04A7414_RFP_Package.pdf

<04A7414> <April 3, 2026> <Page 1>

CALIFORNIA STATE TRANSPORTATION AGENCY GAVIN NEWSOM, GOVERNOR

California Department of Transportation

ADMINISTRATION

DIVISION OF PROCUREMENT AND CONTRACTS

1727 30TH STREET, MS 65

SACRAMENTO, CA 95816-7006

PHONE (916) 227-6000

TTY 711

https://dot.ca.gov/programs/procurement-and-contracts/

April 3, 2026 Request for Proposal

Notice to Prospective Proposers RFP Number 04A7414

You are invited to review and respond to this Request for Proposal (RFP) Number 04A7414, titled North Bay Coastal Mitigation Establishment Project. In submitting your proposal, you shall comply with the instructions found herein. In addition to those programs and preferences that are specified in this solicitation, Prospective Contractors are encouraged to consider programs and preferences that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, and other businesses covered by State programs and preferences.

As required by Executive Order S-02-06, the California Department of Transportation (Caltrans) is committed to meeting the State’s 25 percent (25%) Small Business (SB) participation goal. Certified SBs, Micro Businesses (MB) are encouraged to submit bids. See Section D, Special Programs, Item 1, in this RFP for requirements.

The Department of Transportation (Caltrans) is committed to meeting the State’s 25% Small Business participation goal, as required by Governor Executive Order S-02-06 and want to encourage Certified Small Businesses (SB), Microbusinesses (MB), and any Contractors willing to commit to subcontracting a minimum of 25% of their net bid price to certified SB or MB to submit proposals.

A Disabled Veteran Business Enterprise (DVBE) participation is not required, but DVBE participation is encouraged, and a DVBE incentive may apply to this RFP. See Section D, Special Programs, Item 1, in this RFP for requirements.

Note that all Agreements entered into with Caltrans will include, by reference, General Terms and Conditions (GTC 02/2025) and Contract Certification Clauses (CCC 04/2017) that may be viewed and downloaded at Internet site https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services- Resources-List-Folder/Standard-Contract-Language. Page one must be signed and submitted prior to the award of the Agreement.

https://dot.ca.gov/programs/procurement-and-contracts/ https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language

The designated contact person for this RFP is:

Taylor Kim Department of Transportation Email address: Taylor.kim@dot.ca.gov Phone: (279) 234-2502

Please note that no verbal information given will be binding upon Caltrans unless such information is issued in writing as an official addendum.

Technical questions regarding this solicitation will be addressed, in writing, in accordance with the Questions and Answers portion of this RFP. See Section 3, Questions and Answers for more details.

Sincerely, TAYLOR KIM

Contract Analyst mailto:Taylor.kim@dot.ca.gov

Caltrans RFP Number 04A7414

Table of Contents

Section Page

A) Purpose and Description of Service 1

B) Minimum Qualifications for Proposers 1

C) Proposal Requirements and Information 1

1. Time Schedule 1

2. Optional Pre-Proposal Conference 2

3. Questions and Answers 2

4. Technical Proposal Requirements 2

5. Cost Proposal Requirements 5

6. California Civil Rights Laws 7

7. Darfur Contracting Act 7

8. Iran Contracting Act 7

9. Executive Order N-6-22 – Russia Sanctions 8

10. Executive Order N-12-23 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting 8

11. Standard Title VI/Nondiscrimination Assurances (United States Department of Transportation DOT Order No. 1050.2A) 9

12. Mandatory Organic Waste Recycling 9

13. Submission of Proposal 9

14. Evaluation Process 11

15. Pre-Award Audit 12

16. Award and Protest 13

17. Disposition of Proposals 14

18. Standard Conditions of Service 14

D) Special Program(s) 15

1. Disabled Veteran Business Enterprise (DVBE) Participation Requirement 15

2. Small Business Enterprise or Microbusiness Preference 16

Attachments

1 Cost Proposal Worksheet 2 Key Personnel Table (Sample) 3 Sample Reference Form 4 Quotes from SB/DVBE Subcontractors 5 Proposal/Proposer Certification Sheet 6 Required Attachment Checklist 7 Cost Proposal and Attachments

8 Criteria for Evaluation of Consultant - Technical Proposal Evaluation 9 Criteria for Evaluation of Consultant Cost Proposal

10 Accounting and Audit Guidelines 11 Proposed Form of Agreement

A) Purpose and Description of Services The State of California Department of Transportation (Caltrans) District 4 intends to purchase Wetlands, Other Waters of the US and State, California red-legged frog (CRLF), and Myrtle silverspot butterfly (MSB) Pre-Transfer Mitigation Credits in the Gualala-Salmon HUC-8 Sub-Basin, which is the minimum service area needed to address the prospective mitigation, on or before the dates identified in Exhibit A Table 1. Needed Pre-transfer Mitigation Credits. By those dates, the Pre-Transfer mitigation credits should be available and in-hand to offset Caltrans’ anticipated unavoidable adverse Wetlands, Other Waters of the US and State, CRLF, and MSB resource impacts, as defined by California Coastal Act (Public Resources Code § 30000 et seq.); federal Clean Water Act (CWA), Sections 401 and 404 (33 USC § 1251–1376); federal Endangered Species Act (FESA), Section 7; California Endangered Species Act (CESA) (FGC § 2080.1); Lake and Streambed Alteration Program (FGC § 1600 et seq.); and Porter-Cologne Water Quality Control Act (California Water Code § 13000 et seq.), that could result from transportation projects.

