1-07A6010_RFQ_NOTICE.pdf

October 29, 2024 RFQ Number 07A6010

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 07A6010

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

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

Intelligence (GenAI) Technology Use and Reporting added

• On 02/15/24, GENERAL the Fee & Escalation table has been revised

• On 03/16/23, GENERAL the Fee & Escalation table has been revised

• On 04/01/22, GENERAL, Ukraine-Russian-related Sanctions

Requirement added

• On 04/01/22, SUBMISSION OF STATEMENTS OF QUALIFICATIONS

(SOQs), the electronic submittal time changed to 10:00am

Note: Questions concerning this Request for Qualifications (RFQ) must be submitted in writing to the attention of 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.

Proposers are advised that Caltrans has established a federally mandated overall annual DBE goal comprising both race neutral and race conscious elements to ensure equal participation of DBE groups specified in 49 CFR 26.5. In compliance with 49 CFR 26, Caltrans set a contract goal for DBEs participating in this solicitation expressed as a percentage of the total dollar value of the resultant Agreement. The DBE participation goal for this solicitation is twenty-three percent (23%). See section I.H. in this RFQ for requirements.

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for A&E On-call Hazardous Waste Site Initial Site Assessment, Site Investigation, and Feasibility Study Services, District 7. 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 $6,400,000 - $10,400,000.

mailto:Lisa.Pallesen@dot.ca.gov

C. The estimated contract term is 3.5 years.

D. Interviews will be held via WebEx on December 18, 2024.

Confirmation letters will be sent to those firms short-listed.

E. The most highly qualified consulting firm will be required to submit an electronic copy of the financial documents listed on the appropriate Financial Documents Submittal Checklist available on the AE Contract Information website. The most highly qualified consulting firm will be notified of their selection and receive instructions for the electronic submission of the financial documents.

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

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

Year Period Escalation

1 12/03/2024 - 12/31/2025 2.08% 2 01/01/2026 - 12/31/2026 4.17% 3 01/01/2027 - 12/31/2027 4.17% 4 01/01/2028 - 12/31/2028 4.17% Notes:

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

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

G. The scheduled date to complete cost negotiations and submit final cost proposal is February 10, 2025.

H. Disadvantaged Business Enterprise Program

1. This solicitation and resultant Agreement is financed in whole or in part with federal funds and therefore subject to Title 49, Code of Federal Regulations, Part 26 (49 CFR 26) entitled "Participation by Disadvantaged Business Enterprises in Department of Transportation https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

Financial Assistance Programs." To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation. The required goal for DBE participation in this solicitation is not less than twenty-three percent.

2. Only participation by certified DBEs will count toward the contract goal for this solicitation. In order to count toward a contract goal, a firm must be certified as a DBE by the California Unified Certification Program (CUCP) and possess the NAICS and work codes applicable to the type of work the firm will perform on the Agreement by the SOQ submittal due date. NAICS and Work codes are provided by the Office of Civil Rights website.

3. It is the proposer’s responsibility to verity that the DBE firm is certified as a DBE by the specified SOQ submittal due date and time. The list of DBEs certified by the CUCP are located on the Office of Civil Rights website.

4. A DBE must perform a commercially useful function (CUF) for the type of work it will perform on the Agreement as provided in 49 CFR 26.55I(1)-(4). A DBE performs a CUF when it is responsible for the execution of a distinct element of the work of the Agreement and is carrying out its responsibilities by actually performing, managing, and supervising the work involved.

5. See “Statement of Qualifications Submittal Instructions and General Contract Process Information” for detailed information and references to the required forms. Required forms will be made a part of the Agreement. Failure to meet the DBE goal or Good Faith Effort requirements and provide required DBE participation at due date and time of SOQ submittal may result in the SOQ submittal being rejected as non-responsive.

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

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

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

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

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

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

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

N. Pursuant to Executive Order N-12 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting

1. The State of California seeks to realize the potential benefits of GenAI, through the development and deployment of GenAI tools, while balancing the risks of these new technologies.

2. Bidder / Offeror / Contractor must notify the State in writing if their solution or service includes, or makes available, any GenAI including GenAI from third parties or subcontractors.

3. The State has developed a GenAI Reporting and Factsheet (STD 1000) to be completed by the Bidder / Offeror / Contractor.

4. Failure to submit the GenAI Reporting and Factsheet (STD 1000) will result in disqualification of the Bidder / Offeror / Contractor.

5. Failure to report GenAI to the State may void any resulting contract.

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

6. Upon receipt of a Bidder / Offeror / Contractor GenAI Reporting and Factsheet (STD 1000), the state reserves the right to incorporate GenAI Special Provisions into the final contract or reject bids/offers that present an unacceptable level of risk to the state.

