03A3928_RFQ_NOTICE.pdf

December 16, 2024 RFQ Number 03A3928

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 03A3928

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

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

Intelligence (GenAI) Technology Use and Reporting added

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

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

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

Requirement added

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

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

Note: Questions concerning this Request for Qualifications (RFQ) must be submitted in writing to the attention of Lisa Pallesen at Lisa.Pallesen@dot.ca.gov. Questions must be received no later than seven (7) business days after the RFQ advertisement. Consultants contacting the District or Division directly seeking information about this RFQ will be disqualified from consideration in the selection process.

Proposers are advised that Caltrans has established a federally mandated overall annual DBE goal comprising both race neutral and race conscious elements to ensure equal participation of DBE groups specified in 49 CFR 26.5. In compliance with 49 CFR 26, Caltrans set a contract goal for DBEs participating in this solicitation expressed as a percentage of the total dollar value of the resultant Agreement. The DBE participation goal for this solicitation is twenty percent (20%). See section I.H. in this RFQ for requirements.

I. GENERAL INFORMATION

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

B. The estimated contract amount is $ 4,800,000.00 - $7,800,000.00.

mailto:Lisa.Pallesen@dot.ca.gov

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

D. Interviews will be held via WebEx on February 4, 2025.

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

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

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

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of March 10, 2024. The fee for profit shall be 10.5 percent, and the escalation shall be as follows:

Year Period Escalation

1 01/17/2025 - 01/31/2026 2.08% 2 02/01/2026 - 01/31/2027 4.17% 3 02/01/2027 - 01/31/2028 4.17% 4 02/01/2028 - 03/25/2028 4.17%

Notes:

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

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

G. The scheduled date to complete cost negotiations and submit final cost proposal is March 26, 2025.

H. Disadvantaged Business Enterprise Program

1. This solicitation and resultant Agreement is financed in whole or in part with federal funds and therefore subject to Title 49, Code of Federal Regulations, Part 26 (49 CFR 26) entitled "Participation by https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs." To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation. The required goal for DBE participation in this solicitation is not less than twenty percent (20%).

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

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

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

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

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

I. 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.

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

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

L. Pursuant to Executive Order (EO) N-6-22 issued March 4, 2022, persons identified in the list established by the US Department of the https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights

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

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

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

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

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

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

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

5. Failure to report GenAI to the State may void any resulting contract.

The State reserves its right to seek any and all relief it may be entitled to as a result of such non-disclosure.

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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

A. Conflicts of interest may occur due to direct or indirect financial or business interests in the work to be performed or in any real property acquired for such project. Conflicts of interest can include, but are not limited to, past, existing or planned activities or because of relationships with other persons or firms. If there is a conflict of interest, the proposed team, including both the prime consultants and 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 https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std1000.pdf https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std1000.pdf 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 electronic SOQ file to Sacramento.

1. The electronic submission of a single unprotected (i.e. not password protected) PDF file of the SOQ is required. The electronic submittal will be accepted until 10:00 a.m. on 01/17/2025. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

Send an email message to the Contract Analyst, Lisa Pallesen, at Lisa.Pallesen@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:Lisa.Pallesen@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Attachment 1

SCOPE OF WORK/DELIVERABLES

Roadway Design and related Project Development and Construction Services for Caltrans, North Region Division of Project Development, Office of Design, District 1

On-Call Contract

FOR ROADWAY DESIGN: (Roadway Design and related Project Development and Design Support Services during Construction)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Roadway Design and related Project Development and Construction Services on an “as-needed” basis to support the Department of Transportation (Caltrans), North Region Division of Project Development, Office of Design, District 1, 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; as well as providing analytical and technical support to the Caltrans stafff, on an “as-needed” basis to support the Department of Transportation (Caltrans), North Region Division of Project Development, Office of Design, District 1

The Contract shall be Task Order driven and shall have a three (3) year duration, with Project Development related tasks performed within the first 36 months and Design Support for Construction related tasks to continue through the remaining duration of the Contract. No project development related tasks will be assigned after the first 36 months of the Contract.

