1_04A7496_RFQ_Notice-a11y_02122026.pdf

March 5,2026 RFQ Number 04A7496

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 04A7496

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

• On February 2, 2026, new escalations rates.

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

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

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

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

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

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

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

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

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for On-Call A&E Hazardous Waste Site Investigation and Design Services, District

4. In submitting your SOQ, you shall comply with the instructions found herein. In addition to those programs that are specified in this solicitation, prospective consultants are encouraged to consider programs that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, new emerging firms, and other businesses covered by State and Federal programs.

B. The estimated contract amount is $3,200,000.00 - $5,200,000.00.

C. The estimated contract term is 3 years.

D. Interviews will be held in person on April 22, 2026. Confirmation mailto:Vanessa.Usanmaz@dot.ca.gov 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 June 1, 2026. The fee for profit shall be ten (10%) percent, and the escalation shall be as follows:

From To Escalation Term (yr)

04/07/2026 04/30/2027 1.71% 0 05/01/2027 04/30/2028 3.42% 1 05/01/2028 04/30/2029 3.42% 2 05/01/2029 04/30/2030 3.42% 3

Notes:

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

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

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

H. Disadvantaged Business Enterprise Program

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

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

26. (Docket Number DOT-OST-2025-0897.) The IFR was published in the Federal Register on October 3, 2025, and took immediate effect. (90 FR 47969 (Oct. 3, 2025).) The IFR, as published in the Federal Register, is available at the following url: Docket No. DOT-OST-2025-0897 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://www.federalregister.gov/documents/2025/10/03/2025-19460/disadvantaged-business-enterprise-program-and-disadvantaged-business-enterprise-in-airport

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

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

K. 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.

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

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

N. 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

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

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

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

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

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

1) functionality of a State system,

2) risk to the State, or

3) Contract performance.

Note: For avoidance of doubt, the term “materially impacts” shall have the meaning set forth in State Administrative Manual (SAM) § 4986.2 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions

Definitions for GenAI.

3. Failure to report GenAI to the State may result in disqualification. The

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

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

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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

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

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

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

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

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

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

IV. SUBMISSION OF STATEMENTS OF QUALIFICATIONS (SOQs)

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

B. SOQ Package Submittal Instructions

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

1. The electronic submission of a single unprotected (i.e. not password protected) PDF file of the SOQ is required. The electronic submittal will be accepted until 10:00 a.m. on April 7, 2026. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

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

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

SOQ

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

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

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

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

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

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

Attachment 1

SCOPE OF WORK/DELIVERABLES

Hazardous Waste Site Investigation and Design Services for Caltrans, Division of Environmental Planning and

Engineering, Environmental Engineering Program, District 4 On-Call Contract

FOR ENVIRONMENTAL - HAZARDOUS WASTE: (Hazardous Waste, Hazardous Waste Site Investigation and Design)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Hazardous Waste Site Investigation and Design Services, including, but not limited to, field sampling, construction materials testing, analysis, reports, plant inspection and work related to testing equipment calibration, on an “as-needed” basis to support the Department of Transportation (Caltrans, Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4, from 0 phase to 3 phase completion of transportation Project, in the maintenance, development and construction of proposed Caltrans transportation facilities. The Caltrans Contract Manager shall assign specific work to the Consultant to assist the Caltrans work force through the issuance of Task Orders describing in detail the services to be performed.

The Consultant shall only perform work that is assigned in an authorized Task Order.

The Contract does not guarantee that a Task Order shall be issued. The Consultant may provide services to Caltrans including, but not limited to, site investigation, remedial design work; Phase I Environmental Site Assessments, Initial Site Assessments (Phase I);

Site Investigations (Phase II); Aerially Deposited Lead Investigation; Limited site assessments and site investigations (Limited Phase I and Phase II); risk assessments, hazardous materials surveys; record research and review; field review and survey;

historic material research and review; submitting findings in a report; site characterizations, applying for and complying with regulatory permits; proposing and evaluating remedial alternatives or feasibility studies; development, design and preparation of plans, estimate and specification (PS&E) for hazardous waste removal/clean-up projects; development and preparing cost estimates for remedial activities; hazardous waste identification; long term soil and/or groundwater monitoring;

remediation work plan/preliminary design; remedial investigations; construction-phase design support as requested by the Caltrans Resident Engineer; post-construction monitoring of facility operations; purchase of hazardous wastes radius maps and plans from vendors, who sell these based on "on-line" Geographic Information System and Management Information System related to roadway projects; utilization of a Geographic Information Systems and Management Information System; permit preparation, toxicology studies; evaluation, monitoring, and report of hazardous materials remediation systems impacted with hazardous materials from leaking underground storage tanks (USTs) or other sources; related work pertaining to the study of known or suspected contamination and/or hazardous waste sites; and treatability studies and monitoring for both soil and groundwater.

1. Exclusion of Work.

The Contract does not include services related to the implementation of remedial action or environmental cleanup, as defined in Chapter 6.85 of the California Health and Safety Code Section 25396.

Excludes actual physical cleanup (i.e., implementing corrective actions in the field.