Pre-Transfer Credits should be in units of tenths acre-credits and approved through an established natural resource regulatory agency (NRRA) framework. The purchase would be achieved and documented through a “Caltrans Credit Sale Agreement [Sale without a Transfer],” in substantially the template form posted on the U.S. Army Corps of Engineers South Pacific Division’s Regulatory Program’s webpage (see References and Links, Attachment A. See Attachment 11, Proposed form of Agreement), or other project-specific agreement.

Because Caltrans does not currently possess a permit or authorization from any NRRA for any particular transportation project or activity that allows or requires a purchase of mitigation credits, this purchase has been justified through advance mitigation planning per Streets and Highways Code (SHC) 800 et seq. Advance mitigation planning supporting this purchase can be found in the Gualala-Salmon, San Pablo Bay, and Tomales-Drakes Bay Sub-Basins Regional Advance Mitigation Needs Assessment (RAMNA) (see References and Links, Attachment A. See Attachment 11, Proposed form of Agreement) and the forecasted mitigation needs identified by the Statewide Advance Mitigation Needs Assessment (SAMNA) (District 4 Caltrans SAMNA 2024/2025 Quarter 1, Published April 2025 per References and Links, Attachment A. See Attachment 11, Proposed form of Agreement.), refined by other relevant transportation project planning-level documents as applicable. Once purchased by Caltrans, the Pre-transfer Credits will be available for Caltrans to use at a later date, after consultation with the NRRA(s) during a transportation project’s environmental conditioning and permitting process. At that time, the transfer to a specific transportation project is accomplished through a transportation project-specific Caltrans Credit Transfer Agreement or similar agreement.

Refer to the Proposed Form of Agreement, which is attached to this RFP as Attachment 11 (Exhibit A) for a more complete description of services.

B) Minimum Qualifications for Proposers

1. Proposer shall be a registered business authorized to work in the State of California.

2. Proposer shall meet the minimum insurance requirements required by the State of California to bid.

C) Proposal Requirements and Information

1. Time Schedule It is recognized that time is of the essence. All proposers are hereby advised of the following schedule and will be expected to adhere to the required dates and times.

Event Date Time

(Pacific Time)

RFP available to prospective proposers 4/3/2026 Pre-Proposal Teleconference 4/8/2026 Written Question Submittal 4/10/2026 Final Date for Proposal Submission 6/2/2026 Posting of Notice of Intent to Award (estimate) Week of 6/15/2026 Proposed Agreement Award Date (estimate) Week of 7/1/2026

2. Optional Pre-Proposal Conference A. An optional pre-proposal telephone conference will be held at 1:00PM on 4/8/2026 for the purpose of discussing this RFP.

Teleconference Dial-In Number: +1-408-418-9388 Participant Code: 24847188896##

B. An authorized representative may attend the optional pre-proposal teleconference on behalf of a potential prime contractor. The representative may only sign-in for one (1) company.

Subcontractors may not represent a potential prime contractor at optional pre-proposal conference.

C. For proposers who need assistance due to a physical impairment, a reasonable accommodation will be provided upon request for the optional pre-proposal conference. The proposer must call the designated Contract Analyst no later than the fifth working day prior to the scheduled date and time of the Pre-Proposal Conference to arrange for a reasonable accommodation.

3. Questions and Answers A. Questions regarding this RFP must be submitted in writing by 4/10/2026. Proposers are encouraged to submit their written questions via e-mail to Taylor.kim@dot.ca.gov.

B. Written questions must include the individual's name, firm name, complete address and must reference RFP No. 04A7414. Questions must be sent to one of the following:

Email or mail to:

Email: Taylor.kim@dot.ca.gov Department of Transportation Division of Procurement and Contracts Attention: Taylor Kim 1727 30th Street, MS 65 Sacramento, CA 95816-7006

C. Written responses to all questions will be collectively compiled and posted, as an Addendum, to the Cal eProcure website (https://caleprocure.com/pages/index.aspx). It is the responsibility of the proposer to access the website for any changes or Addenda that may be posted. Refer to this RFP, Section C) 1, Time Schedule, for the schedule of events and dates/times. It is the responsibility of the proposer to check Cal eProcure for all addenda. Proposer can contact the Contract Analyst named above.

4. Technical Proposal Requirements A. An original proposal marked "ORIGINAL COPY and one (1) pdf copy on a thumb drive will be required for the Technical Proposal. Each Technical Proposal shall contain at a minimum, all required items listed below. Each requirement’s location must be listed in a Technical Proposal, Table of Contents. Also see RFP Section C) 13, Submission of Proposal, for submittal details.

mailto:Taylor.kim@dot.ca.gov mailto:Taylor.kim@dot.ca.gov https://caleprocure.com/pages/index.aspx

1) Section 1. Introduction and Minimum Qualifications: Proposer shall:

a. Introduce its team and summarize the highlights of the proposal.

