for conducting studies assigned to Caltrans and for gathering and maintaining data throughout the project development process.

c) Project development services should be developed using Task Orders that are consistent with the scope of work described in this Agreement and should be based on consultations and input from Caltrans PDT subject matter experts and not be developed in a vacuum.

d) Consultant Role and Involvement in PDT:

i. As the design engineer, the Consultant shall function as an integral technical member of Caltrans PDT. The Consultant shall provide direct technical support to the Caltrans Task Order Manager, including the preparation of engineering analyses, development and evaluation of alternatives, and production of design deliverables necessary to support and inform PDT decision-making throughout all phases of project development.

ii. The Consultant shall participate in PDT meetings, provide technical input regarding feasibility, cost, constructability, and environmental considerations, and coordinate with Caltrans functional units to ensure that all design products conform to applicable Caltrans standards, policies, procedures, and project requirements.

iii. Caltrans shall retain overall leadership of the PDT and sole authority for final decision-making. The Consultant’s design services and technical products shall provide the analytical and engineering basis upon which the PDT evaluates alternatives, resolves technical issues, and advances the project from planning and development through PS&E.

iv. While the Consultant Design Engineer shall be considered part of the PDT for purposes of coordination and collaboration, the Consultant shall at all times

RFQ Number 59A1428 remain an independent contractor operating under this Agreement. Nothing herein shall be construed to create an employer-employee relationship between Caltrans and the Consultant or its personnel.

4. Exclusion of Work.

The following activities will be performed by others and are excluded from this Agreement. The Consultant must consider these excluded activities in the project schedules to be submitted to Caltrans for approval. Consultant further agrees to provide the necessary information in a timely manner to facilitate the successful completion of the excluded tasks listed below:

a) The following contract and task order(s) are excluded from this Agreement until the task order(s) are closed and/or the contract authority is exhausted:

Existing Contract Number.

Open Task Order No.:

Location:

Co-Route-Post Mile:

Project Description

59A1152 115201 08-RIV-010-

71.8/72.4

• Cactus City SRRA Replacement

115202 (closed)

01-MEN-101-

Various

• Moss Cove, Irvine Lodge, Empire Camp Safety Roadside Rest Area (SRRA), Electrical System Upgrades/ Engineering studies

115203 (closed)

05-SLO-L5714 • District 5 Maintenance Station Relocation: Water Well Assessment

115204 07-LA-105-14.28 • D7 Dewatering Wells Upgrade 115205 (closed)

05-SLO-L5714 • District 5 Maintenance Station Relocation: Water Well Assessment

115206 02-TEH-05-

33.3/34.7

• Herbert Miles SRRA, Water Wells Video Surveys

115207 08-SBD-040-

27.9/28.8

• SB40 Upgrade Safety Roadside Rest Area (Desert Oasis)

b) The following related project development services are performed by others and excluded from this Agreement:

i. Environmental studies and documentation, environmental permitting preparation, biological surveys, cultural resource studies, or hazardous materials investigations are excluded.

ii. Architecture and Structural Engineering - includes new or retrofit design of bridge or major building facility structures.

iii. Geotechnical Engineering - includes all geotechnical testing, investigations, analysis, studies and reports

iv. Drilling for production drinking water well is excluded.

v. All remedial activities, including leach field restoration and cleaning, land restoration, conservation, mitigation, preservation, reconstruction, implementation, excavation, transporting or deployment of wastewater material, are strictly prohibited and under no circumstance shall this Agreement be used as a mechanism for compensation, cost recovery, or invoicing for wastewater remediation activities.

vi. All non A&E activities for constructing water well and wastewater systems, associated devices, driveways, and appurtenances are prohibited including, but not limited to: drilling, excavations, concrete vault or minor structure, backfill activities outlet structures, including decommissioning and/or demolishing of existing water wells and wastewater systems.

vii. Construction management including quality control and safety reviews, and material testing for the purpose of ensuring construction contractors’ and its subcontractors’ quality of work performance is in compliance with the requirements of the project plans, standard specifications, and construction project standard special provisions with the end goal of Construction project contract acceptance is prohibited.

viii. Land Surveying or right-of-way engineering services are excluded.

ix. Hazardous waste site assessment and materials investigations

x. Value Analysis and value engineering.

xi. Long-term water quality monitoring, compliance sampling, or laboratory testing in the construction phase or after the construction phase is excluded

c) The following additional activities are excluded from this Agreement:

i. The Consultant shall not perform work on project(s) in the Project

Initiation Documents (PID) phase or K-Phase and shall not be reimbursed for any work performed during these phases or any project planning activities.

i. Consultant is prohibited from providing instructional training as an outcome of or in reference to the required services and deliverables herein nor participate in instructional workshop training.

