1)_12A2196_-_RFQ_Notice.pdf

March 25, 2024 RFQ Number 12A2196

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 12A2196

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

Add date and section(s) to be 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 Vanessa Usanmaz at Vanessa.Usanmaz@dot.ca.gov . Questions must be received no later than seven (7) business days after the RFQ advertisement.

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

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 percent (20%). 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 Roadway Design and Related Project Development and Construction Services, Hydraulics Engineering Services and Landscape Architecture Services for Caltrans, Division Project Delivery, District 12. 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 $3,600,000 - $5,850,000.

C. The estimated contract term is five years.

mailto:Vanessa.Usanmaz@dot.ca.gov

D. Interviews will be held via WebEx on May 9, 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 May 15, 2024. The fee for profit shall be ten percent, and the escalation shall be as follows:

Year Period Escalation

1 04/25/2024 - 04/30/2025 2.08% 2 05/01/2025 - 04/30/2026 4.17% 3 05/01/2026 - 04/30/2027 4.17% 4 05/01/2027 - 04/30/2028 4.17% 5 05/01/2028 - 04/30/2029 4.17% 6 05/01/2029 - 06/30/2029 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 June 27, 2024.

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

Disadvantaged Business Enterprises in Department of Transportation 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 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 is not identified in the most current lists located https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-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 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 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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

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

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

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

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

Additional information about Conflict-of-Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI. Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website (see link 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 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 04/25/2024. 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, Vanessa Usanmaz, at Vanessa.Usanmaz@dot.ca.gov containing the information listed below for a link and instructions to complete the self-registration page and submit the SOQ electronically.

• Your firm’s name

• Your email address

• The solicitation number for which you would like to submit a SOQ The file name shall include the contract number, consultant name (max. 25 characters) separated by an underscore (_), ending with the “.pdf” extension.

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

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

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

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

Attachment 1

Revised 05/15/2018

SCOPE OF WORK/DELIVERABLES

Roadway Design and Related Project Development and Construction Services, Hydraulics Engineering Services, and Landscape Architecture Services

For Caltrans, Division Project Delivery, District 12 On-Call Contract

A. Purpose of Work.

The Consultant shall perform professional and technical services required for Roadway Design and related Project Development and Construction Services, Hydraulics Engineering Services, and Landscape Architecture Services, on an “as-needed” basis to support Caltrans, Division of Project Delivery, District 12.

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

B. Explanation of Work.

The Caltrans Contract Manager shall assign specific work to the Consultant 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. This Contract does not guarantee that a Task Order shall be issued.

1. Exclusion of Work.

The following disciplines are excluded from the Contract:

a. Traffic Engineering - includes traffic forecasting, traffic modeling, traffic studies, and development of Traffic Management Plans.

b. Environmental Studies - includes Preparation of Draft and Final Environmental Document and all permit activities to environmental agencies.

c. Structural Engineering - includes new or retrofit design of bridge or major building facility structures.

d. Geotechnical Engineering - includes all geotechnical testing, analysis, studies and reports.

e. Material Testing - field testing of any material for design use or construction material testing.

f. Land Surveying.

g. Right of Way Engineering.

h. Water Quality.

i. Visual Impact Analysis.

j. Value Analysis.

k. Architecture.

l. Existing Design Support - The Consultant shall not provide support for any elements designed by other consultants.

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

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All design tasks including, but not limited to, reviewing approved Project Initiation Documents (PID) and Constructability Reviews, may be assigned as work under the Contract.

The Consultant for the Contract shall perform the services described in the scope of work for this Contract (Scope of Work) after the contract authority for contract 12A1863 is exhausted. The Consultant shall plan accordingly to meet the timing of and the volume of work load needs.

C. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the county of Orange in California within the limits of District 12. The specific location within the above-described geographical limits of the work to be performed shall be identified in each Task Order. It may become necessary for projects to extend into adjoining District 7, District 8 and District 11 and its County lines. 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 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 Roadway Design and related Project Development and Construction Services, Hydraulic Engineering Services, and Landscape Architecture Services primarily in the

USA.

