1_03A3853_RFQ_NOTICE.pdf

August 19, 2024 RFQ Number 03A3853

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 03A3853

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 Alma Cortez at alma.cortez@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.

As required by Executive Order S-02-06, Caltrans is committed to meeting the State’s 25 percent Small Business (SB) participation goal. Certified SBs, Microbusinesses (MB), and consultants willing to commit to subcontracting a minimum of 25 percent of the contract amount to certified SBs or MBs are encouraged to submit Statements of Qualifications. Section I. H. has the specific goals established for this RFQ.

The Disabled Veteran Business Enterprise (DVBE) Participation Program applies and a five percent (5%) goal is required for this RFQ. 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 District 1 Willits Bypass Mitigation Project 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 $8,811,534 - $14,318,743.

mailto:alma.cortez@dot.ca.gov

C. The estimated contract term is three years.

D. Interviews will be held via WebEx on October 3, 2024. 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 October 9, 2024. The fee for profit shall be ten-point four percent, and the escalation shall be as follows:

Year Period Escalation

1 09/19/2024 - 09/30/2025 2.08% 2 10/01/2025 - 09/30/2026 4.17% 3 10/01/2026 - 09/30/2027 4.17% 4 10/01/2027 - 11/30/2027 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 November 21, 2024.

H. A Disabled Veteran Business Enterprise (DVBE) Participation Goal of five percent (5%) is required for the contract. As of July 28, 2009, the Good Faith Effort (GFE) is no longer an option to meet the DVBE participation goal, pursuant to Assembly Bill 21 of the Fourth https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

Extraordinary Session (AB4X 21). A Small Business Participation Goal of twenty-five percent is also highly recommended.

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

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

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

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

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

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

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

N. Pursuant to Executive Order N-12 – 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.

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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

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

B. If the proposed team determines that any actual or potential conflicts of interest exists, it must identify and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the AE Contract Information website. Along with the description of the actual or potential conflicts of interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts. The list of conflicts, including conflicts that apply to individuals as well as firms, and the mitigation measures on the Disclosure of Potential Conflict of Interest Form must be submitted as a separate section in the Statement of Qualifications.

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

C. After award, conflict of interest guidelines and policies shall continue to be monitored and enforced by the Caltrans Contract Manager.

Additional information about Conflict-of-Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI. Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website (see link below). The State and Federal contract boilerplates on DPAC’s website also contain information on conflict-of-interest issues (Exhibit D) and can be found on the AE Contract Information website (see link below).

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

IV. SUBMISSION OF STATEMENTS OF QUALIFICATIONS (SOQs)

A. IMPORTANT: Download “Statement of Qualifications Submittal Instructions and General Contract Process Information” from the AE Contract Information website (Dated Rev. 10/07/2020) .

Failure to follow these instructions may result in rejection of your SOQs.

B. SOQ Package Submittal Instructions Read instructions below carefully. You will be required to submit an 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 09/19/2024. 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, Alma Cortez, at alma.cortez@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.

https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information mailto:alma.cortez@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Attachment 1

Revised 07/02/2021

SCOPE OF WORK/DELIVERABLES

Biological Services for Caltrans, Division of _Transportation Program, District 1 – Willits Bypass Mitigation

On-Call Contract

FOR ENVIRONMENTAL - BIOLOGICAL: (Biological)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Biological Services, including, but not limited to, biological monitoring of compensatory aquatic, wetland, and riparian resource mitigation and special plant species surveys, on an “as-needed” basis to support the Department of Transportation (Caltrans), District 1 Willits Bypass Mitigation Project. 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.

1. Exclusion of Work.

The Consultant shall not work on any projects that are in the planning phase (K-Phase).

B. Location of Work.

The work shall be performed on a re-alignment of State Route 101 in Mendicino County as well as on Caltrans-owned mitigation parcels in Little Lake Valley, near the town of Willits.

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. These services shall be required to be provided domestically within the continental U.S.A. The Consultant shall be capable of delivering the Biological Services primarily in the USA.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Biological 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.