ii. Consultant shall coordinate with Caltrans Contract Manager for all printing service needs. Pursuant to Government Code Section 14850 and State Contracting Manual, Volume 1, Section 3.21 mandate that all printing services, including print service requests within this Agreement, must be performed by the Office of State Publishing (OSP) or the California Prison Industry Authority (CALPIA), unless completed by a Caltrans Reprographics Unit.

d) Information Technology related activities excluded.

i. Information Technology (IT) related activities to be excluded from this

Agreement are defined 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, including development and or maintenance of Webpage.

ii. Task Orders incorporating elements of permissible IT exceptions shall be in compliance with the data governance requirements and practices defined in the following Caltrans IT webpage:

https://dot.ca.gov/programs/ctdata.

iii. For Task Orders that require elements of IT services, Caltrans Contract Manager shall email draft Task Order to “it.certification@dot.ca.gov” and have the Caltrans HQ IT Certification Branch review the draft Task Order and if applicable, determine the classification of an IT service acquisition for compliance with Caltrans IT policies and requirements prior to Task Order execution.

https://dot.ca.gov/programs/ctdata mailto:it.certification@dot.ca.gov https://it.onramp.dot.ca.gov/it-certification-branch

5. Location of Work.

a) The work shall be performed for Water and Wastewater project services for the Caltrans Division of Engineering Services, Office of Electrical, Mechanical, Water, and Wastewater, District 59, in compliance with state and federal laws and requirements, as described herein, Attachment 1, (“Scope of Work” or “SOW”), to improve the State transportation system. The specific location of the work to be performed shall be identified in each Task Order. Work could potentially occur in any district of Caltrans and county of California.

B. REQUIRED SERVICES – GENERAL PERFORMANCE

1. General Water and Wastewater Project Development Support Services

a) The Consultant should anticipate performing a broad range of tasks related to Water and Wastewater project development support services. The Consultant shall possess the necessary expertise, capabilities, and equipment required to execute the Scope of Work outlined in this Agreement.

b) The scope and scale of potential project services may vary and could include the development and design of water and wastewater systems at facilities located at SRRAs, MSs, CVEFs, and other State transportation facilities projects to support the District’s project delivery needs for the State transportation system. Each Task Order will define the specific scope of work, project location and limits, purpose, expected outcomes, deliverables, period of performance, and project schedule.

c) Under an authorized Task Order, the Consultant shall provide Caltrans with water and wastewater design and project development support services in accordance with the Scope of Work and within the geographical area defined in the “Location of Work” section of this Agreement. The Consultant shall furnish all necessary personnel, materials, transportation, lodging, instrumentation, and specialized facilities and equipment required to meet the needs of all relevant agencies and ensure compliance with all applicable federal, state, and local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance criteria, and guidelines relevant to the Consultant’s services and deliverables.

d) The Consultant shall commence the required work within two (2) working days following receipt of a fully executed Task Order and a Notice to Proceed (NTP) issued by the Caltrans Contract Manager to the Consultant Contract Manager.

Certain assignments may require Consultant personnel to mobilize within 24 hours of notification. Once initiated, work shall be carried out diligently and continuously until all required tasks are completed to the satisfaction of the Caltrans Contract Manager or the designated Task Order Manager.

RFQ Number 59A1428

e) The Consultant Contract Manager, Task Order Manager, and designated Key

Personnel shall remain accessible to the Caltrans Contract Manager at all times during regular Caltrans business hours, and outside of normal hours as necessary, at the discretion of the Caltrans Contract Manager.

2. Public Hearing

a) For all public hearings, the Consultant will assist Caltrans contracted A&E

Environmental Consultant, or Caltrans Districts Environmental Planning functional unit who serves as the lead. Public hearings as defined in the Caltrans Standard Environmental Reference (SER) refer to formal opportunities for public participation in the project development and environmental process. These public hearings are generally held during early and mid-PA&ED stages of project development to introduce the project, to share and shape project alternatives, gather community input, address potential impacts, and refine project decisions.

b) Commensurate with the magnitude and complexity of the Task Order project, additional public hearings may be required by the Caltrans Task Order Manager.

