1_05A2934_RFQ_NOTICE.pdf

December 16, 2025 RFQ Number 05A2934

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 05A2934

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

• 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.

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

Artificial Intelligence (GenAI) Technology Use and Reporting added.

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.

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 Generalist Services, District 5. 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 $12,254,154 - $19,913,000.

C. The estimated contract term is five years.

D. Interviews will be held via WebEx on February 4, 2026.

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.

mailto:alma.cortez@dot.ca.gov https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

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

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of March 16, 2026. The fee for profit shall be ten percent (10%), and the escalation shall be as follows:

Year Period Escalation

0 01/20/2026 – 01/31/2027 1.81% 1 02/01/2027 – 01/31/2028 3.62% 2 02/01/2028 – 01/31/2029 3.62% 3 02/01/2028 – 01/31/2030 3.62% 4 02/01/2028 – 01/31/2031 3.62% 5 02/01//2028 – 01/31/2032 3.62% Notes:

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

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

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

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

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

https://www.federalregister.gov/documents/2025/10/03/2025-19460/disadvantaged-business-enterprise-program-and-disadvantaged-business-enterprise-in-airport

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-12-23 – 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 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 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 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 interests, 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 wit 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 know 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 12/16/2025. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

Send an email message to the Contract Analyst, 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 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 7/06/2018

SCOPE OF WORK/DELIVERABLES

Environmental Generalist Services for Caltrans, Division of Environmental Program, District 05

On-Call Contract

FOR ENVIRONMENTAL - GENERALIST: (Environmental Generalist) FOR ENVIRONMENTAL - GENERALIST: AIR (Air Quality) FOR ENVIRONMENTAL - GENERALIST: BIOLOGICAL (Biological) FOR ENVIRONMENTAL - GENERALIST: NOISE (Noise) FOR ENVIRONMENTAL - GENERALIST: PALEONTOLOGICAL (Paleontological Resource) FOR ENVIRONMENTAL - GENERALIST: WATER QUALITY (Water Quality Studies) FOR ENVIRONMENTAL - GENERALIST: VISUAL IMPACT (Visual Impact Analysis)

A. Purpose of Work.

1. The Consultant shall perform consultation, research, professional and technical services required for Environmental Generalist 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 Program, District 05, from Project Approval and Environmental Document phase to 0 phase completion of Construction Phase 4 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, the preparation of various levels of Environmental Documents and Documentation (ED) and any incidental related environmental technical studies and deliverables such as Environmental Impact Reports (EIR), Environmental Impact Statements (EIS), Initial Study (IS)/Negative Declaration (ND)/Mitigated Negative Declaration (MND), Environmental Assessments (EA)/Finding of No Significant Impacts (FONSI), or Categorical Exemptions (CE)/Categorical Exclusions (CE) as required under the National Environmental Policy Act (NEPA), the California Environmental Quality Act (CEQA), and other applicable statutes, laws, regulations, and policies; project environmental compliance under the National Environmental Policy Act (NEPA), the California Environmental Quality Act (CEQA), and other applicable statutes, laws, regulations, and policies

2. Providing support in obtaining environmentally related permits, licenses, agreements, and certifications (PLACs) from various Federal, State, or Local Resource Agencies or entities; conducting short and long-term environmental mitigation monitoring prior to, during, and after construction projects; providing support for environmental public hearings, community scope meetings and other professional public awareness/outreach activities as required for project approval under Federal and State environmental statutes, laws, regulations, and policies;

Community Impact Assessments (CIA); Socioeconomic Impact Analyses; Section 4(f)/6(f) Evaluation; Air Quality; Biological Services; Paleontological Services;

Water Quality Studies; Generalist Environmental Services; and other services;

and Construction Liaison and Staff Assistance.

3. The Contract shall be Task Order driven and shall have a five (5) year duration, with Project Development related tasks performed within the first 36 months and Design Support for Construction related tasks to continue through the remaining duration of the Contract. No project development related tasks will be assigned after the first 36 months of the Contract.

1. Exclusion of Work.

The following disciplines are excluded from the Contract:

a. Cultural Resource.

b. Hazardous Waste.

c. Existing Environmental Support - The Consultant shall not provide support for any elements completed by other consultants.

