May 6, 2026 RFQ Number 06A3314

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 06A3314

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 Lisa Pallesen at Lisa.Pallesen@dot.ca.gov. Questions must be received no later than seven (7) business days after the RFQ advertisement. Consultants contacting the District or Division directly seeking information about this RFQ will be disqualified from consideration in the selection process.

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 Engineering Surveying Services for District 10. 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 $3,203,280 - $5,205,330.

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

D. Interviews will be held in person on June 23, 2026, in the city of Stockton, California. Confirmation letters will be sent to those firms short-listed.

E. The most highly qualified consulting firm will be required to submit an mailto:Lisa.Pallesen@dot.ca.gov 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 July 27, 2026. The fee for profit shall be (10) percent, and the escalation shall be as follows:

Year Period Escalation 1 05/06/2026 – 05/31/2027 1.71% 2 06/01/2027 – 05/31/2028 3.42% 3 06/01/2028 – 05/31/2029 3.42% 4 06/01/2029 – 05/31/2030 3.42%

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 August 7, 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.

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

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.

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.

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

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

(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 06/08/2026. 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, Lisa Pallesen, at Lisa.Pallesen@dot.ca.gov containing the information listed below for a link and instructions to complete the self-registration page and submit the SOQ electronically.

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

SOQ

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

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

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

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

C. Request for RFQ Copies

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

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

Attachment 1

Revised 05/06/2021

SCOPE OF WORK/DELIVERABLES

Engineering Surveying Services for Caltrans, Division of Project Development Surveys, District 10 On-Call Agreement

ENGINEERING SURVEYING1 SERVICES

A. Purpose of Work

The Consultant must perform Engineering Surveying Services for field work, on an “as-needed” basis to support the California Department of Transportation (Caltrans), Division of Project Development, District 10. The Caltrans Contract Manager will assign specific work to the Consultant to augment the Caltrans work force through issuing Task Orders describing the services to be performed. The Consultant must only perform work assigned in an authorized Task Order. This Agreement does not guarantee that a Task Order will be issued.

The Consultant for this Agreement must perform the services above after the contract authority for contract 06A2812 is exhausted (expected by 06/30/2026). The Consultant must plan accordingly to meet the timing of and the volume of workload needs.

B. Location of Work

The work must be performed on projects to improve the State transportation system throughout the counties of Alpine, Amador, Calaveras, Mariposa, Merced, San Joaquín, Stanislaus, and Tuolumne in California. The specific location within the above-described geographical limits of the work to be performed must be identified in each Task Order. It may become necessary for Caltrans, Division of Project Development, District10, projects to extend into another adjoining District /County line. Certain D10 California County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' District D10 outside of the boundary of Caltrans’ District D10. In such instances, the project work must not extend more than a 30-mile radius from the District/County, Division of Project Development, District 10 geographic boundary.

The _following work is excluded from this Agreement:

• The HQ photogrammetry projects are excluded from this Agreement.

1 Defined in section 8726 of the California Business and Professions Code

• 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.

• Information Technology (IT) related activities are excluded from the A&E scope of work. Information Technology related activities such as auxiliary automated information handling, including systems design and analysis, conversion of data, computer programming, information storage and retrieval, voice systems that use interactive databases, video including videoconferencing systems that transmit sensitive data, data communications, requisite systems controls, the use of interactive databases and simulation are excluded.

C. Required Services

1. Under an authorized Task Order, the Consultant must provide Engineering surveying services within the geographical jurisdiction of this Agreement set forth in the “Location of Work” section, including all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment to satisfy all appropriate agencies and required to ensure compliance with all 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. Required services may include but are not limited to DTM/Topo surveying, Search and Tie Land Net points, Project Control Establishment, Monumentation, Right of Way Flagging, and Construction Staking.

3. Provided in attachment 1 is a list of proposed Caltrans projects; Division of

Project Development, District 10, however, this list is not exclusive and it constitutes no 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 this Agreement set forth in “Location of Work” section within the Division of Project Development, District 10’s jurisdiction.