1. Exclusion of Work.

The following disciplines are excluded from the Contract:

a. Traffic Engineering - includes traffic forecasting, traffic modeling, traffic studies, and development of Traffic Management Plans. Except for analysis for Design Decision Document collision analysis.

b. Environmental Studies - includes Preparation of Draft and Final Environmental Document and all permit activities to environmental agencies.

c. Structural Engineering - includes new or retrofit design of bridge or major building facility structures.

d. Geotechnical Engineering - includes all geotechnical testing, analysis, studies and reports. Except geotechnical material testing needed for StormWater and NPDES permits

e. Material Testing - field testing of any material for construction material testing. Except geotechnical material testing needed for StormWater and NPDES permits.

f. Land Surveying.

g. Right of Way Engineering.

h. Water Quality. Except for any storm water requirements for mitigation.

i. Visual Impact Analysis.

j. Architecture.

k. Existing Design Support - The Consultant shall not provide support for any elements designed by other consultants.

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

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All design tasks including, but not limited to, reviewing Project Initiation Documents (PID) reviewing and completing Project Reports (PR), providing technical reports, completion of sections or entire plans for Plans Specifications and Estimates (PS&E) Constructability Reviews and comment resolution, or functional design, may be assigned as work under the Contract.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Del Norte, Humboldt, Mendocino, and Lake in California For the North Region Division of Project Development, Office of Design, District 1. The specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Caltrans, North Region Division of Project Development, Office of Design, District 1, projects to extend into another adjoining District 2 or 3 County line.

Certain California County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' District 1 outside of the boundary of Caltrans’

District1. 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, North Region Division of Project Development, Office of Design, District 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 Roadway Design and related Project Development and Construction Services primarily in the USA. Roadway Design and related Project Development and Construction Services may be required at international locations. The Consultant shall be capable of performing Roadway Design and related Project Development and Construction Services at international locations if needed. The Roadway Design and related Project Development and Construction Services work shall be performed at North Region Division of Project Development, Office of Design, District 1Office.

The Lask Change Grade Project (EA 01-0F820) is intended to be a CMGC project and outside the intent of thie contract and will be excluded from the Contract. If it is determined in the future that there is a need for professional services assistance for this project then it will be determined at that time if a new contract will be needed or TO will be appropriate.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Roadway Design and related Project Development and Construction Services within the geographical jurisdiction of the Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product. The Consultant shall assist Caltrans, North Region Division of Project Development, Office of Design, District 1, to perform preliminary engineering, prepare draft and final project reports, and produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package.

2. Provided in Attachment 1A is a list of proposed Caltrans projects; North Region Division of Project Development, Office of Design, District 1, 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 North Region Division of Project Development, Office of Design Program, District 1’s jurisdiction.

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

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

3. In the Contract is a list of proposed personnel classifications for which services are anticipated to be needed by Caltrans during the term of the Contract; however, this is not an exclusive list of the personnel classifications of Roadway Design and related Project Development and Construction 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.

Project ManagerProject EngineerAssistant Project EngineerLandscape Architect Engineering Technician Draftsman

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

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

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 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 work force is essential to the successful completion of Caltrans, North Region Division of Project Development, Office of Design, District 1,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 Roadway Design and related Project Development and Construction 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. If set forth in an authorized Task Order, the Consultant shall assist Caltrans, North

Region Division of Project Development, Office of Design, District 1, in reviewing the construction contractor’s Request for Information by performing independent modeling, analysis, and engineering studies during construction.

13. The Consultant shall assist Caltrans, North Region Division of Project Development, Office of Design, District 1, 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.

14. 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 English 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.

15. Perform Constructability Review: This task involves reviews of plans, special provisions, and construction sequencing. Review and approve plans and stage construction prepared by the construction contractor.)

16. The Consultant shall not provide details for construction contractor’s access and work areas, hauling and disposal methods, equipment, and other similar work items required solely for the construction contractor’s operations.

17. The Consultant shall be available to review and defend engineering calculations, application of engineering judgment, and operation of facilities constructed per the Consultant’s design in the event of claims or lawsuits arising out of the Consultant’s work connected with this project at the expense of the Consultant without further compensation.

18. The Consultant shall establish internal accounting methods and procedures acceptable to Caltrans for documenting and monitoring the Contract and individual Task Order costs.