This Scope of Work includes, but is not limited to, the following Biological Support Services:

a. Conducting field reviews.

b. Prepare Mitigation Monitoring Reports

c. Monitor biological resources to determine performance relative to the

Federal and State Mitigation Monitoring Plan

d. Hydro-Period Monitoring and Reporting

e. Water Quality Monitoring and Reporting

Task Orders may be assigned for the above work.

The work shall be performed pursuant to the National Environmental Policy Act (NEPA), California Environmental Quality Act (CEQA), regional, local, and other applicable statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines

The projects that Caltrans plans to work on under this Contract are limited to biological support services for the Willits Bypass project and Environmental Water Quality Studies and support services for all directly and indirectly related mitigation and monitoring projects required as conditions of the permits, licenses, agreements and certifications for the Willits Bypass project. Caltrans anticipates working on the following projects in this Contract:

Project Number Co-Rte-PM Project Description 0115000013 MEN-101-45.0/50.8 Willits Bypass Mitigation 0115000012 MEN-101-48.8/48.0 Willits Bypass Mitigation 0115000011 MEN-101-47.7/49.2 Willits Bypass Mitigation 0115000014 MEN-101-47.0/48.1 Willits Bypass Mitigation 0115000015 MEN-101-46.2/50.4 Willits Bypass Mitigation 0115000062 MEN-101-45.0/50.8 Willits Bypass Mitigation

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.

The Consultant’s Biological Support Services performed pursuant to this Agreement shall be in support of Caltrans’ compliance with State and Federal environmental laws and regulations, as applicable to particular projects.

Caltrans shall be the lead State agency for environmental compliance for these projects under CEQA. Responsibility for compliance with NEPA, in most cases, shall belong to Caltrans, since these responsibilities have been delegated to Caltrans by the Federal Highway Administration (FHWA).

2. 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.

3. A wide range of Biological Services tasks should be expected. The Consultant shall perform and have the expertise, capability, and equipment necessary to perform this Scope of Work, including, but not limited to, any or all of the following types of tasks/reports/studies/activities/functions which will all be related to Biological Services:

a. Preparing Mitigation Monitoring Reports – Provide necessary data to assess mitigation success relative to success criteria required by the State and Federal Mitigation Monitoring Plans.

b. Wetland delineation.

Performing other biological support duties as directed by the Caltrans Contract Manager and as described in executed Task Orders.

Task Orders may be assigned for the above work.

4. Coordination shall be required to achieve compatibility with the concerns and requirements of Caltrans and other resource or regulatory agencies. Task Orders may require coordination with the following:

a. Other Consultants

b. Local, State, and Federal resource and regulatory agencies.

c. U.S. Army Corps of Engineers

d. U.S. Fish and Wildlife Service

e. U.S. Forest Service

f. U.S. National Park Service

g. U.S. Department Of The Interior Bureau Of Land Management

h. Federal Highway Administration

i. California Department of Fish and Wildlife

j. California Fish and Game Commission

k. California Department of Parks and Recreation

l. California State Water Quality Control Boards

m. California State Water Resources Control Boards

n. California Regional Water Quality Control Boards

o. Other agencies; institutions; researchers or groups; and others as directed by the Caltrans Contract Manager.

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.

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

Consultant shall participate in an informal consultation process with Caltrans and responsible State and Federal agencies to develop recommendations for project modifications to eliminate or lessen project impacts on sensitive biotic resources, including species of concern. Similar consultation may also be required to develop measures to compensate for unavoidable Project impacts identified by these studies and to develop mitigation measures. Measures agreed to by Caltrans during informal consultation with responsible State and Federal agencies shall be included in required reports. If Caltrans cannot reach an agreement with the responsible State and Federal Regulatory Agencies, the Consultant shall present all recommendations for project modifications and/or mitigation/compensation measures developed through this informal consultation process, including general strategies for monitoring the success of proposed mitigation measures, in a separate transmittal document to accompany the appropriate report(s).

5. Maintaining a stable work force is essential to the successful completion of Caltrans, Division of Environmental, District 1 Willits Mitigation Monitoring, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

1. 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.

2. 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.