4. Caltrans intends to utilize this Agreement to complete a specific piece of work if it is within the geographical jurisdiction of this Agreement set forth in the “Location of Work” for each of the projects in this Agreement utilizing the services described in this Scope Of Work (SOW) and as described in a Task Order. Caltrans may find it necessary to create a separate Agreement (or

Agreements) that involves a specific project in this Agreement and includes part of the work in this Agreement. Caltrans reserves the right to procure A&E services involving the listed projects or unlisted projects (within the geographical jurisdiction of this Agreement 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 this Agreement or the cost exceeds the dollar balance remaining in the Agreement after accounting for amounts due to the Consultant for work previously performed and for work scheduled to be performed in executed Task Orders.

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

5. In this Agreement is a list of proposed staff augmentation personnel classifications for which services are anticipated to be needed by Caltrans during the term of this Agreement; however, this list is not exclusive if the classification perform Land Surveying Services. Caltrans reserves the right to add/or delete personnel classifications from this list. Consultant personnel will work under the general direction of a Caltrans supervisor.

i. Project Licensed Surveyor

ii. Survey Technician

iii. Survey Assistant

iv. Survey Instrument Person

v. Survey Rod / Chain Person

vi. Survey Journeyman Chainman

vii. Survey Apprentice Chainman

viii. Survey Technician – LiDAR Specialist

6. When any of these positions are needed, the approximate range for the number of positions are:

a. Project Licensed Surveyor 1-6

b. Survey Technician 1-6

c. Survey Assistant 1-6

d. Survey Instrument Person 1-6

e. Survey Rod/Chain Person 1-6

f. Survey Journeyman Chainman 1-6

g. Survey Apprentice Chainman 1-6

h. Survey Technician-LiDAR Specialist 1-6

The numbers shown above are approximate. The exact number and classification of Consultant staff used for augmentation is specified in the Task Order.

7. At the sole discretion of Caltrans, the Consultant may have 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 this Agreement set forth in “Location of Work” Section.

8. The potential projects may vary in scope and size, and may encompass any 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 SOW to be performed must be described in each Task Order.

9. Consultant must be available, on two days’ written notice:

a. To meet with Caltrans; to participate in internal Project Development

Team (PDT) meetings or other Caltrans meetings.

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

c. To provide construction staking.

10. Maintaining a stable work force is essential to the successful completion of Caltrans, Division of Project Development, District 10, work. The Consultant must implement a personnel retention plan.

The Consultant may be expected to spend time for extended assignments to perform support functions at Caltrans offices. Caltrans may provide the office space at various Caltrans offices assigned as "home base", when required by a Task Order including, but not limited to, all utilities, office equipment, and office supplies typically used by the Caltrans personnel, to the Consultant personnel providing services under this Agreement. The Consultant, including its sub-onsultants, must include the Office Indirect Cost Rate (OICR) in its cost proposals and use the OICR in billing Caltrans for those personnel utilizing Caltrans’ office facilities. If the Consultant, including its Sub-Consultants, has no OICR, it will develop and use an OICR to reflect an equitable distribution of allowable costs to the Agreement (as specified in 48 CFR 31.203(f)). The hours a Consultant must work on-site in a Caltrans facility will be defined in any issued Agreement Task Order.

D. Workplan Standards Guide (WSG) Codes

Task Orders are based on the Caltrans WSG. The latest WSG is found in the Guide to Project Delivery WSG, 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 WBS categories, which are potential and related work activities applicable to this Agreement. The WSG references WBS categories which present the potential and related work activities that the Consultant may have to perform. All revisions to the current version of the WBS must apply during the life of this Agreement.

The WBS activities below applicable to this Agreement are limited to those set forth below:

160.10.45 Utility Locations Determined for Preliminary Engineering

160.10.65 Right of Way Relinquishment and Vacation Study

160.20.25 Existing Records

160.20.30 Land Net Surveys

160.20.35 Land Net Map

160.20.40 Right of Way Engineering Products

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

160.20.50 Control Surveys

160.20.55 Photogrammetric Maps and Products (See Note 1)

160.20.60 Engineering Surveys

160.20.65 As-Built Centerline Surveys

160.20.70 Pavement Surveys

160.30.10 Surveys and Mapping for Environmental Studies

185.10.50 Control Surveys

185.10.55 Photogrammetric Maps and Products (See Note 1)

185.10.60 Engineering Surveys

185.10.65 As-Built Centerline Surveys

185.10.70 Pavement Surveys

185.20.40 Utility Locations Determined for Design

220.35.05 Flagged Right of Way (Includes Utilities)

220.35.10 Staked Right of Way

255.35.10 Construction Staking Package

255.35.20 Project Control for Construction

270.10.10 Construction Staking Package

270.10.20 Project Control for Construction

270.10.30 Existing Monument Perpetuation (See Note 2)

270.15.15 Slope Stakes

270.15.25 Rough Grade Stakes

270.15.30 Final Grade Stakes

270.15.35 Drainage and Minor Structure Stakes

270.15.50 Miscellaneous Stakes (Includes Utilities)

270.15.55 Photogrammetric Product for Construction (See Note 1)

270.15.60 Ground Stakes for Major Structure

270.15.65 Superstructure Stakes for Major Structure

270.22 Contract Administration

270.66 Technical Support

285.10.05 Field Surveys for Change Order

285.10.10 Staking for Change Order

285.10.15 Other Functional Support

Note 1: The anticipated work for WBS code 160.20.55, 185.10.55 and 270.15.55 must be limited to field surveys and related office processing for aerial mapping control placement and positioning.

Note 2: This WBS code is to be used only for projects with no two (2) phase work.

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

E. General Personnel Requirements

1. Independent Contractor Status

For circumstances when Consultant personnel perform work at the Consultant home office or within Caltrans facilities alongside with Caltrans staff, all supervision and instructions shall be transmitted by the Consultant Task Order Manager. Consultant Task Order Manager shall exercise comprehensive control authority over its personnel in the manner and means to fulfill work performed without any involvement of the Caltrans Functional Manager or designee.

a) Consultant Personnel Relationship

i. Consultant is an independent contractor, and nothing contained in the Agreement shall be construed as constituting any relationship with Caltrans other than that of project owner and independent contractor. In no event shall the relationship between Consultant personnel and Caltrans be construed as creating any relationship whatsoever between Caltrans and any of Consultant’s employees.

ii. Neither Consultant nor any of its employees is or shall be deemed to be an employee of Caltrans. The Consultant has the sole rights to terminate its personnel at-will without cause and demonstrate its right to control over the personnel.

b) Consultant Personnel - Supervision Control and Instructions

i. Consultant personnel shall operate as independent contractors whereby free to perform jobs in their own ways and means, using their own specific methodologies to achieve the desired Task Order services and deliverables.

ii. Consultant personnel are not required to follow Caltrans functional office protocols nor Caltrans specific instructions on how to perform its work.

iii. Except as otherwise specified in the Agreement, Consultant Contract Manager has sole authority and responsibility to employ, discharge, terminate and otherwise control its employees and has complete and sole responsibility as a principal for its agents, for all subconsultants and for all other persons that Consultant or any subconsultant hires or engages to perform or assist in performing the Scope of Work.

iv. Consultant shall make all of its own business including personnel decisions and bear the risk for its decisions without any burden or liability placed upon the Department.

c) Skilled and Qualified Labor

i. The Consultant will provide professional services in an area of its specialization as an essential part of the purpose of the business enterprise, considered as skilled professionals and do not require training.

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

d) Consultant agrees that:

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

ii. Unless approved in writing by Caltrans Contract Manager, Consultant shall not hire employees or subconsultants to work on Caltrans matters exclusively and only. Consultant may hire employees and subconsultants 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.

iii. 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 subconsultants; and provide non-employee access cards and other such forms of identification to Consultant employees and subconsultants.

iv. Consultant shall advise its employees and subconsultants of the foregoing Agreement terms that apply to them, and Consultant advise such employees and subconsultants to report to Consultant any apparent or actual breaches. Consultant shall relay any such reports to Caltrans Contact Manager.

2. The Consultant’s personnel must be capable, competent, and experienced in performing the work in this Agreement with minimal instruction. Personnel skill level must match the specific job classifications, as set forth or in the Consultant’s cost proposal, attachment 2 and task complexity. The Consultant’s personnel must be knowledgeable about, and comply with, all federal, state, and local laws and regulations.