The following projects and contracts are excluded until the contract authority for the associated contracts are expired:

Contract Project EA Project ID Description

12A1869 12-0Q970 1218000010 Route 405 Asset Management Project

12A1861 12-0R311 1220000021 State Route 91 Multi-Asset Project from

Los Angeles County Line to Acacia Street Undercrossing

12A1857 12-0R312 1220000022 State Route 91 Multi-Asset Project from Acacia Street Undercrossing to 0.1-mile East of La Palma Avenue Overcrossing

12A1857 12-0R313 1220000025 State Route 91 Multi-Asset Project from

0.1 mile East of La Palma Avenue Overcrossing to Route 91/55 Separation

12A1857 12-0R314 1220000026 State Route 91 Multi-Asset Project from Route 91/55 Separation to 0.8 mile east of Lakeview Ave Overcrossing

12A1861 12-0R315 1220000027 State Route 91 Multi-Asset Project from

0.8 mile east of Lakeview Avenue Overcrossing to Riverside County Line

12A1798 12-0R560 1218000117 Various Connectors Rehabilitation Project

Interstate 5 Managed Lanes Project EA 12-0Q950 (Project ID 1218000006) is excluded from this Contract.

D. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Roadway Design and related Project Development and Construction Services, Hydraulics Engineering Services, and Landscape Architecture Services, within the geographical jurisdiction of this Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product. The Consultant shall assist Caltrans, Division of Project Delivery, District 12, to produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package. The specific services shall be described in the attachment templates chosen to create the scope of work for this Contract. The attachment templates that were used with this base template to create the complete Scope of Work are as follows:

A - Roadway Design and related Project Development and Construction Services B – Hydraulics Engineering Services C - Landscape Architectural Services

2. Provided in Attachment D is a list of proposed Caltrans projects for the Division of Project Delivery, District 12. This list is not exclusive, however, 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 this Contract set forth in “Location of Work” Section.

Caltrans intends to utilize this Contract to complete a specific piece of work as long as it is located within the geographical jurisdiction of this Contract set forth in the “Location of Work” for each of the projects listed in this 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 this Contract and includes part of the work contained in this 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 this 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 this 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 this 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 this Contract. Such partial termination for convenience shall be processed by amendment to this 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 subconsultants, and shall not allow any other party to manage, instruct and supervise such parties.

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

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

d. The work performed by Consultant, its employees and its subconsultants 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 subconsultants; and provide non-employee access cards and other such forms of identification to Consultant employees and subconsultants.

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

h. Consultant shall advise its employees and subconsultants of the foregoing

Contract 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.

4. A wide range of tasks associated with the requested services should be expected.

The Consultant shall perform and have the expertise, capability, and equipment necessary to perform this Scope of Work.

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

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

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

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

(PDT) meetings or other Caltrans meetings.

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

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

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

8. Maintaining a stable work force is essential to the successful completion of Caltrans work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

9. The Consultant may be expected to spend time for extended assignments to perform

A&E services at Caltrans offices close to the construction Contractor to expedite the review process. At the sole discretion and convenience of Caltrans, Caltrans may permit Consultant to use office space, office equipment (such as copiers, printers and telephones) and furniture at various Caltrans (field) offices on a short-term, temporary basis. Consultant will provide its own computers, office supplies, and related work materials. The Consultant, including its Subconsultants, shall include the Field Office Indirect Cost Rate in its cost proposals and use the Field Office Indirect Cost Rate in billing Caltrans for those personnel utilizing Caltrans’

(field) office facilities, and the cost rates will reflect the Consultant’s lower costs where Caltrans provides office space, office equipment and furniture. If the Consultant, including its Subconsultants, does not currently have a Field Office Indirect Cost Rate, it will develop and use a Field Office Indirect Cost Rate to reflect an equitable distribution of allowable costs to the Contract (as specified in 48 CFR 31.203(f)). When working on-site in the Caltrans Facilities, the Consultant shall adjust its hours to meet the business needs of Caltrans and shall generally work and be present during Caltrans building business hours (which are 8:00 a.m.

- 5:00 p.m.) The business hours can be adjusted in different Task Orders.