3. Consultant shall participate in an informal consultation process with Caltrans and responsible Federal and State agencies to develop recommendations for project modifications to eliminate or lessen project impacts on sensitive biotic resources, including species of concern. Similar consultation may also be required to develop measures to compensate for unavoidable Project impacts identified by these studies and to develop mitigation measures. Measures agreed to by Caltrans during informal consultation with responsible Federal and State agencies shall be included in relevant reports. If agreement cannot be reached, all recommendations for project modifications and/or mitigation/compensation measures developed through this informal consultation process, including general strategies for monitoring the success of proposed mitigation measures shall be presented in a separate transmittal document to accompany the appropriate report(s).

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:

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

100 Perform Project Management (Contract Management)

285.10 Functional Support

285.10.15 Other Functional Support

295 Accept Contract/Prepare Final Construction Estimate and Final

Report

295.35 Certificate of Environmental Compliance (CEC)

295.40 Long Term Environmental Mitigation/Mitigation Monitoring After

Construction Contract Acceptance

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

E. Schedule of Performance and Time Requirements

Task Orders shall be issued and executed throughout the duration of this Contract. Task Orders shall be completed in the timeframe identified in the Task Order and prior to the expiration of the Contract.

Caltrans and the Consultant shall develop and agree to a schedule for the services and deliverables to be completed and delivered, and where appropriate, for acceptance criteria and acceptance tests that the services and deliverables must satisfy to be accepted. All deliverables shall satisfy the Standards set forth in “Standards,” Section J of this Scope of Work in order to be accepted for payment.

F. General Personnel Requirements.

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

2. Throughout the life of the Contract, the Consultant, including the prime Consultant and all Subconsultants, shall retain within its firm a staff of people who are properly licensed and certified in accordance with the laws of the State of

Doyle, Maureen M@DOT I added this language because it was in the last contract. Please delete if not necessary.

California and who are qualified to perform all aspects of the required work described in this Contract and assigned in a Task Order.

3. The Consultant shall be prepared to provide additional personnel, as necessary, during the course of Contract performance to accommodate possible modifications and revisions to the work.

4. The Consultant is required to submit a written request and obtain the Caltrans Contract Manager’s prior written approval for any substitutions, additions, alterations, or modifications to the Consultant’s originally proposed personnel and project organization, as depicted on the proposed Consultant’s Organization Chart or the Consultant’s cost proposals. The Consultant personnel shall have the same job classification, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2, not exceed the billing rate, and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to Caltrans. The Consultant personnel shall have significant experience in the work involving a similar transportation facility for at a minimum two (2) previous projects, unless otherwise approved by the Caltrans Contract Manager.

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

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

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

8. Resumes containing the qualifications and experience of the Consultant’s and Subconsultant’s personnel, which include existing and additional personnel, and copies of their minimum required certifications, shall be submitted to the Caltrans Contract Manager for review before assignment on a project or Task Order. The resume and copies of current certification for each candidate shall be submitted to the Caltrans Contract Manager within one (1) week of receiving the request.

9. The Caltrans Contract Manager may interview the Consultant’s personnel for the qualifications and experience. The Caltrans Contract Manager’s decision to select

I added this language because it was in the last contract. Please delete if not necessary.

the Consultant’s personnel shall be binding to the Consultant and its Subconsultants. The Consultant shall provide adequate qualified personnel to be interviewed by the Caltrans Contract Manager within one (1) week of receiving the request.

10. The Caltrans Contract Manager shall evaluate the adequacy (quality and quantity) of the work performed by the Consultant’s personnel, and determining whether the deliverables satisfy the acceptance tests and criteria. The Caltrans Contract Manager may reject any Consultant personnel who are determined by the Caltrans Contract Manager to lack the minimum qualifications. If at any time the level of performance is below expectations, the Caltrans Contract Manager may direct the Consultant to immediately remove Consultant personnel from the project specified in a Task Order and request that the Consultant provide another qualified person be assigned as needed. The Consultant personnel shall meet the qualifications required by the Contract for performance of the work as demonstrated by a resume and copies of current certifications submitted by the Consultant. Consultant personnel shall receive prior written approval from the Caltrans Contract Manager. Invoices with charges for personnel not pre-approved by the Caltrans Contract Manager for work on the Contract and for each Task Order shall not be reimbursed.