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All tasks including, but not limited to, Phase I and II site investigations, aerially deposited lead investigations, hazardous materials surveys, risk assessments, feasibility studies, remedial design work, PS&E preparation for hazardous waste cleanup projects, groundwater monitoring, and related hazardous waste identification and reporting, may be assigned as work under the Contract.

The Consultant shall provide services for the hazardous waste site investigation, sampling, analysis, and remedial design activities, which is on the critical path for the completion of the environmental and construction phases of Caltrans transportation projects. Caltrans may require extensive 24/7 service from the Consultant. The Consultant may also be assigned other tasks to support Caltrans.

The Consultant for the Contract shall perform the services above after the contract authority for Contract 04A6642 is exhausted (expected no later than June 30, 2026). The Consultant shall plan accordingly to meet the timing of, and the volume of workload needs.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Alameda, Contra Costa, Marin, Napa, San Francisco, San Mateo, Santa Clara, Solano, and Sonoma in California except Division of Environmental Planning and Engineering, Environmental Engineering Program, within the limits of District 4. The/other specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Caltrans, Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4, projects to extend into another adjoining Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4/County line. Certain Northern California County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' District 4 outside of the boundary of Caltrans’ District 4. In some instances, data collection may involve regional analysis beyond the counties identified or into adjoining states to properly assess the context and intensity of impacts to the concerned resources. In such instances, the project work shall not extend more than a thirty (30)-mile radius from the District/County, Division of Environmental Planning and

Engineering, Environmental Engineering Program, District 4 geographic boundary.

These services shall be required to be provided domestically within the continental U.S.A. as well as internationally. The Consultant shall be capable of delivering the Hazardous Waste Site Investigation and Design Services primarily in the USA.

Hazardous Waste Site Investigation and Design Services may be required at international locations. The Consultant shall be capable of performing Hazardous Waste Site Investigation and Design Services at international locations if needed. The Hazardous Waste Site Investigation and Design Services work shall be performed at Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4.

The remedial action and environmental cleanup projects are excluded from the Contract.

1. Throughout the terms of the Contract, the Consultant and its Subconsultants shall disclose and briefly describe any financial, business or other relationship with Caltrans, governmental agencies (e.g. California Transportation Commission - CTC, Bay Area Toll Authority - BATA, Metropolitan Transportation Commission - MTC, and other) that relates to or concerns the Caltrans District 4 Division of Environmental Planning and Engineering, Environmental Engineering Program and projects which may have a potential conflict of interest with the contract, in the Statement of Qualifications.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Hazardous Waste Site Investigation and Design Services within the geographical jurisdiction of the Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product. The Consultant shall assist Caltrans, Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4, to produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package.

2. Provided in Attachment 1A is a list of proposed Caltrans projects; Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4, however, this list is not exclusive, and it does not constitute a commitment that the projects will be initiated or completed, or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of projects that are within the geographical jurisdiction of the Contract set forth in “Location of Work” Section within the Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4’s jurisdiction.

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

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

3. In the Contract is a list of proposed personnel classifications for which services are anticipated to be needed by Caltrans during the term of the Contract; however, this is not an exclusive list of the personnel classifications of Hazardous Waste Site Investigation and Design Services that may be requested. Caltrans reserves the right to add/or delete personnel classifications from this list. Consultant personnel will work under the general direction of a Caltrans Senior.

4. Consultant agrees that:

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

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

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

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

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

f. Consultant shall provide its own tools, equipment and supplies, and

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

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

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

5. At the sole discretion of Caltrans, Consultant may be required to provide the required services on safety projects, emergency projects, Emergency Storm Damage Projects, excess parcel assessments, or other current/future transportation projects, including minor projects not listed above, except for those specially excluded above, within the geographical jurisdiction of the Contract set forth in “Location of Work” Section. However, the dollar value of the services not listed in the Contract shall not exceed 10% of the total value of services that are listed and performed in the Contract.

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

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

a. To meet with Caltrans; to participate in internal Project Development Team (PDT) meetings or other Caltrans meetings.

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

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

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

8. Maintaining a stable work force is essential to the successful completion of

Caltrans, Division of Environmental Planning and Engineering, Environmental Engineering Program, District 4, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

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

10. The Consultant shall perform activities which shall include, but not be limited to, the following:

a. Environmental Data Resources (EDR) Reports and Surveys.

b. Site Investigation of Soil & Ground Water.

c. Ground Water Monitoring.

d. Feasibility Study, Treatability Study and Design Work.

e. Pre-demolition Inspection Survey.

f. Container Inspection and Material Identification.

11. All Site Assessment, Site Investigation, Site survey, groundwater monitoring, and remediation system evaluation, monitoring, and regulatory reporting work shall be completed in accordance with a site-specific Health and Safety Plan developed by the Consultant and signed by a Certified Industrial Hygienist (CIH) for conditions expected during the survey work. The Health and Safety Plan shall be reviewed by the Caltrans Contract Manager or Caltrans designee prior to the start of work. The Consultant shall notify the Caltrans Contract Manager or Caltrans designee in writing at a minimum one (1) week before it begins any investigative or field work. If the nature of the work requires the presence of the CIH during field work, time for the CIH shall be paid. Costs for development of the Health and Safety Plan shall be paid per the Health and Safety Plan.