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

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Santa Barbara, San Luis Obispo, Monterey, San Benito, and Santa Cruz, in California within the limits of District 05. 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 Program, District 05, projects to extend into another adjoining Division of Environmental Program, Districts (District 4, District 6, District 7, & District 10) County line. Certain California County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' Districts (District 4, District 6, District 7, & District 10) outside of the boundary of Caltrans’ District 05. 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 Program, District 05 geographic boundary. These services shall be required to be provided domestically within the continental U.S.A. The Consultant shall be capable of delivering the Environmental Generalist Services primarily in the USA. The Environmental Generalist Services work shall be performed at Division of Environmental Program, District 05 Office.

C. Required Services.

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

2. Provided in Attachment A is a list of proposed Caltrans projects; Division of Environmental Program, District 05 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 Program, District 05’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 Environmental Generalist 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 user ids 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. A wide range of Environmental Generalist 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 Environmental Generalist Services:

a. Studies of endangered, threatened, rare, proposed, and candidate species.

These studies shall include, but not be limited to, surveying, identifying, monitoring, sampling, transplanting, trapping, restoring and mitigation of impacts.

b. Wetland delineation.

c. Construction monitoring.

d. Mitigation implementation monitoring.

e. Environmental Impact Reports.

f. Environmental Impact Statements.

g. Initial Study/Negative Declaration/Mitigated Negative Declaration.

h. Environmental Assessments/Finding of No Significant Impacts.

i. Categorical Exemptions/Categorical Exclusions.

j. Notice of Determination.

k. Record of Decision.

l. Community Impact Analysis/Community Impact Assessments.

m. Land Use and Growth Studies.

n. Perform Environmental Re-evaluations.

o. Prepare and File Notices of Completion.

p. Economic Analysis.

q. Floodplain studies.

r. Climate Change Analysis.

s. Floodplain and Hydrology studies including Geomorphology.

t. Coastal Permits.

u. Section 4(f)/6(f) Evaluations.

v. Prepare and File Notice of Preparation (NOP) and Notice of Intent (NOI).

w. Identify Responsible, Participating and Cooperating Agencies.

x. Prepare Exhibits.

y. Geology and Seismicity Studies.

z. Obtain Right of Entry.

aa. Preliminary Environmental Analysis Reports (PEAR).

bb. Natural Environment Studies.

cc. Community Impact Assessment.

dd. Traffic & Transit Studies.

i. Congestion Pricing.

ii. Screen Line Survey.

iii. Traffic Counts.

ee. Traffic Modeling and Forecasting.

ff. Vehicle Miles Traveled (VMT) analysis

gg. Cumulative impact Analysis.

hh. Public Outreach Activities related to preparation and processing of

CEQA/NEPA Environmental Documents and construction activities.

i. Create and implement a comprehensive Public Awareness

Campaign (PAC).

ii. Inform target audiences of the project purpose and need, description, general schedule, project benefits, future improvements, and other aspects of the project.

iii. Help the public understand construction activities, right of way acquisition, road closures, dust, noise, and other construction related impacts.

iv. Identify potential problems for early resolution, facilitate communication and problem resolution, and establish face-to-face rapport with merchants, large employers, emergency services providers, and residents.

v. Ensure the effective distribution and dissemination of information utilizing a variety of tools including cable television and the Internet.

vi. Integrate this PAC with other PACs and construction projects within the area.

ii. Create and implement a comprehensive PAC.

jj. Revegetation Plans.

kk. Environmental Mitigation Monitoring.

ll. Long Term Mitigation Monitoring/Planning.

mm. Digital Electronic document transfers, database updates, and digital electronic filing consistent with the Caltrans Division of Environmental Analysis standard practices and policies. Web posting, data entry, and filing may be entailed.

nn. Incidental Land Surveying and Mapping to support NEPA/CEQA documentation.

oo. Air Quality Studies.

The Task Orders for Air Quality Studies may include, but are not limited to, project-level and Conformity Analysis, including CO, PM, and other HOT SPOT studies.

i. Health Risk Assessment.

ii. Baseline Emissions Development.

iii. Site Visits.

iv. Hot Spot Analysis, which may include, but not be limited to:

• Carbon Monoxide (CO) analysis.

• Particulate Matter smaller than 10 microns (PM-10 AND

PM-2.5) Analysis.

• Construction Emission Analysis.

pp. Biological Studies/Biological Technical Studies.