3. The Consultant must submit a written request and obtain the Caltrans CM’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 substitute personnel must have the same job classification, as set forth 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.

4. In responding to Caltrans’ Task Order and in consultation with the Caltrans

Contract Manager and the Caltrans Task Order Manager, the Consultant Contract Manager must identify the specific individuals proposed for the task and their job assignments. The Consultant must provide documentation that proposed personnel meet the minimum qualifications as required by this Agreement.

5. The Consultant’s personnel must 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 must be available at the start of a Task Order and after acceptance of the project/deliverable by Caltrans.

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

7. Resumes containing the qualifications and experience of the consultant’s and sub- Consultant’s personnel, which include existing, additional, and substitute personnel, and copies of their minimum required certifications, must 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 must be submitted to the Caltrans Contract Manager within one week of receiving the request.

8. The Caltrans Contract Manager or Caltrans Tak Order Manager may interview the

Consultant’s personnel for the qualifications and experience. The Caltrans Contract Manager’s decision to select the Consultant’s personnel will be binding to the Consultant and its Sub-Consultants. The Consultant must provide adequate qualified personnel to be interviewed by the Caltrans Contract Manager or Caltrans Task Order Manager within one week of receiving the request.

9. The Caltrans Task Order Manager will 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 consulting with the Caltrans Task Order Manager may reject any Consultant personnel determined by the Caltrans Contract Manager to lack the minimum qualifications. If 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 another qualified person be assigned as needed. The substitute personnel must meet the qualifications required by this Agreement for performance of the work as demonstrated by a resume and copies of current certifications submitted by the Consultant. Substitute personnel must 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 must not be reimbursed.

10. The Consultant must 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 will violate the contract and may cause termination of the contract per Exhibit D, Section III, Termination of the Agreement.

11. When assigned Consultant personnel is on approved leave and required by the Caltrans Contract Manager , the Consultant Contract Manager must provide a substitute employee until the assigned employee returns to work from the approved leave. The substitute personnel must have the same job classification, as set forth 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. Substitute personnel must receive prior written approval from the Caltrans Contract Manager to work on this Agreement.

12. Other project personnel not identified on the Consultant’s cost proposal, must also satisfy 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 this Agreement.

13. The Consultant is responsible to provide fully trained personnel to efficiently perform the work. The consultant’s personnel may be asked to attend certain special training if recommended by the Caltrans contract Manager. On such occasions, with the approval of the Caltrans Contract Manager, Caltrans will compensate the Consultant for the Consultant’s actual cost for time spent in training only. All other costs, fees, and expenses associated with the training, including any transportation costs and training fees, must be the consultant’s responsibility.

14. In location(s) where the Consultant personnel is/are expected to work for extended period(s) of time, the consultant must either relocate the personnel or strive to hire local persons.

F. Land Surveying Personnel Requirements

1. The Consultant, including the prime consultant and all Sub-Consultants, must throughout the life of the Agreement, retain within its firm, a staff of people properly licensed and certified under the laws of the State of California and qualified to perform all aspects of the required work described in this Agreement and all work specified in a Task Order with any emergencies that may arise during the life of this Agreement. The Consultant must be prepared to provide additional personnel during the period performance of this Agreement to accommodate the work.

2. Consultant Contract Manager

The Consultant Contract Manager must coordinate work-related matters and Consultant’s operations under this Contract with the Caltrans Contract Manager in coordination with the Caltrans task order Manager.

The Consultant Contract Manager must be a Professional Land Surveyor or pre- January 1, 1982 Registered Civil Engineer licensed in the State of California and be in good standing with the California State Board of Professional Engineers, Land Surveyors, and Geologists (BPELSG) during the contract period.

The Consultant Contract Manager must have a minimum of five years of responsible experience performing the duties as a Contract Manager for similar Land Surveying Services contracts. The Consultant Contract Manager must be knowledgeable about all Caltrans policies and procedures. The Consultant Contract Manager must be an employee of the prime consultant.