11. The Consultant shall not remove or replace any existing personnel assigned to Task Orders without the prior written consent of the Caltrans Contract Manager.

The removal or replacement of personnel without the written approval from the Caltrans Contract Manager shall be violation of the Contract and may result in termination of the Contract per Exhibit D, Section III, Termination of the Contract.

12. When assigned consultant personnel is on approved leave and required by the Caltrans Contract Manager, the Consultant Contract Manager shall provide a temporary substitute employee until the assigned employee returns to work from the approved leave. The Consultant personnel shall have the same job classification, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2, not exceed the billing rate and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to Caltrans.

Consultant personnel shall receive prior written approval from the Caltrans Contract Manager to work on the Contract.

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

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

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

G. Biological Personnel Requirements.

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

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

2. Consultant Contract Manager.

The Consultant Contract Manager shall coordinate work-related matters and Consultant’s operations under the Contract with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, District/Region Area Construction (Claims) Engineer, Laboratory Supervisor, Headquarters’ Structural Construction Engineer, Resident Engineer, District Landscape Architect, District Surveys Engineer, District Right-of-Way Engineer, District Water Quality Program Manager, District Deputy Director for Program/Project Management, District’s Traffic Operations Units, Project Coordinator, Deputy District Director for Environmental Analysis, District Surveys Office Chief, and/or District’s Public Information Officer.

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

The Consultant Contract Manager shall have “substantial knowledge and experience” in performing the Biological Services work and as outlined in the Caltrans Quality Control and Assurance for Biological Technical Documents (http://www.dot.ca.gov/ser/vol1/sec3/natural/Ch14Bio/files/QC_guidance.pdf).

“Substantial knowledge” is defined as having a Degree (Bachelors, Masters, or higher) in Biology or a related field. “Substantial experience” is defined as having a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in performing the Biological Services work. Any advanced degree in biology or a related field may be substituted for three (3) years experience.

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

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

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

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

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

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

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

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

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

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

j. Reviewing invoices for accuracy and completion before billing to

Caltrans.

k. Managing Subconsultants.

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

Contract Manager.

http://www.dot.ca.gov/ser/vol1/sec3/natural/Ch14Bio/files/QC_guidance.pdf

m. Monitoring and maintaining required DBE or DVBE involvement.

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

Task Order requirements.

3. Consultant Task Order Manager.

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

The Consultant Task Order Manager shall be accessible to the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, District/Region Area Construction (Claims) Engineer, Laboratory Supervisor, Headquarters’ Structural Construction Engineer, Resident Engineer, District Landscape Architect, District Surveys Engineer, District Right-of-Way Engineer, District Water Quality Program Manager, District Deputy Director for Program/Project Management, District’s Traffic Operations Units, Project Coordinator, Deputy District Director for Environmental Analysis, District Surveys Office Chief, and/or District’s Public Information Officer at all times during normal Caltrans working hours that Task Order work is underway.

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

The Consultant Task Order Manager shall have “substantial knowledge and experience” in performing the Biological Services work and as outlined in the Caltrans Quality Control and Assurance for Biological Technical Documents (http://www.dot.ca.gov/ser/vol1/sec3/natural/Ch14Bio/files/QC_guidance.pdf).

“Substantial knowledge” is defined as having a Degree (Bachelors, Masters, or higher) in biology or a related field. “Substantial experience” is defined as having a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in performing the Biological Services work. Any advanced degree in biology or a related field may be substituted for three (3) years experience.

4. Consultant Task Order Lead person.

The Consultant Task Order Lead person (who may be other than the Consultant Contract Manager) shall be assigned to conduct, or direct the conduct of, all work http://www.dot.ca.gov/ser/vol1/sec3/natural/Ch14Bio/files/QC_guidance.pdf assigned under a single Task Order. The Consultant Task Order Lead person shall be the primary contact for the assigned Task Order and be available as needed for communication with Caltrans.