19. The Consultant and Subconsultant personnel shall not meet, discuss, nor confer with the public, Caltrans personnel, Agency personnel, State personnel, Federal personnel or any person other than the Caltrans Contract Manager or Caltrans designee, and approved Consultant personnel. Any communications with any person, excluding the Caltrans Contract Manager or Caltrans designee and approved Consultant personnel, require prior written approval from the Caltrans Contract Manager.

20. When authorized by the Caltrans Contract Manager and required by a Task Order, the Consultant may establish direct contact for the purpose of obtaining information, expertise, and assistance in developing baseline data and resource inventories relative to the project OR assist with coordination to achieve compatibility with the concerns and requirements of Caltrans and other resource or regulatory agencies with, but not limited to: other consultants; other contractors; Federal, State, and Local resource and regulatory agencies; U.S.

Army Corps of Engineers; U.S. Fish and Wildlife Service; National Marine Fisheries Service; U.S. Forest Service; U.S. National Park Service; U.S.

Department Of The Interior Bureau of Land Management; Federal Highway Administration; California Department of Fish and Wildlife; California Fish and Game Commission; California Department of Parks and Recreation; California State Water Quality Control Boards; California State Water Resources Control Boards; California Regional Water Resources Control Boards; California Coastal Commission; Native American Heritage Commission; Regional Clearinghouse of the California Historical Resources Information System; Regional Water Quality Control Boards; other involved agencies; other agencies; institutions; researchers or groups; and others.

a. Caltrans shall provide prior written approval for, and may participate in, any and all contacts, intra-agency scoping meetings, or other meetings with resource or regulatory agencies to discuss the project, project impacts, project mitigation proposals, project mitigation, project compensation, project proposals. The Consultant shall maintain a record of all such contacts and shall transmit copies of these records to Caltrans, at a minimum, with the regular monthly progress reports.

b. The Consultant shall not commit Caltrans to any mitigation measures or mitigation compensation.

c. The Consultant shall not negotiate or make decisions in Caltrans' name.

Caltrans shall retain responsibility for initiating and managing all final consultation, both informal and formal, with other consultants; other contractors; Federal, State, and Local resource and regulatory agencies;

and other involved agencies, regarding regulatory, project, project impacts, project mitigation proposals, project mitigation, project compensation, project proposals, and any issues. The Consultant shall be available (within two (2) working day(s) written notice) to provide advice and to participate in such consultations as required in each Task Order, as directed by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, and at the request of Caltrans. Should specific permits or agreements be required, Caltrans may require the Consultant to prepare appropriate information.

21. The Caltrans Contract Manager shall decide the manner in which the coordination of individual matters is undertaken. At the Caltrans Contract Manager’s option in coordination with the Caltrans Task Order Manager, such coordination may be performed by the Consultant’s direct contact personnel, by the Consultant acting on behalf of Caltrans, or by Caltrans only. When coordination efforts require agreements, such agreements shall be obtained by Caltrans.

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 http://www.dot.ca.gov/hq/projmgmt/guidance.htm. 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 Perform Preliminary Engineering Studies and Draft Project Report