1. Documentation, for no more than three (3) projects, that the Proposer has successfully established mitigation and/or conservation credits in California approved by a natural resource regulatory agency(ies) (NRRA(s)) through a regulatory mechanism (e.g., Bank Enabling Instrument, In-lieu Fee Program Enabling Instrument, and/or Mitigation Credit Agreement (MCA)).

For each example, provide the following:

• Name (e.g., bank, in-lieu fee program, or MCA)

• A website link if the credits are represented on the Corps of Engineers

Regulatory In-Lieu Fee and Bank Information Tracking System (RIBITS) (see Attachment 11, Proposed form of Agreement, References and Links, Attachment A. See Attachment 11, Proposed form of Agreement) and/or the California Department of Fish and Wildlife’s website (see References and Links, Attachment A. See Attachment 11, Proposed form of Agreement).

• The credit types offered by service area, and associated NRRA(s) approval.

• Indication if Pre-Transfer Credit sales are available

• Property description (e.g., location, owner, manager, conservation easement or other protection used, non-profit or for-profit involvement, etc.)

• A list of NRRA(s) involved, and an explanation of their involvement

• A description of flora and fauna, ecology, hydrogeomorphology, soil, and conservation considerations.

• A description of experience of the Proposer and subcontractors in permitting and environmental clearance (e.g., California Environmental Quality Act (CEQA) and/or National Environmental Policy Act (NEPA))

• Environmental permits received

• A completed schedule with key milestones, including but not limited to the following:

i. Date of initial contact with the NRRA(s)

ii. Date the Prospectus (if applicable) was approved

iii. Date the BEI was approved

iv. Date of first credit sale

• A description of experience with handling the endowment funds

• A list of any impediments and explain how they were addressed

2. Documentation, for no more than three (3) projects, that the Proposer and its subcontractors have successfully designed, constructed, and monitored mitigation projects in California for Wetlands, Other Waters of the US and State, California red-legged frog (CRLF), and Myrtle silverspot butterfly (MSB).

For each mitigation project, provide the following:

• Project name

• A web link to the project, if available

• A description of mitigation performed

• A description of flora and fauna, ecology, hydrogeomorphology, soil, and conservation considerations

• Property description (e.g., location, owner, manager, conservation easement or other protection used, non-profit or for-profit involvement, etc.)

• A list of NRRA(s) involved, and an explanation of their involvement

• A description of experience of the Proposer and subcontractors in permitting and environmental clearance (e.g., CEQA and/or NEPA)

• A completed schedule with key milestones (e.g., date of initial contact with the NRRA(s))

• A description of experience with endowment funds, if applicable

• A list of any impediments and explain how they were addressed

b. Provide the information to demonstrate the minimum qualifications listed in RFP section B) Minimum Qualifications for Proposers.

2) Section 2. Understanding of Project Purpose:

The Proposer shall demonstrate familiarity with the Caltrans Advance Mitigation Program (AMP), summarize the tasks needed to accomplish the advance mitigation project, and demonstrate its ability to deliver established credits by the time they are needed.

The Proposer will provide the following:

a. An annotated outline to meet the Scope of Work, including a summary of the methods for establishing mitigation credits through a regulatory mechanism, such as a Bank Enabling Instrument or In-Lieu Fee Program Enabling Instrument, approved by US Army Corps of Engineers (USACE), US Fish and Wildlife Service (USFWS), California Department of Fish and Wildlife (CDFW), California Coastal Commission (CCC), and the State Water Resources Control Board and/or the North Coast Regional Water Quality Control Board (State Water Boards).

b. A project delivery schedule outline that includes the milestones necessary to deliver the Scope of Work. Explain how the proposed project timeline is achievable based on previous experience, such as consultation with NRRA(s) and/or other considerations.

c. Documentation of early communication between Proposer and USACE, USFWS, CDFW, CCC, and State Water Boards regarding their proposal. See “AMP RFP Guidance for Mitigation Providers: Natural Resource Regulatory Agency Communication” on the AMP’s web page (see Attachment A, References and Links).

d. A map that clearly shows the minimum service area(s) of the proposed advance mitigation credits as required by the Scope of Work; the Proposer’s proposed service area; and the Geographical Area of Interest (GAI) associated with the Gualala- Salmon, San Pablo Bay, and Tomales-Drakes Bay Sub-Basins Regional Advance Mitigation Needs Assessment (RAMNA) used by Caltrans to justify funding this advance mitigation project (see References and Links, Attachment A. See Attachment 11, Proposed form of Agreement).

e. An explanation of why the Proposer’s proposed service area is anticipated to be approved by USACE, USFWS, CDFW, CCC, and State Water Boards.

f. An explanation of how the proposed advance mitigation project will contribute to the AMP goal of improving environmental outcomes (see “Advance Mitigation Program Final Formal Guidelines”). See the following resources located on the AMP’s webpage (see References and Links, Attachment A. See Attachment 11, Proposed form of Agreement):

• Conservation goals, objectives, and sub-objectives provided in Chapter 7 and Chapter 8 of the Gualala-Salmon, San Pablo Bay, and Tomales-Drakes Bay Sub-Basins RAMNA. Highlight the sub-objectives that the Proposer will strive to address.