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

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

B. If the proposed team determines that any actual or potential conflicts of interest exists, it must identify and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the AE Contract Information https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std1000.pdf https://www.documents.dgs.ca.gov/dgs/fmc/pdf/std1000.pdf website. Along with the description of the actual or potential conflicts of interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts. The list of conflicts, including conflicts that apply to individuals as well as firms, and the mitigation measures on the Disclosure of Potential Conflict of Interest Form must be submitted as a separate section in the Statement of Qualifications.

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

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

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

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

IV. SUBMISSION OF STATEMENTS OF QUALIFICATIONS (SOQs) A. IMPORTANT: Download “Statement of Qualifications Submittal

Instructions and General Contract Process Information” from the AE Contract Information website (Dated Rev. 10/07/2020) .

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

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

1. The electronic submission of a single unprotected (i.e. not password protected) PDF file of the SOQ is required. The electronic submittal will be accepted until 10:00 a.m. on 12/03/2024. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

Send an email message to the Contract Analyst, 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.

mailto:Lisa.Pallesen@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Attachment 1

Revised 6/15/2021

SCOPE OF WORK/DELIVERABLES

Hazardous Waste Initial Site Assessment, Site Investigation, and Feasibility Study Services for Caltrans, Division of Environmental Planning, District 7 On-Call Contract

HAZARDOUS WASTE: (Hazardous Waste Initial Site Assessment, Hazardous Waste Site Investigation, and Feasibility Study)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Hazardous Waste Site Initial Site Assessment, Site Investigation, and Feasibility Study Services on an “as-needed” basis to support the Department of Transportation (Caltrans, Division of Environmental Planning, District 7, from 0 phase to 3 phase, 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 following:

Hazardous Waste Environmental/Initial Site Assessment

• Phase I Environmental Site Assessments (Initial Site Assessments) per ASTM E1527-21 and Caltrans standards;

• Record research and review;

• Site reconnaissance and survey;

• Historic material research and review;

• Purchase of environmental database search radius maps;

• Preliminary Endangerment Assessments

Site Investigations

• Phase II Site Investigations of soil, soil vapor, and groundwater;

• Applying for and complying with regulatory permits

• Aerially Deposited Lead (ADL) Soil Investigation;

• Asbestos-containing material (ACM), lead-based paint (LBP), and hazardous materials surveys;

• Utilization of a Geographic Information Systems and Management Information

System to track project sample data;

• Utility pipe tapping and/or abandonment;

• Risk assessments and toxicology studies

Feasibility Studies

• Proposing and evaluating remedial alternatives or feasibility studies;

• Development, design and preparation of plans, estimates, and specifications

(PS&E) for hazardous waste removal/clean-up projects;

• Hazardous waste identification; long term soil and/or groundwater monitoring;

• Evaluation, monitoring, and maintenance of remediation systems;.

The Consultant shall provide only architectural and engineering services defined in Government Code section 4525(d) in regard to the environmental services as defined in Government Code 4527(a)(“A&E Services”) in regard to Hazardous Waste Site Assessment, Site Investigation, and Feasibility Study Services that are A&E Services can be permitted to be performed under this Agreement, except that non-A&E Services are permitted as long as the value of such non-A&E services do not exceed 10% of the total expenditures under this Agreement.

For purposes of clarifying the definition of A&E Services, these services must satisfy the following requires:

1. The services must require a professional license, registration or certification, and those persons providing the services must possess the professional license, registration or certification;

2. The services musted be rendered for a Caltrans project or project development;

3. The services and the professional licenses, registrations or certifications must pertain to the following professional services:

a. Architectural services;

b. Landscape architectural services;

c. Engineering services;

d. Environmental services for project development, permit processing and compliance with federal (i.e.; NEPA) and state (i.e.; CEQA) environmental laws;

e. Land surveying by a licensed, registered or certified surveyor performing within the scope of their authority; and

f. Construction project management provided by licensed architects, registered engineers, or licensed general contractors

1. Exclusion of Work.

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

Projects 07-33310, 07-32080, and 07-31970, 07-32480, 07-33870, 07-33050, 07- 32040, 07-32330, and 07-32500 are excluded from this Contract.