5. Consultant Personnel and Team Member Qualifications.

The Consultant team member’s professional qualification shall be specified in each Task Order; however, the professional qualifications depending on the task performed shall at a minimum, include, but not be limited to, the Caltrans Quality Control and Assurance for Biological Technical Documents (http://www.dot.ca.gov/ser/vol1/sec3/natural/Ch14Bio/files/QC_guidance.pdf) and the following:

a. A Degree (Bachelors, Masters, or higher) in Biology, or related field, from an accredited institution (College or University).

b. The Consultant personnel or the Subconsultant performing Biological

Services shall have a documented minimum three (3) years of demonstrated experience acceptable to Caltrans and appropriate credentials approved by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, District/Region Area Construction (Claims) Engineer, Laboratory Supervisor, Headquarters’ Structural Construction Engineer, Resident Engineer, District Landscape Architect, District Surveys Office Chief, and/or District’s Public Information Officer for conducting the biological tasks and studies as referenced in the Scope of Work.

c. The Consultant personnel or the Subconsultant performing Biological Services shall have full knowledge of State, and Federal biologic resources regulations and compliance requirements including, but not limited to, the following areas:

i. EPA regulations.

ii. California Environmental Quality Act

iii. National Environmental Policy Act

iv. Endangered Species Act

v. Section 404 of the Clean Water Act

vi. California Engangered Species Act

vii. All U.S. Army Corps of Engineers regulations relative to environmental resources

d. Personnel performing Biological Services for public outreach/awareness activities shall possess the following qualifications:

i. A documented minimum three (3) years of demonstrated experience acceptable to Caltrans, in providing public relations services.

ii. A documented minimum three (3) years of demonstrated experience acceptable to Caltrans at a minimum, in developing and http://www.dot.ca.gov/ser/vol1/sec3/natural/Ch14Bio/files/QC_guidance.pdf

I’m changing this to 3 years to be consistent with the subsequent sections in this document.

preparing news releases, brochures, newsletters, fact sheets, and fliers.

e. The Consultant personnel or the Subconsultant performing Biological Services shall have all knowledge, skills, experience, permits and approvals required by Permits, Licenses, Agreements or Certifications that apply to the specific project(s) that is (are) relevant to each Task Order, prior to beginning Task Order field work.

f. Bachelor Degree in Natural Sciences field and shall have a documented minimum three (3) years of demonstrated experience acceptable to Caltrans in: (1) biological impact analysis of transportation projects including impacts to species of concern and their habitats, wetlands, or waters of the United State (U.S.); or (2) biological mitigation development and monitoring.

The Consultant team member shall be capable of assisting the Consultant Contract Manager in all aspects of the required work. The Consultant team member’s required professional qualifications shall be identified in each Task Order.

6. In the Contract, a person who is authorized to review and approve Consultant Biological analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables in place of the Consultant Contract Manager shall be hereafter referred to as the Consultant Biological Responsible Person. The Consultant Biological Responsible Person, (or engineer, certified technician, the Consultant Contract Manager registered in the State of California) signing analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables under the Contract requiring the signature of a Consultant Biological Responsible Person (or engineer, certified technician, the Consultant Contract Manager registered in the State of California) shall be currently employed by the Consultant or its Subconsultants at the time the deliverables are submitted to Caltrans for consideration under the review and acceptance process.

7. All analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables under the Contract not fully approved by Caltrans bearing the signature of the Consultant Biological Responsible Person (or engineer, certified technician, the Consultant Contract Manager registered in the State of California) who is no longer employed by the Consultant or its Subconsultants, shall be replaced by analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables under the Contract bearing the signature of a qualified replacement Consultant Biological Responsible Person (or engineer, certified technician, the Consultant Contract Manager registered in the State of California) who is currently employed by the Consultant or its Subconsultants. In such an event, no additional time shall be allowed or cost reimbursed to the Consultant without the prior written approval of the Caltrans

8. All of the Consultant’s work shall be conducted under the direction of the Consultant Contract Manager who shall have the appropriate experience as described in the Contract.