The Consultant shall support public hearings that are typically conducted during the early and mid-phases of the PA&ED stage.

i. Project Initiation / Early PA&ED:

Public hearings may occur shortly after initiation of environmental studies to introduce the project to the public, present the purpose and need, describe preliminary constraints, and gather community concerns and input that may influence the development of project alternatives.

ii. Project Initiation / Mid PA&ED:

Additional public hearings may be held at mid-PA&ED to present design concepts, preliminary engineering, environmental findings, and the range of alternatives under consideration. These mid-stage workshops provide an opportunity for the public to comment on potential impacts, mitigation strategies, and alternative refinements prior to circulation of the Draft Environmental Document.

c) Consultant shall assist Caltrans contracted A&E Environmental Consultant, or

Caltrans Environmental Planning functional unit who serves as the lead, in coordination with the Caltrans Task Order Manager and other Caltrans PDT members. As directed by the Task Order, the Consultant shall provide technical and logistical support for these public hearings, including preparation of engineering exhibits, graphics, and informational materials; attendance at public meetings; and availability of technical staff to respond to engineering-related questions under Caltrans’ direction. The Consultant shall ensure all materials conform to Caltrans standards, reflect current engineering and environmental information, and support

RFQ Number 59A1428

Environmental Planning’s responsibilities for public involvement under NEPA and

CEQA.

d) The Consultant will assist Caltrans (and/or it’s A&E Environmental Consultant) to hold additional workshops as needed. Consultant design engineers may meet in the PS&E phase with property owners, environmental groups, city/county officials, agencies that issue permits (environmental or other permit), to work with them to finalize project design such as highway access location details, local road realignment details, and finalize design details for water and wastewater improvements and area relinquishments.

e) All public-facing commitments and project statements remain the responsibility of Caltrans, with the Consultant acting in a technical support capacity.

3. Proposed Caltrans Projects

a) Provided in Attachment 1A is a list of proposed Caltrans, District 59 projects for delivery. This list is not exclusive, however, and it does not constitute a commitment that the proposed project delivery will be initiated or completed, or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of Districts project delivery that are within the geographical jurisdiction of this Agreement set forth in “Location of Work” Section.

b) Caltrans intends to utilize this Agreement to complete a specific piece of work as long as it is located within the geographical jurisdiction of this Agreement set forth in the “Location of Work” for each of the project development delivery services listed in this Agreement 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 agreement (or agreements) that involves a specific district project listed in this Agreement and includes part of the work contained in this Agreement.

Caltrans reserves the right to procure Architectural and Engineering (A&E) services involving the listed district projects or unlisted district projects (within the geographical jurisdiction of this Agreement 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 this Agreement or the cost to complete the specific project exceeds the dollar balance remaining in the Agreement 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.

c) Should a project-specific agreement be procured under these provisions, the parties mutually agree that, in accordance with Exhibit D, Section III, termination of this Agreement, Caltrans shall terminate for convenience the portion of the Agreement that includes the common scope of work identified in the project-specific

RFQ Number 59A1428 agreement. Such partial termination for convenience shall be processed by amendment to this Agreement. Unless otherwise required by law, regulation, or Caltrans policy or procedure, the Consultant may compete for these project-specific Agreements.

4. Emergency Projects

At the sole discretion of Caltrans, Consultant may be required to provide the required services on safety projects, emergency projects, Emergency 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 Agreement set forth in “Location of Work” Section. However, the dollar value of the services not listed in the Agreement shall not exceed 15% of the total value of services that are listed and performed in the Agreement.

5. Partnering

Partnering is a way of conducting business in which both Consultant and Caltrans make commitments to achieve mutual goals.

a) Consultant and Caltrans’ Contract Managers shall schedule a kick-off partnering meeting; set expectations, roles and goals; establish the project-specific partnering process; develop risk/opportunity management strategies; monthly invoice processing and get buy-in and commitment from the Caltrans PDT.

b) Consultant shall partner with all parties and stakeholders to establish and maintain cooperative communication channels and mutually resolve conflicts at the lowest responsible level. Consultant may participate in dispute resolution plan to establish a common understanding of the team procedures and process to resolve disputes most efficiently and effectively.

6. Quality Control Plan

a) Prior to commencing work, the Consultant shall prepare the quality control plan identifying the minimum standard of work quality and obtain approval from the Caltrans Contract Manager. The quality control plan shall be applicable to all Task Orders during the entire time the work is being performed under the Agreement. The Consultant shall complete the quality control plan and certify at the completion of work that all measures contained therein were satisfied.

Caltrans shall perform quality assurance on the quality control plan to ensure that quality control was satisfied.

b) The Consultant shall have an established process whereby Quality Assurance/Quality Control (QA/QC) processes are incorporated and applied to all Task Order activities and deliverables and shall include the following:

i. All Task Order deliverables are reviewed for accuracy, completeness, and readability before submittal to Caltrans.

ii. Calculations and Task Order deliverables in whole or in part are independently checked, corrected, and re-checked.

iii. All job-related correspondence and memoranda are routed and received by affected persons and then filed in the appropriate Task Order file.

iv. Task Order activities are routinely verified for accuracy and completeness, such that any discovered deficiencies do not become systemic or affect the result of a Task Order deliverable.