160.05 Updated Project Information

160.05.05 Approved PID Review

160.05.10 Geotechnical Information Review

160.05.15 Materials Information Review

160.05.20 Traffic Data and Forecasts Review

160.05.25 Geometrics Review

160.05.30 Project Scope Review

160.05.35 Project Cost Estimate Review

160.05.99 Other Project Information Products

160.10 Engineering Studies

160.10.10 Traffic Forecasts/Modeling

160.10.15 Geometric Plans for Project Alternatives

160.10.20 Value Analysis

160.10.25 Hydraulics/Hydrology Studies

160.10.30 Highway Planting Design Concepts

160.10.35 Traffic Operational Analysis

160.10.40 Updated Right of Way Data Sheet

160.10.45 Utility Locations Determined for Preliminary Engineering

160.10.50 Railroad Study

160.10.55 Multi-modal Study

160.10.60 Park and Ride Study

160.10.65 Right of Way Relinquishment and Vacation Study

http://www.dot.ca.gov/hq/projmgmt/guidance.htm

160.10.70 Traffic Studies

160.10.75 Updated Materials Information

160.10.80 Updated Geotechnical Information

160.10.85 Structures Advance Planning Study (APS) (See Note 1)

160.10.90 High Occupancy Vehicle Report

160.10.95 Updated Preliminary Transportation Management Plan

160.10.99 Other Engineering Studies

160.15 Draft Project Report

160.15.05 Cost Estimates for Alternatives

160.15.10 Fact Sheet for Exceptions to Design Standards

160.15.15 Approved Exceptions to Encroachment Policy

160.15.20 Draft Project Report

160.15.25 Draft Project Report Circulation Review and Approval

160.15.99 Other Draft Project Report Products

160.20 Engineering and Land Net Surveys

160.20.25 Existing Records

160.20.30 Land Net Surveys

160.20.35 Land Net Map

160.20.40 Right of Way Engineering Products

160.20.50 Control Surveys

160.20.55 Photogrammetric Maps and Products

160.20.60 Engineering Surveys

160.20.65 As-Built Centerline Surveys

160.20.70 Pavement Surveys

160.30 Environmental Study Request (ESR)

160.30.05 Maps for ESR

160.30.10 Surveys and Mapping for Environmental Studies

160.30.15 Property Access Rights for Environmental/Engineering Studies

160.40 NEPA Assignment

160.45 Base Maps and Plan Sheets for Project Initiation Documents 165 Perform Environmental Studies and Prepare Draft Environmental

Document (DED)

165.05 Environmental Scoping of Alternatives Identified for Study in PID

(Project Initiation Document)

165.05.05 Project Information Review

165.05.10 Public and Agency Scoping Process

165.05.15 Alternatives for Further Study

165.10 General Environmental Studies

165.10.20 Visual Impact Assessment and Scenic Resource Evaluation

165.10.35 Water Quality Studies

165.10.45 Summary of Geotechnical Report

165.10.60 Location Hydraulic and Floodplain Study Report

165.15.15 Resource Agency Permit Related Coordination

165.20.05.20 Field Survey

165.20.15.25 Phase II Report

165.20.20.05 Preliminary Area Of Potential Effects/Study Area Maps for

Architecture

165.20.25.05 Final Area Of Potential Effects/Study Area Maps

170 Permits, Agreements, and Route Adoptions during PA&ED

Component (Project Approval & Environmental Documentation)

170.05 Required Permits

170.10 Permits

170.10.05 U.S. Army Corps of Engineers Permit (404/10)

170.10.10 U.S. Forest Service PLACs

170.10.15 U.S. Coast Guard PLACs

170.10.20 Department Of Fish and Wildlife 1600 Agreement(s)/2080.1/2081

Permit(s)