The Consultant shall provide Hazardous Waste-related services for the Division of Environmental Planning, District 7, which is on the critical path for the completion of the project environmental document. Caltrans may require extensive 24/7 service from the Consultant. The Consultant may also be assigned other A&E tasks to support Caltrans.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system in Los Angeles and Ventura Counties in California. The specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Caltrans, Division of Environmental Planning, District 7 projects’ environmental study area to extend into another adjoining Districts, including into District 5, across the Santa Barbara County Line; into District 6 and 9, across the Kern County Line; into District 8, across the San Bernardino County line and/or the Riverside County line; and into District 12, across the Orange County Line. In some instances, data collection may involve regional analysis beyond the counties identified or into adjoining states to properly assess the context and intensity of impacts to the concerned resources. In such instances, the project work shall not extend more than a thirty (30)-mile radius from the District/County, Division of Environmental Planning, District 7 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 Hazardous Waste Services in the USA.

Coverage Map

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Hazardous Waste Environmental/Initial Site Assessment, Site Investigation and Feasibility Study 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 1A is a list of proposed Caltrans projects for Division of Environmental Planning, District 7, 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 the “Location of Work” Section within the Division of Environmental Planning, District 7’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. 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.

4. At the sole discretion of Caltrans, Consultant may be required to provide the required services on capital out-lay support transportation projects, roadway safety projects, emergency projects, roadway rehabilitation projects, non-capital outlay support transportation projects, parcel investigation for acquisition purpose and excess land investigation for disposal purpose, or other current/future transportation projects, including minor and/or local agency support 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.

5. 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 safety, roadway rehabilitation, widening and/or realignment of existing facilities, relocation of existing facilities, and construction/reconstruction of new/existing 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.

6. 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 (when required).

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.

e. To represent Caltrans and meet/negotiate with regulatory agencies for project remedial feasibility.

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

a. Record search and agency file review.

b. Site Assessment/Site Evaluation.

c. Surveys (e.g. utility geophysical, monument/groundwater monitoring well, asbestos-containing material (ACM), lead-based paint (LBP).

d. Environmental Database Search Reports review.

e. Site Investigation of soil, soil vapor, surface water, and ground water.

f. Soil vapor, surface water, and ground water monitoring.

g. Remedial feasibility study, treatability study, hydro-static analysis, and remedial design work.

h. Structure (building/bridge) Inspection Survey.

i. Container inspection and hazardous material identification.

j. Contract and Task Order Support shall not excel 10% of the value of technical services.

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

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

10. The Consultant shall not negotiate or make decisions in Caltrans' name. Caltrans shall retain responsibility for initiating and managing all final consultation, both informal and formal, with other consultants; other contractors; Federal, State, and Local resource and regulatory agencies; and other involved agencies, regarding regulatory, project, project impacts, project mitigation proposals, project mitigation, project compensation, project proposals, and any issues. The Consultant shall be available (within two (2) working day(s) written notice) to provide advice and to participate in such consultations as required in each Task Order, as directed by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, and at the request of Caltrans. Should specific permits or agreements be required, Caltrans may require the Consultant to prepare appropriate information.

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

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

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

D. Workplan Standards Guide Codes.

Task Orders are based on the Caltrans Workplan Standards Guide (WSG). The latest WSG is found in the Guide to Project Delivery Workplan Standards Guide, which is available from the Caltrans’ Publication Unit and on the Internet at WSG 13.0 (ca.gov).

The WSG references the Work Breakdown Structure (WBS) categories, which are potential and related work activities applicable to the Contract. The WGS references WBS categories which present the potential and related work activities that the Consultant may be required to perform. All revisions to the current version of the Work Breakdown Structure (WBS) shall apply during the life of the Contract. Task Orders may include, but not be limited to, the Capital Project WBS 165 through WBS 280 elements listed below.

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

165 Perform Environmental Studies and Prepare Draft Environmental

Document (DED) (See Note 1)

165.10.35 Water Quality Studies

165.10.80 Hazardous Waste Initial Site Assessments/Investigations

165.10.85 Hazardous Waste Preliminary Site Investigations

• Prepare Work Plans

• Prepare Health and Safety Plans

• Provide Traffic Control

• Perform Soil Gas Surveys and Surface Geophysics

• Perform Trenching and Drilling

• Provide Surveys, including using GPS equipment

• Perform Well Installation, Development, and Destruction

• Aerially Deposited Lead Investigation Data Evaluation

• Activity Description

• Perform Soil and Water Sampling

• Perform Statistical Data Evaluation

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

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

• Decontamination and Disposal

185 Base Maps and Plan Sheets for PS&E Development

185.25.25 Water Well Abandonment Needs Determination

195 Right Of Way Property Management and Excess Land https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf

195.40.30 Hazardous Waste and Hazardous Materials

205 Permits and Agreements during PS&E Component

205.05 Required Permits

205.10 Permits

235 Mitigate Environmental Impacts and Clean Up Hazardous Waste

235.05 Environmental Mitigation

235.10 Detailed Site Investigation for Hazardous Waste

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

235.10.10 Hazardous Waste Sites Survey

235.10.15 Detailed Hazardous Waste Site Investigation

235.15 Hazardous Waste Management Plan

235.20 Hazardous Waste PS&E

235.25 Hazardous Waste Clean-Up

235.30 Certificate of Sufficiency

235.35 Long Term Mitigation Monitoring

255.10 Updated PS&E Package

270.66 Technical Support

280.50 Other Environmental Compliance

Notes:

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

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

E. General Personnel Requirements.

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

2. The Consultant is required to submit a written request and obtain the Caltrans Contract Manager’s prior written approval for any substitutions, additions, alterations, or modifications to the Consultant’s originally proposed personnel and project organization, as depicted on the proposed Consultant’s Organization Chart or the Consultant’s cost proposals. The Consultant personnel shall have the same job classification, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2, not exceed the billing rate, and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to

Caltrans. The Consultant personnel shall have significant experience in the work involving a similar transportation facility for at a minimum three (3) previous projects, unless otherwise approved by the Caltrans Contract Manager.

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

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

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

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

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

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

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

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

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

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

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

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

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

F. Hazardous Waste Site Investigation and Design Personnel Requirements.

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

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

2. Consultant Contract Manager.

The Consultant Contract Manager shall coordinate work-related matters and Consultant’s operations under the Contract with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager.

The Consultant Contract Manager shall have a minimum of five (5) years of responsible experience performing the duties as a contract manager for similar Hazardous Waste Site Assessment and Investigation and Remedial Feasibility Design Services contracts. The Consultant Contract Manager shall be knowledgeable about all Caltrans Standard Plans, Standard Specification, policies and procedures. The Consultant Contract Manager shall be an employee of the Consultant firm.

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

In addition to other specified responsibilities, the Consultant Contract Manager shall be responsible for all matters related to the Consultant’s personnel, Subconsultants, Hazardous Waste Site Assessment, Investigation and Remedial Feasibility Design Services work, and Consultant’s and Sub-Consultants’ operations including, but not limited to, the following:

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

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

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

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

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

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

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

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

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

j. Reviewing invoices for accuracy and completion before billing to

Caltrans.

k. Managing Subconsultants.

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

Contract Manager.

m. Monitoring and maintaining required DBE or DVBE involvement.

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

Task Order requirements.

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

3. Consultant Task Order Manager.

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

The Consultant Task Order Manager shall be accessible to the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager at all times during normal Caltrans working hours that Task Order work is underway.

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

The Consultant Task Order Manager shall be a Registered Professional Engineer or a Professional Geologist, Certified Engineering Geologist, Professional

Geophysicist, with a Certified Industrial Hygienist (CIH), Certified Asbestos Consultant (CAC), Certified Lead-Based Consultant, licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists, American Board of Industrial Hygiene, or California Department of Industrial Relation Division of Occupational Safety and Health (DOSH, Cal/OSHA) at all times during the Contract period, to perform the tasks described in the Contract and in the Task Orders, and shall have a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in Hazardous Waste Site Investigation and Design Services work depending on the substance of the Task Order. The appropriate profession(s) for the Consultant Task Order Manager shall be identified in each Task Order.

4. Consultant Task Order Lead person.

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

5. Consultant Personnel and Team Member Qualifications.

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

6. In the Contract, a person who is authorized to review and approve Consultant Hazardous Waste Site Investigation and Feasibility Study analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables in place of the Consultant Contract Manager shall be hereafter referred to as the Consultant Hazardous Waste Responsible Person. The Consultant Hazardous Waste Responsible Person, shall be a Registered Professional Engineer or Professional Geologist registered in the State of California signing deliverables under this and shall be currently employed by the Consultant or its Subconsultants at the time the deliverables are submitted to Caltrans for consideration under the review and acceptance process.

7. All analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables under the Contract not fully approved by Caltrans bearing the signature of the Consultant Hazardous Waste Responsible Person who is no longer employed by the

Consultant or its Subconsultants, shall be replaced by a Professional Engineer, or Professional Geologist registered in the State of California who is currently employed by the Consultant or its Subconsultants. In such an event, no additional time shall be allowed or cost reimbursed to the Consultant without the prior written approval of the Caltrans Contract Manager.

8. All of the Consultant’s work shall be conducted under the direction of the Consultant Contract Manager who shall have the appropriate experience as described in the Contract. All analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables under the Contract requiring the Consultant Hazardous Waste Responsible Professional Engineer or Professional Geologist registered in the State of California’s signature, shall be produced by the responsible Consultant personnel having…