c) The Consultant shall provide an outline of their quality control plan before a specific task begins and shall identify critical quality control reviews within each Task Order. The Caltrans Contract Manager shall periodically request evidence that the QA/QC plan is functioning.

d) Consultant developed and revised statewide guidance, policies, and procedures, specification language, project documents, models, tools, research, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, Task Order deliverables, backup documents, and associated support activities required by this Agreement submitted to the Caltrans Contract Manager for review shall be marked clearly as being fully checked or unchecked, and that the preparation of the material followed the quality control plan established for the work.

e) Caltrans review of Task Order deliverables shall not be construed as quality assurance on Consultant’s work. Pursuant to the “Review and Acceptance Process” described herein, reviews by Caltrans do NOT include detailed review or checking of major components, quantitative calculations, related details, or accuracy of information. The responsibility for accuracy and completeness of such items remains solely that of the Consultant.

f) The QA/QC plan shall contain provisions for the development of appropriate

“checklists” to maintain product quality and control. These “checklists” shall be delivered to the Caltrans Contract Manager with the QA/QC plan. The Consultant shall update these documents when directed by the Caltrans Contract Manager. Within thirty (30) calendar days of the Notice to Proceed (NTP), the Consultant shall submit to the Caltrans Contract Manager or Caltrans designee a job specific QA/QC plan and staffing plan consistent with the executed Task Order

g) The Caltrans Contract Manager shall be the final decision maker to address all questions which may arise as to the quality or acceptability of Task Order deliverables furnished and work performed for this Agreement.

h) Consultant must follow the checking process map from Water and Wastewater branch and coordinate with the regulatory agencies to obtain the necessary permits to complete application. Consultant shall prepare Signature Authorization form as part of the process.

7. Constructability Reviews

a) The Consultant shall conduct constructability reviews to enhance project quality and overall constructability, with the objective of reducing construction contract change orders and minimizing construction delay claims. These reviews also promote improved communication between construction and other project team members, ensure that necessary field reviews are performed, and help minimize plan revisions during the final stages of design.

b) During the PA&ED phase, the constructability reviews shall confirm that all project alternatives, including the proposed preferred alternative, are feasible based on the available level of design detail. This review is particularly critical when consulting with environmental permitting agencies, which may impose construction windows or specific mitigation requirements. The review shall include an assessment of the proposed work plan, schedule, environmental constraints, and potential construction impacts.

c) The Consultant’s constructability reviews CR shall serve as a validation process to ensure that the plans, specifications, and estimates clearly define a project that is both biddable and buildable by a qualified contractor. The constructability reviews process is iterative and interdisciplinary, supporting continuous improvement of project quality throughout development.

8. Design Standards Decision Document

a) Based on the Task Order complexity, project challenges and as required, Consultant shall prepare and document any exceptions to the Fact Sheet for Advisory and Mandatory Design Exceptions to Caltrans Design Standards.

b) All projects shall strive to incorporate design criteria established by the United States Green Building Council (USGBC) for Leadership in Energy and Environmental Design (LEED) to achieve LEED Silver, or greater, rating.

c) The Consultant shall identify all proposed nonstandard design features and secure formal written approval for such deviations during the engineering design phases.

For any deviation that significantly impacts the project's core concept or cost estimate, the Consultant must submit a detailed Design Exception Report justifying the variance; this approval must be finalized before proceeding to subsequent development stages to ensure project feasibility and cost estimating accuracy.

RFQ Number 59A1428

d) Consultant Task Order Manager shall coordinate any deferrals, and ensure they are documented and approved by the appropriate Caltrans approval authority for design deviations consistent with the current Design Delegation Agreement between the Caltrans Division of Engineering Services, Office of Electrical, Mechanical, Water, and Wastewater and the Caltrans District Director

C. REQUIRED SERVICES – WATER SYSTEM POJECT REPORT and PS&E

1. General Documentation Review and Coordination

a) The Consultant shall collect all relevant documentation such as as-builts, geotechnical data, existing groundwater conditions, for the Task Order. Services include preparing and maintaining a task-specific schedule aligned with Caltrans milestones; coordinating with Caltrans PDT, regulatory agencies, and stakeholders;

attending meetings; preparing meeting summaries; and implementing quality control and quality assurance procedures. Coordination shall be performed throughout all authorized phases of work.

b) Potable water is defined as water that is safe for human consumption and suitable for and personal hygiene, and that meets all applicable public health and regulatory standards. The Consultant shall develop potable water system improvements based on a thorough understanding of existing water supply conditions and operational risks. This includes evaluating local groundwater levels and water quality, identifying potential threats to water supply reliability, reviewing well construction details such as age, depth, condition, and pump characteristics, and assessing system maintenance, monitoring, testing, and treatment needs.