• “AMP Site Selection Best Practices Guidance”.

• Statewide Advance Mitigation Needs Assessment (SAMNA) First Quarter

2024/2025 Fiscal Year.

3) Section 3. Project Management: Proposer shall:

a. Designate, by name, the Project Manager to be employed. Project Manager shall be responsible for implementing the Scope of Work, overseeing the activities of the project team, and shall be the single point of contact for this contract. The Project Manager must be available to Caltrans as needed to effectively manage this contract. The selected Contractor shall not cause the substitution of the Project Manager without prior written approval of Caltrans.

b. Explain how the various tasks will be managed and coordinated, and how the project manager’s technical expertise will support the effective management and coordination of all activities described in the Scope of Work.

c. Provide an organizational flow chart showing the hierarchy of the proposer’s team personnel that will be utilized during the term of the Agreement. The chart must show the relationship between the Project Manager and personnel of the proposer’s organization and other parties (including subcontractors) to the proposal.

4) Section 4. Team Composition and Key Personnel: This section of the Technical Proposal shall identify the proposed team and key personnel. Key personnel shall have experience with, and in-depth knowledge of, techniques and procedures necessary to accomplish the various tasks listed in Attachment 11 (Proposed Form of Agreement), Exhibit A, Scope of Work.

a. Identify all key personnel of the prime contractor who will be working under the

Agreement and provide brief (two pages maximum) resumes. Include titles, education, academic degrees, professional licenses, qualifications, proposed roles and responsibilities, summaries of similar work performed and expected level of availability for this Agreement. Include personnel qualifications, roles and responsibilities, and experience with USACE, USFWS, CDFW, CCC, and State Water Boards and their associated regional office(s), field office(s), District(s), etc., as appropriate.

b. Specifically point out any expertise the team has in mitigating for and/or establishing mitigation credits for Wetlands, Other Waters of the US and State, CRLF, and MSB.

Cite regulations, as appropriate.

c. Proposer shall provide a table in the format provided on Attachment 2A. All key personnel of prime contractor and subcontractors assigned to the contract and listed in the Proposer’s Technical Proposal must be identified by name, title, firm name, and task(s) assigned in the table (Attachment 2A). All individuals must be identified by name, title, and firm name.

d. Introduce the proposed subcontractor organizations, if any, and provide qualifications, roles, and responsibilities for the company/organization as a whole.

Provide brief (two pages maximum) resumes for each of the subcontractors’ key personnel listed to provide services under the Agreement. Include titles, education, academic degrees, professional licenses, qualifications, proposed roles and responsibilities, summaries of similar work performed and expected level of availability for this Agreement (The cost of the subcontracted work is to be itemized in the Cost Proposal as described below in Cost Proposal Requirements).

e. Proposer shall provide a table in the format provided on Attachment 2A indicating how many hours each key personnel will be assigned for the Agreements and what task(s) each key personnel will perform. All key personnel of prime contractor and subcontractors assigned to the contract and listed in the Proposer’s Technical Proposal must be identified by name, title and firm name in the table (Attachment 2A). Hours listed for key personnel on the table should match hours listed for key personnel in the Cost Proposal.

5) Section 5. Contract Delivery:

The Proposer shall outline how they intend to communicate regularly with Caltrans on achievements, project progress, and any issues that may arise. The Proposer will promptly provide Caltrans with the opportunity to assist in addressing issues that may affect the project schedule (e.g., concerns related to the NRRA(s) process).

6) Section 6. References:

Proposer shall provide an electronic copy of a minimum of two (2) and a maximum of five (5) letters of recommendation from clients or persons, such as NRRA(s), who can attest to the expertise of the Proposer. Each reference must be in the format listed in Attachment 3.

B. Page Headers and Page Numbering All pages of the Technical Proposal, including cover pages, Table of Contents, references and resumes, shall have the following header and page numbering format in the upper right-hand corner:

Technical Proposal Date:

Agreement: 04A7414 Attachment 2 Page # of ##

C. Brochures, thumb drives, drawings, and other promotional documents being submitted with the Technical Proposals shall be clearly identified as to the name of the proposer and the RFP number.

5. Cost Proposal Requirements A. Cost Proposal, and only the Cost Proposal, shall list all items that will be charged to

Caltrans for this Agreement. Cost information of any kind for this Agreement is not allowed in the Technical Proposal. Cost Proposal shall include both prime contractor and all subcontractors cost information. Proposers must submit fixed costs and rates for the duration of the contract agreement; rates shall be consistent for all Tasks in this Agreement. Cost increases are not permitted and shall result in the proposal being deemed non-responsive. Cost Proposals shall follow the format provided in the sample Cost Proposal Worksheet, Attachment 1, and shall be submitted along with Technical Proposal in one (1) sealed envelope. The total amount of the Agreement may not exceed the amount set forth in Attachment 1. Any proposal in excess of $7,269,000.00 shall be deemed non-responsive.