10. The Roadway Design and related Project Development and Construction

Services, Hydraulics Engineering Services and Landscape Architecture Services shall include, but not be limited to, tasks pertaining to Project Reports (PR), PS&E bidding documents, and other project delivery activities. Specific work in the following areas may be needed:

a. Independent Cost Estimating for PS&E or Project Report phase for all cost items in construction project(s), which may include the preparation of a critical path construction schedule that is used to determine the construction contract duration.

b. Americans with Disability Act (ADA) compliance for transportation facilities and right-of-way, which includes work in site assessments, PR and PS&E.

c. Technical/Specification writing for PR, and PS&E phases.

d. Drafting services for PS&E or other project drawings for this project(s).

11. The Consultant shall assist Caltrans Office Engineer by providing answers to the bidders’ questions during advertisement and award phase.

12. If set forth in an authorized Task Order, the Consultant shall assist Caltrans, Division of Project Delivery, District 12, in reviewing the construction contractor’s Request for Information by performing independent modeling, analysis, and engineering studies during construction.

13. The Consultant shall assist Caltrans, Division of Project Delivery, District 12 in preparing Project Change Orders.

14. The Consultant shall assist Caltrans, Division of Project Delivery, District 12, in reviews and approvals of all submittals from the construction contractor. The Consultant shall refer to the most recent Caltrans Standard Specifications for the allowable submittal review times.

15. Where directed in a Task Order, the Consultant performs the following tasks:

a. Review all available existing documents (As-Built Plans, reports, and others).

b. Determine member properties and weight.

c. Prepare complete PS&E construction contract packages in both English and Metric units for a construction contract (or contracts) as directed by the executed Task Orders. The plan sheets shall be electronically prepared using the Caltrans Division of Design’s format. As-built record drawings shall be utilized to the maximum extent possible.

16. Perform Constructability Review: This task involves reviews of plans, special provisions, and construction sequencing. Review and approve plans and stage construction prepared by the construction contractor.

E. Workplan Standards Guide Codes.

Task Orders are based on the Caltrans Workplan Standards Guide (WSG). The latest WSG is found in the Guide to Project Delivery Workplan Standards Guide, which is available from the Caltrans’ Publication Unit and on the Internet at http://www.dot.ca.gov/projmgmt/reports.html. The WSG references the Work Breakdown Structure (WBS) categories, which are potential and related work activities applicable to this 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 this Contract. Refer to the attachment template(s) used with this base template for the WBS activities applicable to this Contract.

F. General Personnel Requirements.

1. The Consultant’s personnel shall be capable, competent, and experienced in performing the types of work in this 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.

s160185 Sticky Note Accepted set by s160185 s160185 Sticky Note None set by s160185

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

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

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

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

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

7. The Caltrans Contract Manager and/or Caltrans Task Order Manager may interview the Consultant’s personnel for the qualifications and experience. The Caltrans Contract Manager’s and/or Caltrans Task Order 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 and/or Caltrans Task Order Manager within one (1) week of receiving the request.

8. The Caltrans Contract Manager and/or Caltrans Task Order Manager shall evaluate the adequacy (quality and quantity) of the work performed by the Consultant’s personnel, and determining whether the deliverables satisfy the acceptance tests and criteria. The Caltrans Contract Manager and/or Caltrans Task Order Manager may reject any Consultant personnel who are determined by the Caltrans Contract Manager and/or Caltrans Task Order 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 this 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 this Contract.

11. Other project personnel who are not identified on the Consultant’s cost proposal 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 this 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 this 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.

14. The attachment scopes chosen for this Contract, as indicated in the Required Services section previously, will specify personnel requirements for the Consultant depending on the work. The attachment templates used with this base template to create the complete Scope of Work are as follows:

A - Roadway Design and related Project Development and Construction Services B - Hydraulics Engineering Services

15. 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 this Contract and all work specified in a Task Order along with any emergencies that may arise during the life of this Contract. The Consultant shall be prepared to provide additional personnel, as necessary, during the period performance of this Contract to accommodate the work.