Biological study, assessment, survey, and monitoring of existing sensitive, candidate, threatened, and endangered species are major components of the Contract. These services are needed prior to, during, and after construction phase. The Consultant is expected to have a wide variety of experienced biologists to provide high quality services in the following areas:

i. Biological Assessment.

ii. Biological Surveys.

iii. Wetlands Assessments.

iv. Wetlands Study/Delineation.

v. Environmental Permit Applications.

vi. Resource Agency Permit related Coordination.

vii. Natural Environment Study (NES) Report.

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

ix. U.S. Forest Service PLACs.

x. Coastal Development Permit(s).

xi. Department of Fish and Wildlife 1600 Agreement(s)/Permit.

xii. Department of Fish and Wildlife California Endangered Species

Act (CESA) 2080.1/2081 Incidental Take Permits.

xiii. U.S. Fish and Wildlife Service (Section 7) Endangered Species Act

(ESA) Informal and Formal Consultation.

xiv. National Marine Fisheries Service (Section 7) Informal and Formal

Consultation.

xv. Regional Water Quality Control Board (401) Permit.

xvi. Biological Mitigation Measures.

xvii. Construction Monitoring for identifying Best Management

Practices (BMP) lapses:

Caltrans and the construction contractor are both responsible for the identification and implementation of water quality BMPs.

However, the consultant construction monitor, during construction, is responsible for identifying any lapses in the BMPs so that they may be immediately remedied by the Resident Engineer.

xviii. Wildlife corridor analysis:

Consultant biologists and ecologists shall have a documented minimum three (3) years demonstrated experience acceptable to Caltrans, and shall be trained and qualified to conduct the tasks listed in the Contract. Personnel shall possess or obtain the necessary collecting and/or handling permits, and/or have species specific experience, in order to provide services as required for all sensitive, candidate, threatened, and endangered species. Resumes must be submitted to Caltrans prior to execution of the Contract and shall include permit information and shall be provided to resource agencies for their review and approval.

xix. Bat surveys and placement of bat exclusions both on and off structure.

xx. Perform biological surveys for plant species and vegetation mapping.

xxi. Perform biological surveys for animal species including, but not limited to, birds, mammals, fish, amphibians, reptiles, invertebrates, and general wildlife.

xxii. Pre-construction surveys.

xxiii. Work in relation to the exclusion of wildlife from Caltrans structures.

xxiv. Construction monitoring for compliance with agency permits.

xxv. Construction-related environmental monitoring, such as hydro-acoustic monitoring for avian and marine mammal protection, special-status plant and animal species and endangered species.

xxvi. Perform California Department of Fish and Wildlife Service protocol surveys for listed birds, mammals, fish, amphibians, reptiles, invertebrates, and plant species.

xxvii. Conduct Hydrogeomorphology studies.

xxviii. Fish Passage Assessments.

xxix. Assessment of anadromous fish populations and fish passage per

DFG code Section 5901.

xxx. Wetlands Habitat Restoration studies and plans.

xxxi. Habitat Restoration studies and plans.

xxxii. Delineate Wetlands and other Federal and State jurisdictional waters.

xxxiii. Mitigation implementation monitoring.

xxxiv. Mitigation Plans (includes long term management plan)

xxxv. Provide recommendations for avoidance, minimization, and mitigation of project impacts.

xxxvi. Prepare Natural Environment Study Reports per Caltrans specifications.

xxxvii. Prepare Biological Assessments/Biological Evaluations (BA/BE) per Federal and State specifications.

qq. Noise and Vibration Studies.

The Consultant shall provide services to produce general noise and vibration studies for projects required by FHWA and the CEQA/NEPA process. The Consultant shall provide all necessary equipment and instrumentation to perform work as specified by Task Orders and based on the Caltrans Work Breakdown Structure (WBS) as follows:

i. Perform noise studies on state routes for new construction projects and retrofit projects. Determine if project-related noise impacts are anticipated and provide a recommendation of either abatement or mitigation measures warranted.

ii. Perform vibration studies for new transportation projects or existing transportation facilities. Studies will include measurement or prediction of source levels, propagation and potential impacts.