Besides other specified responsibilities, the Consultant Contract Manager must handle all matters related to the Consultant’s personnel, Sub-Consultants, land surveying services work, and Consultant’s and Sub-Consultants’ operations including, but not limited to:

a. Ensuring that deliverables are 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 manger and Caltrans Task Order Manager.

d. Administering personnel actions for Consultant personnel and ensuring appropriate actions taken for Sub-Consultant 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 Agreement expenditures.

j. Reviewing invoices for accuracy and completion before billing to Caltrans.

k. Managing Sub-Consultants.

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

m. Monitoring and maintaining required DBE or DVBE involvement.

n. Ensuring compliance with the provisions in this Agreement 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 must 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 must be accessible to the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager during normal Caltrans working hours that Task Order work is underway.

The Consultant Task Order Manager (who may not be the Consultant Contract Manager) must be assigned to conduct, or direct the conduct of, all work assigned under a single Task Order. The Consultant Task Order Manager must be a Professional Land Surveyor or a pre-January 1, 1982 Registered Professional Civil Engineer licensed in the State of California and be in good standing with the BPELSG during the Agreement period. The Consultant Task Order Manager must be the primary contact for the assigned Task Order and be available for communication with Caltrans.

4. Consultant Task Order Lead person.

The Consultant Task Order Lead Person (who may not be the Consultant CM) must be assigned to conduct, or direct the conduct of, all work assigned under a single task order. The Consultant Task Order Lead Person must be the primary contact for the assigned task order and be available for communication with

5. Consultant Personnel and Team Member Qualifications.

The Consultant Team Member must be capable of assisting the Consultant Contract Manager in all aspects of the required work. The Consultant Team Member’s required professional qualifications must be identified in each Task Order.

6. In this Agreement, a person authorized to review and approve Consultant land surveying deliverables in place of the Consultant Task Order Manager must be called the Consultant Land Surveying Responsible Person. The Consultant Land Surveying Responsible Person, must be a Professional Land Surveyor or a pre- January 1, 1982 Registered Professional Civil Engineer licensed in the State of California and be in good standing with the BPELSG during the Agreement period.

7. All deliverables under this Agreement not fully approved by Caltrans bearing the signature of the Consultant land surveying responsible person who is no longer employed by the Consultant or its Sub-Consultants, must be replaced with deliverables under this Agreement bearing the signature of a qualified replacement Consultant Land Surveying Responsible Person currently employed by the Consultant or its Sub-Consultants. In such an event, no additional time will be allowed or cost reimbursed to the Consultant without the prior written approval of the Caltrans Contract Manager.

8. All of the Consultant’s work must be conducted under the direction of the Consultant Contract Manager who must have the experience as described in this Agreement. All deliverables under this Agreement requiring the Consultant Land Surveying Responsible Person’s signature, must be produced by the responsible

Consultant Personnel having appropriate experience, and must be signed by a Consultant Land Surveying Responsible Person.

9. Party Chiefs

Party Chiefs must fulfill one of the following requirements:

a. A Professional Land Surveyor licensed in the State of California and be in good standing with the BPELSG.

b. A pre-January 1, 1982, Registered Professional Civil Engineer licensed in the State of California and be in good standing with the BPELSG.

c. An experienced surveyor or a union -certified party chief or a journeyman with a documented minimum of five years of field surveying experience who serves as chief under the direction and supervision of a person who is a Professional Land Surveyor licensed in the State of California or pre- January 1, 1982, Registered Professional Civil Engineer licensed in the State of California and be in good standing with the BPELSG. This direction and supervision must be provided in a manner and with a span of control and immediacy that enables the supervisor to be in “Responsible Charge” of the work as defined in the Business and Professions Code, Division 3, Chapter 15 (The Land Surveyors Act).

Party Chief: The duties of the survey party chief include, but are not limited to:

plan, coordinate and direct the daily operations and/or assignments of a field survey party, oversees tailgate safety meetings every ten working days or more often as the work location requires, insures the survey party is working in a secure and safe manner; direct the survey party in procedures to be used in fieldwork that conforms with the Caltrans Surveys Manual; verify project datum and project control; check the accuracy of the survey data collected and construction stakes set; and produce a daily Field Surveys Party Report, which verifies the survey party time and project charges.