B. An original proposal marked "ORIGINAL COPY" and one (1) pdf copy on a thumb drive is required for the Cost Proposal. Each Cost Proposal shall contain at a minimum, all required items listed below:

1) Cost Proposal Worksheet in the format listed on Attachment 1, Cost Proposal

Worksheet.

2) Prime Contractor’s cost breakdown in the format listed on page 1 of Attachment 1, Cost Proposal Worksheet.

3) Each subcontractor’s cost breakdown (separately) in the format listed on page 1 of

Attachment 1, Cost Proposal Worksheet.

C. Page Headers and Page Numbering

All pages of the Cost Proposal, including cover pages, Table of Contents shall have the following header and page numbering format in the upper right-hand corner:

Cost Proposal Date Agreement No. 04A7414 Attachment 1 Page # of ##

6. California Civil Rights Laws Any person that submits a bid or proposal to, or otherwise proposes to enter into or renew a contract with, a State agency with respect to any contract in the amount of one hundred thousand dollars ($100,000) or more shall certify, under penalty of perjury, at the time the bid or proposal is submitted or the contract is renewed, that they satisfy all of the conditions set forth in California Public Contract Code Section 2010 and they shall execute the California Civil Rights Laws Certification and submit with bid. The California Civil Rights Laws Certification (DOT ADM-0076) must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=DOTADM0076.

7. Darfur Contracting Act A. The Darfur Contracting Act, California Public Contract Code Section 10475-10481, applies to any company that currently or within the previous three (3) years has had business activities or other operations outside of the United States. The Act was passed by the California Legislature and signed into law by the Governor to preclude State agencies generally from contracting with “scrutinized” companies that do business in the African nation of Sudan (of which the Darfur region is a part), for the reasons described in California Public Contract Code Section 10475. All bidders shall complete the Darfur Contracting Act Certification form and submit with bid. The Darfur Contracting Act Certification (DOT ADM- 0077) must be downloaded at https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=DOTADM0077.

B. If your company has not, within the previous three (3) years, had any business activities or other operations outside of the United States, complete Option 1 on the Darfur Contracting Act Certification.

C. A scrutinized company is a company doing business in Sudan as defined in California Public Contract Code Section 10476. Scrutinized companies are ineligible to, and cannot, bid on or submit a proposal for a contract with a State agency for goods or services (Pub. Cont. Code Section 10477(a)).

https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=DOTADM0076 https://forms.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=DOTADM0077

D. Therefore, Public Contract Code Section 10478(a) requires a company that currently has (or within the previous three (3) years has had) business activities or other operations outside of the United States to certify that it is not a “scrutinized” company when it submits a bid or proposal to a State agency.

E. A scrutinized company may still, however, submit a bid or proposal for a contract with a State agency for goods or services if the company first obtains permission from the Department of General Services (DGS) according to the criteria set forth in Public Contract Code Section10477(b).

8. Iran Contracting Act A. Pursuant to the Iran Contracting Act of 2010 (Pub. Cont. Code Sections 2200 et seq., hereinafter “the Act”), persons identified on the list established under Public Contract Code Section 2202.5 (hereinafter, “List”) are ineligible to bid on, submit a proposal for, enter into, or renew any contract with the State for goods or services of one million dollars or more.

B. The winning proposer must complete and submit to Caltrans as part of the Agreement award process, the Iran Contracting Act Certification, certifying that it is not on the most current List unless the person is exempted from the certification requirement by PCC Section 2203 (c) or (d). If claiming an exemption, the person shall provide written evidence that supports an exemption under PCC Section 2203(c) or (d) with its bid or proposal. The Iran Contracting Act Certification (DOT ADM-0078) can be previewed at http://cefs2.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=DOTADM0078.

C. Any person, for a contract that is exempt from bidding or is renewed, or for whom a contract is otherwise awarded by the State, must complete and submit to Caltrans the Iran Contracting Act Certification, certifying that it is not on the most current List, before the contract has been executed by the parties, unless the person is exempted from the certification requirement by Public Contract Code Section 2205(c) or (d). If claiming an exemption, the person shall provide written evidence that supports an exemption under Public Contract Code Section 2203(c) or (d), before execution of the contract.

9. Executive Order N-6-22 – Russia Sanctions 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 unless the contract has been Federalized (i.e.

there is federal participation in any phase). By submitting a bid or proposal, Contractor represents that it is not a target of Economic Sanctions. 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 rejection of the Contractor’s bid/proposal any time prior to contract execution, or, if determined after contract execution, shall be grounds for termination by the State.

10. Executive Order N-12-23 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting A. 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.

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

1) intends to provide GenAI as a deliverable to the State; or http://cefs2.dot.ca.gov/v2Forms/servlet/FormRenderer?frmid=DOTADM0078 https://www.gov.ca.gov/wp-content/uploads/2022/03/3.4.22-Russia-Ukraine-Executive-Order.pdf

2) intends to utilize GenAI, including GenAI from third parties, to complete all or a portion of any deliverable that materially impacts:

a) functionality of a State system,

b) risk to the State, or

c) 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.