Pre and post damage assessment surveys and respective documentation will be required.

iii. Perform noise and vibration studies of aircraft and rail when requested by the Caltrans Contract Manager.

iv. Perform all activities related to noise impact analysis for use in the Environmental Document and prepare a technical report documenting study results.

v. The Consultant’s reports shall comply with the content and format specified in the Annotated Noise Study Report Outline in the Forms and Templates of the Caltrans Standard Environmental Reference website https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser.

vi. Provide presentation and assistance to Caltrans staff to improve the quality of noise and vibration studies for transportation projects.

vii. All work under this portion of the Contract shall be conducted according to the terms, Provisions, and requirements of the California Department of Transportation “Traffic Noise Analysis protocol”, August 2006 (or the most recent version), the California Department of Transportation “Technical Noise Supplement”, November 2009, (or the most recent version), which can be found in the Caltrans Standard Environmental Reference website (https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser ) FHWA, and others.

rr. Paleontology Studies.

ss. Visual Impact Assessment/Visual Impact Analysis/ Visual Impact Studies.

tt. Water quality studies for Environmental Impacts Statements

/Environmental Impact Reports.

uu. Prepare Storm Water Data Reports (SWDR).

vv. Prepare Plans, Specifications and Estimates (PS&E) documents including the following:

i. Erosion Control (EC).

ii. Water Pollution Control (WPC).

ww. Conducting field reviews.

xx. Prepare permit applications for submittal to State Water Resources

Control Board/Regional Water Quality Control Boards (SWRCB/RWQCBs).

yy. Perform visual inventory of the project area, including tree surveys.

zz. Perform viewshed analyses.

aaa. Perform scenic resource(s) determination and studies.

bbb. Assist in coordination with local agencies, citizen groups, and business groups related to community design and scenic issues.

ccc. Prepare and distribute viewer surveys to determine viewer sensitivity and reaction to visual change.

ddd. Develop visual impact analyses and prepare technical reports.

eee. Prepare conceptual mitigation plans and recommendations.

fff. Prepare abstract for inclusion in environmental document text.

ggg. Prepare transmittal memo outlining study results, potential significance of impacts and significance criteria, and proposed mitigation measures.

hhh. Prepare photo-realistic visual simulation graphics and exhibits.

iii. Perform 3D topographic modeling.

https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser jjj. Prepare public exhibits, including, but not limited to, large-scale imagery and graphics, handouts, and videos. Large-scale imagery shall be created using “Genuine Fractals,” or similar software as approved by Caltrans.

kkk. Prepare required correspondence, meeting minutes, agendas, action items, invoices, and status reports.

lll. Prepare and maintain project files.

mmm. Prepare and update project schedules.

nnn. All final documents must be delivered in print and digital electronic media formats. Print size and numbers as stated in task orders. Digital Electronic format of documents must be in Microsoft Word format with simulations in editable format.

Task Orders may be assigned for the above work.

6. The Consultant shall provide standardized reports including, but not limited to, Natural Environment Studies (NES), Biological Assessments (BA), Wetlands Assessment, and Mitigation Monitoring Plan Reports (MMP) detailing all findings.

7. 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.

8. The Consultant shall also provide large-scale graphic presentations for public exhibits and design support in the development of environmental documents and project approval on Caltrans transportation facilities under the Contract.

9. The projects that Caltrans, Division of Environmental Program, District 05 plans to work on under the Contract are listed in Attachment A

The Attachment A list is not an exclusive list of projects.

10. 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.

11. 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.

12. 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.

13. Maintaining a stable work force is essential to the successful completion of Caltrans, Division of Environmental Program, District 05 work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

14. 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 its own computers, office supplies, and related work materials. The Consultant, including its Subconsultants, shall include the Field Office Indirect Cost Rate in its cost proposals and use the Field Office Indirect Cost Rate in billing Caltrans for those personnel utilizing Caltrans’ (field) office facilities. The cost rates will reflect the Consultant’s lower costs where Caltrans provides office space, office equipment and furniture. If the Consultant, including its Subconsultants, does not currently have a Field Office Indirect Cost Rate, it will develop and use a Field Office Indirect Cost Rate to reflect an equitable distribution of allowable costs to the contract (as specified in 48 CFR 31.203(f)). When working on-site in the Caltrans Facilities, the Consultant shall adjust its hours to meet the business needs of Caltrans and shall generally work and be present during Caltrans building business hours (which are 8:00 a.m. - 5:00 p.m.). The business hours can be adjusted in different Task Orders.