10. Project Surveyor

Project Surveyor must fulfill one of these licensing requirements and be in good standing with the BPELSG during the Agreement period.

a. A Professional Land Surveyor licensed in the State of California.

b. A pre-January 1, 1982, Registered Professional Civil Engineer licensed in the State of California.

Project Surveyor: The duties of the project surveyor in the office include, but are not limited to: prepare survey requests and supporting information for the field survey; analyze, reduce and/or adjust field survey data to produce maps, reports, digital terrain models, project control maps, and related documents to prepare and file control Record of Survey Maps with the County.

11. Land Surveying Assistants

The Land Surveying Assistants must fulfill one of the following requirements:

a. A degree (Associate, Bachelors, Masters, or higher) in land surveying or surveying engineering from an ABET accredited institution (College or University) and a minimum of two years of qualifying experience in land surveying.

b. Possession of a valid Land Surveyor-in-Training certificate issued or accepted by the BPELSG, and a minimum of two years of qualifying experience in land surveying.

c. An experienced surveyor with a documented minimum of four years of surveying experience who works under the direction and supervision of a Professional Land Surveyor licensed in the State of California or pre- January 1, 1982, Registered Professional Civil Engineer licensed in the State of California and be in good standing with the BPELSG.

The land surveying assistants to the party chiefs and project surveyor must be capable of assisting in all required and associated field and office land surveying work, able to perform difficult survey and complex professional land surveying work involving duties in the field or office with little direct supervision. Duties include, but are not limited to, assist party chief in construction staking, design, and research and compile a wide variety of data from public records, geospatial information systems and other sources using both manual and computerized processes, and survey support.

12. Land Surveying Technicians

The land surveying technicians must work under the direction of a Professional Land Surveyor licensed in the State of California or a pre-January 1, 1982 Registered Professional Civil Engineer licensed in the State of California and be in good standing with the BPELSG. The land surveying technicians must fulfill one of these criteria:

a. The equivalent of a two-year college degree, preferably with an emphasis in mathematics and engineering and a minimum of one year of qualifying experience in land surveying.

b. A documented minimum two years of demonstrated experience acceptable to Caltrans in a land surveying services related field, under the direction of a Professional Land Surveyor licensed in the State of California.

The land surveying technicians must be capable of assisting in all required office and/or field land surveying services work.

13. Instrument person

The instrument person must be union certified as an instrument person or have a minimum six years of qualifying experience in land surveying. The instrument person reports to the party chief and must be capable of assisting the party chief in all required field and office surveying work.

14. Rod person

A rod person must have a minimum two years of qualifying experience in land surveying and may augment a party comprising at a minimum one party chief and one instrument person as the project task workload dictates, and as preapproved by the Caltrans Contract Manager.

15. Surveying Journeymen Chainman

The surveying journeymen chainman must be union certified as a journeyman or have a minimum four years of qualifying experience in land surveying. The surveying journeyman chainman to the party chief must be capable of assisting the party chief in all required field and office surveying work.

16. Apprentice Chainman

A surveying apprentice must have a minimum one year of qualifying experience in land surveying. The surveying apprentice may augment a party comprising at a minimum one party chief and one instrument person as the project task workload dictates, and as pre-approved by the Caltrans Contract Manager.

Compensation for the journeyman/apprentice chainman must be under the contract and supported by documentation from the Northern or Southern California Surveyors Joint Apprenticeship Committee and in compliance with the Division of Apprenticeship Standards (DAS). The apprentice chainman must be enrolled in the Northern or Southern California Surveyors Joint Apprenticeship Program and have certification for the level achieved.

17. The Consultant must have personnel with documented and demonstrated expertise and experience in the fields of Geographic Information Systems (GIS) and geodetic survey control.

18. Minimum Requirements for Survey Party Membership:

Unless otherwise specified in the Task Order, each survey party must comprise a party chief and up to three assistants, unless additional survey party members are required for safety. At a minimum, one assistant to the party chief must be capable of assuming temporary leadership of the survey party, absent a party chief, or in emergencies.

19. Consultant will provide Consultant surveyors of classification and numbers as specified in the Task Order.