170.10.25 Coastal Development Permit

170.10.30 Local Agency Concurrence/PLACs

170.10.40 Waste Discharge (NPDES) Permit(s)

170.10.45 U.S. Fish and Wildlife Service/National Marine Fisheries Service

Approval

170.10.50 Regional Water Quality Control Board 401 Permit

170.10.95 Other PLACs

170.15 Railroad Agreements

170.15.25 PUC Exhibits and Application

170.15.99 Other Railroad Agreement Products

170.20 Freeway Agreements

170.20.05 Draft Freeway Agreement

170.20.10 Draft Freeway Agreement Review

170.20.15 Final Freeway Agreement

170.20.20 Executed Freeway Agreement

170.20.99 Other Freeway Agreement Products

170.25 Agreement for Material Sites

170.30 Executed Maintenance Agreement

170.40 Route Adoptions

175 Circulate Draft Environmental Document and Select Preferred

Project Alternative

175.05 DED Circulation

175.05.99 Other DED Circulation Products

175.10 Public Hearing

175.10.05 Need for Public Hearing Determination

175.10.10 Public Hearing Logistics

175.10.15 Displays for Public Hearing

175.10.20 Second Notices of Public Hearing and Availability of DED

175.10.25 Map Display and Public Hearing Plan

175.10.30 Display Public Hearing Maps

175.10.35 Public Hearing

175.10.40 Record of Public Hearing

175.10.99 Other Public Hearing Products

175.15 Public Comment Responses and Correspondence

175.20 Project Preferred Alternative

180 Prepare and Approve Project Report and Final Environmental

Document

180.05 Project Report

180.05.05 Updated Draft Project Report

180.05.10 Approved Project Report

180.05.15 Updated Storm Water Data Report

180.05.99 Other Project Report Products

180.10 Final Environmental Document

180.10.05 Approved Final Environmental Document (FED)

180.10.05.05 Draft Final Environmental Document Review

180.10.05.10 Revised Draft Final Environmental Document

180.10.05.55 Floodplain Only Practicable Alternative Finding

180.15 Completed Environmental Document

180.20 NEPA Assignment

185 Base Maps and Plan Sheets for PS&E Development

185.05 Updated Project Information

185.05.05 Project Concept Review

185.05.10 Updated Project Information

185.05.99 Other Updated Project Information Products

185.10 Surveys and Photogrammetric Mapping for Design

185.10.50 Control Surveys

185.10.55 Photogrammetric Maps and Products

185.10.60 Engineering Surveys

185.10.65 As-Built Centerline Surveys

185.10.70 Pavement Surveys

185.15 Preliminary Design

185.15.05 Roadway and Miscellaneous Design

185.15.10 Proposed Geometrics Review

185.15.15 Requests for Exceptions to Design Standards

185.15.20 Value Analysis

185.15.99 Other Preliminary Design Products

185.20 Engineering Reports

185.20.05 Updated Traffic Data Analysis and Forecasts

185.20.10 Hydrology and Hydraulic Reports

185.20.15 Geotechnical Design Report (GDR)

185.20.20 Pavement Design Report

185.20.25 Materials Report

185.20.30 Soundwall Design Report

185.20.35 Updated Transportation Management Plan for Design Phase

185.20.40 Utility Locations Determined for Design

185.20.99 Other Engineering Report Products

185.25 Right of Way Requirements Determination

185.25.05 Project Review with Affected Agencies

185.25.10 Fee and Easement Requirements Determination

185.25.15 Right of Way Requirements Maps

185.25.20 Final Railroad Involvement Determination

185.25.25 Water Well Abandonment Needs Determination

185.25.30 Utility Conflict Maps

185.30 Structure Site Plans (See Note 1)

185.30.10 Site Plans for Bridges and Structures (See Note 1)

185.30.15 Site Plans for Retaining Walls and Non-standard Earth Retention

Systems (See Note 1)

185.30.20 Site Plans for Soundwalls on Retaining Systems or Structures (See

Note 1)

185.30.25 Site Plans for Pumping Plants (See Note 1)

185.30.30 Site Plans for Special-Design Culverts (See Note 1)

185.30.99 Other Structure Site Plan Products (See Note 1)

185.99 Other Base Map And Plan Sheet Products \

200 Utility Relocation

200.15 Approved Utility Relocation Plan

200.20 Utility Relocation Package

200.25 Utility Relocation Management

200.30 Utility Close Out

200.99 Other Utility Relocation Products

205 Permits and Agreements during PS&E Component \

205.05 Required Permits

205.10 Permits

205.10.05 U.S. Army Corps of Engineers Permit (404/10)

205.10.10 U.S. Forest Service PLACs

205.10.15 U.S. Coast Guard PLACs

205.10.20 Department of Fish and Game 1600 Agreement(s)/2080.1/2080

Permit(s)