15. The Consultant’s Environmental Generalist Services shall be in support of Federal and State environmental laws and regulations. Reports/Studies shall become part of the required documentation for project approval under Federal and State environmental laws and regulations. These formal environmental compliance documents and formal clearance may include Environmental Impact Reports (EIR), Environmental Impact Statements (EIS), Initial Study (IS)/ Negative Declaration (ND)/ Mitigated Negative Declaration (MND), Environmental Assessments (EA)/ Finding of No Significant Impacts (FONSI), or Categorical Exemptions (CE)/ Categorical Exclusions (CE).

16. Responsibilities with regards to NEPA, in most cases, shall be that of Caltrans, since these responsibilities have been assigned to Caltrans by the Federal Highway Administration (FHWA). Caltrans shall be the lead State agency or Responsible Agency for environmental compliance for these projects under

CEQA.

17. Personnel with expertise in Global Positioning System (GPS), Geographic Information System (GIS), GeoRef (http://www.agiweb.org/index.html), and Environmental Systems Research Institute (ESRI) GIS software will also be needed.

18. The Consultant shall possess, or be capable of obtaining and actually obtain prior to conducting work, any necessary permits, or approvals for harassing, trapping, handling, or determining the presence and densities for those species as may be required by the various resource/regulatory agencies.

19. A wide range of Biological Services tasks should be expected. The Consultant shall be prepared to perform specialized services itself or via a Subconsultant including, but not limited to, the following:

a. Candidate, Threatened and Endangered Species (For example, Least Bell’s

Vireo, Desert Tortoise, Vernal pool fairy shrimp).

i. Studies.

ii. Surveys (include any protocol requirements and provide a link to the Service website that details those).

iii. Mitigation planning and implementation.

b. Studies on endangered, threatened, rare, proposed, and candidate species.

These shall include U.S. Fish and Wildlife Service (USFWS), National Marine Fisheries Service, and California Department of Fish and Wildlife (CDFW) protocol surveys for plants and animals.

c. Protocol or Specialized Surveys.

i. California Rapid Assessment Method (include specific requirements on training, experience, area of expertise, and other).

ii. Fish Passage Assessment Protocol Level Surveys (include link to

DFG protocol information).

iii. Botanical surveys (include link to CDFW protocol information).

d. Specialized Reports and Studies.

i. Habitat Mitigation and Monitoring Plans (HMMP).

ii. California Rapid Assessment Method (CRAM).

iii. Wildlife Corridor Studies.

iv. Post Construction Monitoring Reports.

e. General Surveys and Studies.

i. Wildlife Crossings and Corridor Studies.

ii. Bio-acoustic/hydro-acoustic studies for fish, birds, and other.

http://www.agiweb.org/index.html

iii. Vegetation mapping.

iv. Invasive species mapping.

f. Mitigation/Restoration Planning and Monitoring (specify habitat types).

i. Mitigation Plan preparation.

ii. Monitoring of mitigation sites.

g. Permit Application Preparation (specify agencies).

h. Construction Monitoring.

i. Biological monitoring.

ii. Protocol level construction surveys and handling (be specific).

i. Wetlands identification and delineation shall be in accordance with procedures described in the 1987 Federal Manual for Identifying and Delineating Jurisdictional Wetlands and the Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid West Region.

Consultant shall have expertise in conducting assessment of wetland functions and values using published procedures such as the Habitat Evaluation Procedures (HEP) and/or the Wetland Evaluation Technique (Adamus et al, 1987). The level of evaluation, however, shall not be included in Consultant’s initial field investigations. If a wetlands’ evaluation is warranted, as determined through consultation with Caltrans, Consultant shall develop a study plan for Caltrans’ review and approval;

subsequently, a separate Task Order, may be executed to cover the wetlands evaluation. This procedure does not preclude inclusion of normal qualitative evaluations typically found in NEPA/CEQA documents.