C. 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.

D. 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.

E. 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.

11. Standard Title VI/Nondiscrimination Assurances (DOT Order No. 1050.2A) The California Department of Transportation, in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 USC Sections 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award.

12. Mandatory Organic Waste Recycling The Contractor generating organic waste or commercial solid waste shall arrange for the recycling services required by this section in a manner that is consistent with State and local laws and requirements, including a local ordinance or local jurisdiction’s franchise agreement, applicable to the collection, handling, or recycling of organic waste and commercial solid waste.

This requirement does not modify, limit, or abrogate the Contractor’s right to sell or donate its recyclable organic waste materials consistent with the requirements of Public Resources Code Sections 42649.8 et seq.

13. Submission of Proposal A. Proposals should provide straightforward and concise descriptions of the proposer’s ability to satisfy the requirements of this RFP. The proposal must be complete and accurate.

Omissions, inaccuracies, or misstatements may be sufficient cause for rejection of a proposal or reduction in points/score during evaluation.

B. The original proposal must be single sided and marked “ORIGINAL COPY”. All documents contained in the original proposal package must have original signatures and must be signed by a person who is authorized to bind the proposing firm. All additional proposal sets may contain photocopies of the original package.

C. Caltrans does not accept alternate Agreement language from a prospective contractor. A proposal with such language will be considered a counter proposal and will be rejected. The State’s General Terms and Conditions (GTC 02/2025) are not negotiable. The GTC 02/2025 may be viewed at Internet site: https://www.dgs.ca.gov/OLS/Resources/Page- Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language.

D. All proposals shall include the documents identified in this RFP’s Required Attachment Checklist, Attachment 6. Proposals not including the proper "required attachments" may be deemed non-responsive. A non-responsive proposal is one that does not meet the basic proposal requirements.

E. Responses to this RFP shall be submitted in one (1) sealed package/envelope containing both the Technical Proposal – Original, and one (1) pdf copy on a thumb drive, and Cost Proposal – Original, and one (1) pdf copy on a thumb drive.

F. Proposals must be submitted no later than 2:00 p.m., June 2, 2026, and addressed as follows (reference Section C1, Time Schedule):

Proposals received after this time and date will be rejected and returned unopened.

The proposal package/envelope must be plainly marked with the RFP number and title, your firm name, address, and must be marked with "DO NOT OPEN", as shown in the following example:

Agency/Firm Name Address RFP Number 04A7414 RFP Title North Bay Coastal Mitigation Establishment Project

DO NOT OPEN

Proposals not submitted under sealed cover and marked as indicated may be rejected. If the proposal is made under a fictitious name or business title, the actual legal name of proposer must be provided.

G. Proposals must be submitted for the performance of all services described herein. Any deviation from the work specifications will not be considered and will cause a proposal to be rejected.

H. Proposals (Technical and Cost) must be sealed and labeled (as instructed below). Mail or deliver package to the following location:

Mail or *hand-deliver package to:

Department of Transportation Division of Procurement and Contracts Attention: Taylor Kim 1727 30th Street, MS 65 Sacramento, CA 95816-7006

In the upper portion of the sealed mailing envelope, label outer package:

RFP Number 04A7414 RFP Title North Bay Coastal Mitigation Establishment Project Firm Name: (Add firm name)

DO NOT OPEN

*If your proposal is hand delivered, you must date- and time stamp it immediately upon arrival. The date/time stamp machine is located in the lobby of the first floor to the right of the security guard station at the address noted above. After date/time stamping, proposals should be placed in the locked bid cabinet located below the time stamp. If the https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language https://www.dgs.ca.gov/OLS/Resources/Page-Content/Office-of-Legal-Services-Resources-List-Folder/Standard-Contract-Language proposal package is too large to be electronically stamped, date/time stamp one of the labels provided and attach it to the proposal package. When the proposal package is too large for the locked bid cabinet, ask the security guard to call the Division of Procurement and Contracts (DPAC) reception desk at (916) 227-6000 to have your proposal package picked up by DPAC staff.

I. Proposals received in electronic format will not be accepted.

J. A proposal may be rejected if it is conditional or incomplete, or if it contains any alterations of form or other irregularities of any kind. Caltrans may reject a proposal that is not responsive, does not meet the technical standards, or is not from a responsible proposer, or may reject all proposals. Caltrans may also waive any immaterial deviation in a proposal.

Caltrans waiver of immaterial defect shall in no way modify the RFP document or excuse the proposer from full compliance with all requirements if the proposer is awarded the Agreement.

K. Costs for developing proposals and in anticipation of award of the Agreement are entirely the responsibility of the proposer and shall not be charged to the State of California.

L. Only an individual who is authorized to contractually bind the proposing firm shall sign the Proposal/Proposer Certification Sheet, Attachment 5. The signature must indicate the title or position that the individual holds in the firm. The proposer’s proposal may be rejected if the Proposal/Proposer Certification Sheet is not signed.

M. A proposer may modify a proposal after its submission by withdrawing its original proposal and resubmitting a new proposal prior to the proposal submission deadline. Proposal modifications offered in any other manner, oral or written, will not be considered.