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

13. 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.

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

15. The Consultant shall assist Caltrans in obtaining necessary approvals and permits.

The Consultant shall identify all necessary approvals and permits, prepare signature-ready permit applications, and track the status of permit applications, as specified in each Task Order.

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. Task Orders may include, but not be limited to, the Capital Project WBS 165 through WBS 285 elements listed below.

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

150.20.10 Hazardous Waste Initial Site Assessment/Investigations http://www.dot.ca.gov/hq/projmgmt/guidance.htm

160.30.10 Surveys and Mapping for Environmental Studies

160.30.15 Property Access Rights for Environmental/Engineering studies 165 Perform Environmental Studies and Prepare Draft Environmental

Document (DED) (See Note 1)

165.10.35 Water Quality Studies

165.10.80 Hazardous Waste Initial Site Assessments/Investigations

165.10.85 Hazardous Waste Preliminary Site Investigations

• Prepare Work Plans

• Prepare Health and Safety Plans

• Provide Traffic Control

• Perform Soil Gas Surveys and Surface Geophysics

• Perform Trenching and Drilling

• Provide Surveys, including using GPS equipment

• Perform Well Installation, Development, and Destruction

• Aerially Deposited Lead Investigation Data Evaluation

• Activity Description

• Perform Soil and Water Sampling

• Perform Statistical Data Evaluation

• Provide Laboratory Sample Handling and Testing, including using mobile Laboratories.

• Perform Quality Assurance/Quality Control for Office, Field and Laboratory Services

• Decontamination and Disposal

185 Base Maps and Plan Sheets for PS&E Development

185.25.25 Water Well Abandonment Needs Determination

195 Right of Way Property Management and Excess Land

195.40.30 Hazardous Waste and Hazardous Materials

205 Permits and Agreements during PS&E Component

205.05 Required Permits

205.10 Permits

235 Mitigate Environmental Impacts and Clean Up Hazardous Waste

235.05 Environmental Mitigation

235.10 Detailed Site Investigation for Hazardous Waste

235.10.05 Right or Permit for Hazardous Waste Site Investigations (SI)

235.10.10 Hazardous Waste Sites Survey

235.10.15 Detailed Hazardous Waste Site Investigation

235.15 Hazardous Waste Management Plan

235.20 Hazardous Waste PS&E

235.25 Hazardous Waste Clean-Up

235.30 Certificate of Sufficiency

235.35 Long Term Mitigation Monitoring

255.10 Updated PS&E Package

260.80 Draft Contract Ready

270.66 Technical Support

285.10.15 Other Functional Support (See Note 3)

Notes:

1. (Drafted Obtain Right of Entry for Environmental Studies)

2. (during Construction)

3. (for CO)

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

E. General Personnel Requirements.

1. 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. 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.

3. 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.

4. 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.

5. 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.

6. 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.

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

8. 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.

9. 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.

10. When assigned consultant personnel are 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.

11. 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.

12. The Consultant is responsible for providing 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 on 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.

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

F. Hazardous Waste Site Investigation and Design 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, Laboratory Supervisor, Resident 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, 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 Hazardous Waste Site Investigation and Design Services contracts. The Consultant Contract Manager shall be knowledgeable about all Caltrans policies and procedures. The Consultant Contract Manager shall be an employee of the Consultant.

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

In addition to other specified responsibilities, the Consultant Contract Manager shall be responsible for all matters related to the Consultant’s personnel, Subconsultants, Hazardous Waste Site Investigation and Design 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, ensure 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 Caltrans.

k. Managing Subconsultants.

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

Contract Manager.

m. Monitoring and maintaining required DBE or DVBE involvement.

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

Task Order requirements.

o. Knowledge, experience, and familiarity with prevailing wage issues and requirements in State of California.

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, Laboratory Supervisor, Resident Engineer, District Water Quality Program Manager, District Deputy Director for Program/Project Management, Project Coordinator, Deputy District Director for Environmental Analysis, 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 be a Registered Professional Engineer, Professional Geologist, Professional Geophysicist, Certified Industrial Hygienist (CIH), or Certified Asbestos Consultant (CAC) licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists, American Board of Industrial Hygiene, or California Department of Industrial Relation Division of Occupational Safety and Health (DOSH, Cal/OSHA) at all times during the Contract period, or Historian with a Master Degree in History, to perform the tasks described in the Contract and in the Task Orders, and shall have a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in Hazardous Waste Site Investigation and Design Services work depending on the substance of the Task Order. The appropriate profession(s) for the Consultant Task Order Manager shall be identified in each Task Order.

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 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.

The Consultant Task Order Lead person shall be a Registered Professional Engineer, Professional Geologist, Professional Geophysicist, Certified Industrial Hygienist (CIH), and/or a Certified Asbestos Consultant (CAC) licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists, American…