G. Consultant Contract Manager.

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

The Consultant Contract Manager shall have a minimum of five (5) years of responsible experience performing the duties as a Consultant Contract Manager leading a team of engineering firms for similar A&E Services as identified in the

Request for Qualifications (RFQ). The Consultant Contract Manager shall be knowledgeable about all Caltrans policies and procedures. The Consultant Contract Manager shall be a Registered Professional Civil Engineer 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 delivering the A&E required services identified in the RFQ for this Contract. The Consultant Contract Manager shall be an employee of the prime Consultant.

a. Each cumulative set of 5 years and 10 years minimum years of experience, gained from multiple projects at various times, shall be in serial (not in parallel order), with the total time not accounting for double-counting or any overlapping within each set of the two types of experience.

b. Specific contract management experience shall be detailed for each relevant project listed in the resume section of the Statement of Qualifications (Section E of the Standard Form 330) with a brief description of each project and include significant details of the previous role that best demonstrates the person's capability and experience relevant to his/her proposed role in this Contract and consistent with the RFQ.

c. Specifically for the five (5) years of responsible experience performing the duties as a Consultant Contract Manager, the other Project Manager, Design Manager, Lead Designer, and other lead role position experiences will not qualify for the Consultant Contract Manager experience as outlined in the RFQ for Personnel Requirements under Consultant Contract Manager.

In addition to other specified responsibilities, the Consultant Contract Manager shall be responsible for all matters related to the Consultant’s personnel, Subconsultants, requested 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 the Contract and provide report to the Caltrans

Contract Manager.

m. Monitoring and maintaining required DBE involvement.

n. Ensuring compliance with the provisions in this Contract and all specific Task Order requirements.

o. Assuring Consultant and Subconsultant personnel are thoroughly trained in Caltrans’ policy concerning discrimination and sexual harassment, specifically regarding identification, prevention, reporting and investigation of inappropriate conduct.

H. Consultant Task Order Manager.

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

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

The Consultant Task Order Manager shall be a Registered Professional Civil Engineer 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 five (5) years of demonstrated experience acceptable to Caltrans in delivering the A&E required services identified in the RFQ.

I. 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.

J. Consultant Responsible Person.

1. The attachment scopes of work for this Contract will indicate specific personnel requirements for the Consultant Responsible Person, depending on the work. The attachment templates that can be used with this base template to create a complete Scope of Work are as follows:

A - Roadway Design and related Project Development and Construction Services B - Hydraulics Engineering Services

2. One contract may have multiple Consultant Responsible Persons with differing minimum requirements, depending on the attachment templates chosen (A-C) to create the scope of work.

3. In this Contract, a person who is authorized to review and approve Consultant 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 Responsible Person for a particular attachment scope (A-C).

4. The Consultant Responsible Person’s minimum requirements will be specified in each attachment scope of work (A-C).

5. The Consultant Responsible Person 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.

6. 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 this Contract not fully approved by Caltrans bearing the signature of the Consultant Responsible Person shall be replaced by analytical results, estimates, notes, calculations, analysis, reports, graphics, drawings, product, data, details, other documents, other items, and deliverables under this Contract bearing the signature of a qualified replacement Consultant Responsible Person 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.

7. 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 this 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 this Contract requiring the Consultant Responsible Person’s signature, shall be produced by the responsible Consultant personnel having appropriate experience, and shall be signed by the Consultant Responsible Person.

8. The page which identifies the preparer of engineering reports, technical studies, the title sheet for specifications, and each sheet of plans, shall each bear the professional seal, certificate number, registration classification, expiration date of the certificate, and the signature of the Registered Professional Engineer(s)/Landscape Architect(s) licensed in the State of California in good standing with the California State Board for Professional Engineers, Land Surveyors, and Geologists/ California Architects Board Landscape Architects Technical Committee at all times during the Contract period, responsible for their preparation.

9. Subconsultant personnel shall follow the same requirements as Consultant personnel.

I. Consultant Availability and Work Hours.

1. The typical workday includes all hours worked by the Caltrans construction contractor on the project as identified in the Task Order and also as directed by the Caltrans Contract Manager.