20. Biological Technical Study Requirements.

a. Biological technical studies shall be undertaken to describe the project’s environmental setting and local biotic resources, and summarize results of any in-depth biological studies. Biological Assessments/Biological Evaluations shall be undertaken to analyze the effects of the project on Federally and State listed as well as proposed listed species.

b. Caltrans “Standard Environmental Reference” shall guide the Consultant for biological resources, located at https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser. Studies may include, but not be limited to:

i. Literature and records research.

ii. Field reconnaissance.

iii. Mapping habitat types.

iv. General fish, wildlife and plant species list compilations.

v. Identifying migration corridors.

vi. Endangered species surveys.

vii. Wildlife surveys (including protocol requirements).

viii. Assessing project impacts on biological resources.

ix. Development of mitigation measures.

x. Mitigation site suitability analysis (includes long term management plan).

xi. Environmentally Sensitive Habitat Areas (ESHA) requirements in coastal zones.

21. Wetland Assessment Requirements.

a. Wetland Assessments shall be undertaken to identify and delineate any wetlands that are present within the study area.

b. The United States Army Corps of Engineers (USACE) and United States Environmental Protection Agency (USEPA) jointly define wetlands as:

“Those areas that are inundated or saturated by surface or groundwater at a frequency and duration sufficient to support, and under normal circumstances do support, a prevalence of vegetation typically adapted for life in saturated soil conditions. Wetlands generally include swamps, marshes, bogs, and similar areas.” This definition shall be used in determining whether a particular habitat is a wetland for the purposes of Executive Order 11990, Section 404 of the Clean Water Act, NEPA and

CEQA.

c. Wetlands identification and delineation shall follow procedures as specified by the USACE at the time the work is performed. Current USACE standards are described in the following:

i. Environmental Laboratory. 1987. Corps of Engineers Wetlands

Delineation Manual. Technical Report Y-87-1. U.S. Army Engineers Waterways Experiment Station, Vicksburg, Mississippi.

Available at https://usace.contentdm.oclc.org/digital/collection/p266001coll1/id /4532/.

ii. U.S. Army Corps of Engineers. 2008. Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Arid West Region (Version 2.0), Final Report. September. U.S. Army Research and Development Center, Vicksburg, Mississippi.

Available at https://www.usace.army.mil/Missions/Civil- Works/Regulatory-Program-and-Permits/reg_supp/.

iii. U.S. Army Corps of Engineers. 2010. Regional Supplement to the Corps of Engineers Wetland Delineation Manual: Western Mountains, Valleys, and Coast Region (Version 2.0), Final Report.

May. U.S. Army Research and Development Center, Vicksburg, Mississippi. Available at https://www.usace.army.mil/Missions/Civil-Works/Regulatory- Program-and-Permits/reg_supp/.

d. The minimum standards for wetland delineations are established by each USACE district. The current standards for the San Francisco District are available at https://usace.contentdm.oclc.org/digital/collection/p266001coll1/id/4532 https://usace.contentdm.oclc.org/digital/collection/p266001coll1/id/4532 https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/reg_supp/ https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/reg_supp/ https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/reg_supp/ https://www.usace.army.mil/Missions/Civil-Works/Regulatory-Program-and-Permits/reg_supp/ https://www.spn.usace.army.mil/Portals/68/docs/regulatory/2%20- %20Info%20Req.pdf.The current standards for the Sacramento District are available at https://www.spk.usace.army.mil/Portals/12/documents/regulatory/public_ notices/FY2017-pns/Exp-Apr-2017/RGP- 1_2017_Draft_GP.pdf?ver=2017-03-21-172726-320

e. For projects within the coastal zone, the wetland regulatory definition used shall be the State Coastal Commission “single parameter” wetland definition.

f. For delineation of "other waters of the United States", the standards specified by the USACE at the time the work is performed shall be followed. Current USACE standards for delineation of other waters of the U.S. are as follows:

i. U.S. Army Corps of Engineers. 2005. Regulatory Guidance Letter

05-05: Ordinary High Water Mark Identification. December 7.

Available at https://www.nap.usace.army.mil/Portals/39/docs/regulatory/rgls/rgl 05-05.pdf

ii. Lichvar, Robert W., and Shawn M. McColley. 2008. A Field Guide to the Identification of the Ordinary High Water Mark (OHWM) in the Arid West Region of the United States: a Delineation Manual. August. U.S. Army Corps of Engineers, ERDC/CRREL TR-08-12. Available at https://www.spk.usace.army.mil/Portals/12/documents/regulatory/ pdf/Ordinary_High_Watermark_Manual_Aug_2008.pdf

22. Fish Passage Assessment Requirements.

a. Fish Passage…