N. A proposer may withdraw its proposal by submitting a written withdrawal request to Caltrans that is signed by the proposer or an authorized agent. A proposer may thereafter submit a new proposal prior to the proposal submission deadline. Proposals may not be withdrawn without cause subsequent to proposal submission deadline.

O. Caltrans may modify the RFP up to the specified time of the date fixed for submission of proposals by the issuance of an addendum to all parties who received a proposal package.

All addenda prior to the submission deadline are also posted on Cal eProcure at https://caleprocure.com/pages/index.aspx.

P. Caltrans reserves the right to reject all proposals for reasonable cause.

Q. Proposers are cautioned to not rely on Caltrans during the evaluation to discover and report to the proposer any defects and errors in the submitted documents. Before submitting their documents, proposers should carefully proof them for errors and adherence to the RFP requirements.

R. Where applicable, proposer should carefully examine work sites and specifications.

Proposer shall investigate conditions, character, and quality of surface or subsurface materials or obstacles that might be encountered. No additions or increases to the agreement amount will be made due to a lack of careful examination of work sites and specifications.

S. More than one (1) proposal or a proposal that includes various options or alternatives from an individual, firm, partnership, corporation or association under the same or different names, will be rejected. Reasonable grounds for believing that any proposer has submitted more than one proposal for the work contemplated herein will cause the rejection of all proposals submitted by that proposer. If there is reason for believing that collusion exists among the proposers, none of the participants in such collusion will be considered in this or future procurements.

https://caleprocure.com/pages/index.aspx

14. Evaluation Process A. Format Requirements

1) At the time of proposal opening, each proposal will be checked for the presence and/or absence of required information in conformance with the submission requirements of this RFP. Proposals that do not provide requested information may be rejected as non-responsive.

2) Proposals that contain false or misleading statements, or which provide references, which do not support an attribute or condition claimed by the proposer, shall be rejected.

B. Evaluation of Proposals

1) Caltrans will evaluate each proposal to determine its responsiveness to Caltrans needs.

Proposals meeting the Minimum Qualifications will be further assessed by an evaluation committee. Technical Proposals and Oral Presentations of Proposers that are determined to be responsive will be rated by the evaluation committee using a consensus process. The Consensus scoring will be based on the scoring method listed below:

Evaluation Factor/Sub Factor Weight (as stated in the Criteria for Evaluation)

X Consensus Rating = Weighted Score

Consensus Rating (Range: 0-4) Rating Definitions

4 Exceeded All Requirements 3 Partially Exceeded Requirements 2 Met All Requirements 1 Partially Met Requirements 0 Requirements Not Met

Example only: Weight Consensus Rating

Weighted Score

Contractor's Approach to Technical Work 2 X 3 = 6

2) Phase 1: Technical Proposal Evaluation Proposals that are determined to be responsive and meet the proposal submission requirements will be evaluated and scored in accordance with Criteria for Evaluation of Proposer’s Technical Proposal, Attachment 8.

3) Cost Proposal Evaluation Cost Proposals that meet the proposal submission requirements will be evaluated and scored in accordance with Criteria for Evaluation of Proposer’s Cost Proposal, Attachment 9.

4) The final proposal score will be the combined evaluation scores from the Technical Proposal, Cost Proposal, and any applicable preference points set forth in this RFP. The Agreement will be awarded to the Proposer with the highest combined score who meets the requirements outlined in this RFP, pending approval by Caltrans’ Business Enterprise Program, of that proposal’s satisfactory compliance of DVBE requirements, Small Business participation, and approval of any applicable Preference Programs set forth in this RFP.

Factor/Sub Factor

C. Miscellaneous Award Issues Caltrans does not negotiate rates and/or costs listed on any Cost Proposal submitted for the RFP.

If no proposals are received containing bids offering a price, which in the opinion of

Caltrans is a reasonable price, Caltrans is not required to award an Agreement (Pub.

Cont. Code Section 10344[d]).

The proposer is advised that should this RFP result in an award of an Agreement, the Agreement will not be in force and no work shall be performed until the Agreement is fully approved by Caltrans and the proposer is notified by the Contract Manager to begin work.

In the event of a precise tie, lots will be drawn to determine the successful proposer, or if applicable, the tie will be broken in accordance with Government Code 14838 (f).

15. Pre-Award Audit Prior to award of the Agreement, a pre-award audit may be performed. The pre-award audit will be conducted in accordance with generally accepted governmental auditing standards as promulgated by the United States General Accounting Office. The scope of the audit will consist of such tests as the auditors consider necessary to assure that the proposal satisfactorily meets the requirements outlined in Items 1-3 below prior to execution of the Agreement. Upon completion of a pre-award audit, if, in Caltrans judgment, one or more of these requirements is not satisfactorily met, Agreement award may be canceled.

A. At the time of the pre-award audit, the proposal must demonstrate through actual historical data that its accounting system is capable of accumulating and segregating reasonable, allocable and allowable costs. For new businesses, if actual historical data is unavailable or the accounting system is newly implemented, the system will be tested to determine whether the accounting system is adequate and, if necessary, recommend that an interim audit be performed. At a minimum, the proposal must have an accounting system that meets the following objectives:

The ability to record and report financial data in accordance with generally accepted accounting principles and the Code of Federal Regulations, Title 48, Federal Acquisition Regulations System, Chapter 1, Part 31.