205.10.25 Coastal Development Permit

205.10.30 Local Agency Concurrence/PLACs

205.10.40 Waste Discharge (NPDES) Permit(s)

205.10.45 U.S. Fish and Wildlife Service/National Marine Fisheries Service

Approval

205.10.50 Regional Water Quality Control Board 401 Permit

205.10.60 Updated ECR (Environmental Commitments Record)

205.10.95 Other PLACs

205.15 Railroad Agreements

205.15.05 Plan Approval

205.15.10 Special Provisions and Insurance Clauses

205.15.15 Service Contract for Railroad Services

205.15.20 Construction and Maintenance Agreement

205.15.25 PUC Exhibits and Application

205.15.99 Other Railroad Agreement Products

205.25 Agreement for Material Sites

205.30 Executed Maintenance Agreement

205.45 MOU from Tribal Employment Rights Office (TERO)

205.55 NEPA Assignment

230 Prepare Draft PS&E (Plans, Specifications, and Estimates)

230.05 Draft Roadway Plans

230.05.05 Title Sheet

230.05.10 Typical Cross Sections

230.05.15 Key Map and Line Index

230.05.20 Roadway Layouts

230.05.25 Profile and Superelevation Sheets

230.05.30 Construction Details

230.05.35 Contour Grading Plans

230.05.40 Summary of Quantities Sheets

230.05.45 Noise Barrier Plans

230.05.50 Retaining Wall Plans

230.05.55 Standard Plans Selection

230.05.60 Stage Construction and Detour Plans or Traffic Handling Plans

230.05.65 Water Pollution Control Plans

230.05.70 Engineering Reports

230.05.70.05 Hydrology and Hydraulic Reports

230.05.70.10 Products Required To Ready Site for Subsurface Exploration

230.05.70.15 Geotechnical Design Report (GDR)

230.05.70.20 Pavement Design Report

230.05.70.25 Materials Report

230.05.99 Other Draft Roadway Plan Products

230.10 Draft Highway Planting Plans

230.10.05 Highway Planting Plans

230.10.15 Plant List

230.10.20 Irrigation Plans

230.10.30 Irrigation Quantity Sheets

230.10.99 Other Draft Highway Planting Plan Products

230.15 Draft Traffic Plans

230.15.05 Signing and Pavement Delineation Plans

230.15.10 Construction Area Signs Plans

230.15.15 Traffic Electrical Plans

230.15.99 Other Draft Traffic Plan Products

230.20 Transportation Management Plan

230.25 Draft Utility Plans

230.25.05 New Facility Plans

230.25.10 Utility Relocation Plans

230.25.99 Other Draft Utility Plan Products

230.30 Draft Drainage Plans

230.35 Draft Specifications

230.35.05 Roadway Specifications

230.35.10 Highway Planting Specifications

230.35.15 Traffic Specifications

230.35.20 Electrical Specifications

230.35.25 Utility Specifications

230.35.30 Hydraulic Specifications

230.35.35 Water Pollution Control Specifications

230.35.40 Erosion Control Specifications

230.35.99 Other Draft Specification Products

230.40 Draft PS&E Quantities and Estimates

230.40.05 Roadway Quantities and Estimates

230.40.10 Highway Planting Quantities and Estimates

230.40.15 Drainage Quantities and Estimates

230.40.20 Traffic Quantities and Estimate

230.40.25 Electrical Quantities and Estimates

230.40.30 Utility Quantities and Estimate

230.40.35 Water Pollution Control Quantities and Estimates

230.40.40 Erosion Control Quantities and Estimates

230.40.99 Other Draft PS&E Quantities and Estimates Products

230.55 Structures Draft PS&E Incorporation

230.60 Updated Project Information for PS&E Package

230.60.05 Updated Storm Water Data Report (SWDR)

230.60.10 Other Reviews and Update of Project Information

230.90 NEPA Assignment

230.99 Other Draft PS&E Products

235 Mitigate Environmental Impacts and Clean up Hazardous Waste

235.05 Environmental Mitigation

235.05.20 Environmental Mitigation Right Of Way Work

240 Draft Structures PS&E (See Note 1)

240.50 Overall Draft Structures PS&E

240.60 Hydraulics Report

240.75 Draft General Plans

240.85 Draft Structure Plans

250 Final Structures PS&E Package (See Note 1)

250.50 Project Review

250.55 Final Structure Plans

250.60 Final Structure Special Provisions and Cost Estimate

250.75 Structure Resident Engineer Pending File

255 Circulate, Review, and Prepare Final District PS&E Package

255.05 Circulated & Reviewed Draft District PS&E Package

255.10 Updated PS&E Package

255.10.05 Updated Roadway PS&E

255.10.10 Updated Highway Planting PS&E

255.10.15 Updated Traffic PS&E

255.10.20 Updated Hydraulic PS&E

255.10.25 Updated Technical Reports

255.10.30 Updated Utility PS&E

255.10.35 Updated Electrical PS&E

255.10.99 Other Updated PS&E Products

255.15 Environmental Re-evaluation

255.20 Final District PS&E Package

255.20.05 Reviewed Plans for Drafting Standards Compliance

255.20.10 Final Structures Specifications and Estimate Incorporated into

Final District PS&E

255.20.15 Request For Funds

255.25 Geotechnical Information Handout

255.30 Materials Information Handout

255.35 Construction Staking Package and Control

255.35.10 Construction Staking Package

255.35.20 Project Control for Construction

255.40 Resident Engineer’s Pending File

255.45 NEPA Delegation

255.50 Secured Lease for Resident Engineer Office Space or Trailer

255.55 Contractor Outreach

255.65 Right of Way…