The ability to accumulate and segregate reasonable, allocable, and allowable costs through the use of a cost accounting system.

A system of record keeping ensuring that costs billed to Caltrans will be supported by adequate documentation and in compliance with the terms of the Agreement and applicable Federal and State regulations.

Procedures to retain accounting records and source documentation as required by the terms of the Agreement and applicable Federal and State regulations.

A system of internal control, which provides reasonable assurance that assets are protected; financial data, records and statements are reliable; and errors and irregularities are promptly discovered, reported and corrected.

B. The proposer must be financially capable of performing the work.

C. The costs proposed must be reasonable.

16. Award and Protest A. The Agreement shall not be awarded until Caltrans has posted a Notice of intent to Award in a place accessible by the general public, including any internet site for at least five working days. Notice of Intent to Award shall be posted at Caltrans, 1727 30th Street, Sacramento, 95816 (1st floor Lobby display case), and on the following Internet site:

http://www.dot.ca.gov/dpac/viewnoticesofintenttoaward.

B. Any proposer who claims the State agency failed to follow the procedures specified in either subdivision (b) or (c) of PCC § 10344 has the right to formally protest the award of the Agreement, by filing a notice of intent to protest within five (5) calendar days of the notification of award.

Once a protest is filed, the Agreement shall not be awarded until either the protest has been withdrawn or the State has decided the matter. Intent to protest and protests may be sent by certified mail, email, courier, or personal delivery to the following addresses:

Department of Transportation Division of Procurement and Contracts Attention: Bid, Protest, and Disputes Manager 1727 30th Street, MS 65 Sacramento, CA 95816 Phone Number: (916) 639-6322 Email:

DPAC.Protest.Disputes.Terminations@dot.ca.gov

Department of General Services Office of Legal Services Attention: Bid Protest Coordinator 707 Third Street, 7th Floor, Suite 7- West Sacramento, CA 95605 Phone Number: (916) 376-5098 Email: OLSProtests@dgs.ca.gov

Within five (5) calendar days of filing the notice of intent to protest, the proposer must submit a detailed written statement specifying the grounds for the protest. The statement must clearly outline the basis for protest and be limited to the grounds specified in PCC 10345(b)(2). The protest must reference the solicitation number and include any supporting evidence. The protest must be sent to the same addresses above.

C. Upon award of the Agreement, proposer must complete and submit to Caltrans the Payee Data Record (STD 204), to determine if the proposer is subject to State income tax withholding pursuant to California Revenue and Taxation Code Sections 18662. This form can be found on the Internet at https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf.

No payment shall be made unless a completed STD 204 has been returned to Caltrans.

17. Disposition of Proposals Upon proposal opening, all documents submitted in response to this RFP will become the property of the State of California and will be regarded as public records under the California Public Records Act (Government Code Section 7920-7931.) and subject to review by the public.

The State cannot prevent the disclosure of public documents. However, the contents of all proposals, draft proposals, correspondence, agenda, memoranda, working papers, or any other medium which discloses any aspect of a proposer's proposal, shall be held in the strictest confidence until the “Notice of Intent to Award” is posted. We recommend that you register the copyright for any proprietary material submitted.

18. Standard Conditions of Service A. Service shall be available no sooner than the express date set by Caltrans and the proposer, after all approvals have been obtained and the Agreement is fully executed.

Should the proposer fail to commence work at the agreed upon time, Caltrans, upon five (5) days written notice to the Contractor, reserves the right to terminate the Agreement. In addition, the proposer shall be liable to the State for the difference between proposer’s http://www.dot.ca.gov/dpac/viewnoticesofintenttoaward mailto:DPAC.Protest.Disputes.Terminations@dot.ca.gov mailto:OLSProtests@dgs.ca.gov https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std204.pdf proposal price and the actual cost of performing work by the second lowest proposer or by another Contractor.

B. All performance under the Agreement shall be completed on or before the termination date of the Agreement.

C. Antitrust Provisions In submitting a bid to a public purchasing body, the proposer offers and agrees that if the proposal is accepted, it will assign to the purchasing body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C.

Sec. 15) or under the Cartwright Act Chapter 2, commencing with Section 16700, of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, materials, or services by the proposer for sale to the purchasing body pursuant to the proposal. Such assignment shall be made and become effective at the time the purchasing body tenders final payment to the proposer (See Government Code Section 4552).

If the awarding body or public purchasing body receives, either through judgment or settlement, a monetary recovery for a cause of action assigned under this chapter, the assignor shall be entitled to receive reimbursement for actual legal costs incurred and may, upon demand, recover from the public body any portion of the recovery, including treble damages, attributable to overcharges that were paid.

Upon demand in writing by the assignor, the assignee shall, within one year from such demand, reassign the cause of action assigned under this part if the assignor has been or may have been injured by the violation of law for which the cause of action arose and

(a) the assignee has not been injured thereby, or (b) the assignee declines to file a court action for the cause of…