1_59A1336_-RFQ_Notice_11y_07-25-2024.pdf

October 28, 2024 RFQ Number 59A1336

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 59A1336

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 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- two percent (22%). 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 Quality Assurance and/or Verification (QA/V) Services in Districts 1, 2, 3 and

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

B. The estimated contract amount is $13,510,406 - $21,954,410 mailto:Vanessa.Usanmaz@dot.ca.gov

C. The estimated contract term is three years.

D. Interviews will be held via WebEx on 12/17/2024. 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 01/28/2025. The fee for profit shall be ten percent, and the escalation shall be as follows:

Year Period Escalation

1 12/02/2024 - 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 - 03/31/2028 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 02/07/2025.

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

Federal Regulations, Part 26 (49 CFR 26) entitled "Participation by 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-two 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.

6. The requirement to advertise for the purpose of identifying potential DBEs as part of a Good Faith Effort (GFE) attainment is waived. See form ADM-0312F for more information.

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.

https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights

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

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

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

N. Pursuant to Executive Order N-12 – 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 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 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 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 12/02/2024. 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

SCOPE OF WORK/DELIVERABLES

Quality Assurance and/or Verification (QA/V) Services for Caltrans, Division of Engineering Services, Materials Engineering and Testing Services

(METS)

On-Call Contract

Northern California, Caltrans Districts 1, 2, 3, 10

A. Purpose of Work.

1. The Consultant shall perform consultation, research, professional and technical services required for On-Call Quality Assurance and/or Verification (QA/V) Services, including, but not limited to, all Verification (Inspection, Sampling and Material Testing) and quality management activities for materials at fabrication facilities and construction sites, on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Engineering Services, Materials Engineering and Testing Services (METS), 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.

2. The Consultant shall provide only the Architectural and Engineering (A&E) service defined in Government Code section 4525(d) in regard to the construction project management services defined in Government Code 4527(a) (“A&E Services”) in regard to the environmental services covered by this Agreement.

Only A&E Services are 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 15% of the total expenditures under this Agreement.

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

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

b. The services must be rendered for a Caltrans project or project development; and

c. The services and the professional licenses, registration or certifications must pertain to the following professional services:

i. Engineering Services

ii. Construction project management provided by licensed architects, or registered engineers.

d. With regard to A&E Services, the Consultant shall provide services to Caltrans including, but not limited to, the following project types:

I. All construction projects advertised, awarded, and administered (AAA) by

Caltrans in Caltrans Districts 1, 2, 3, and 10, in addition to all projects funded through Maintenance in Caltrans Districts 1, 2, 3, and 10.

II. All construction projects with an alternative method of procurement including Public Private Partnerships (P3) projects, Design-Build Projects, and Construction Manager General Contractor (CM/GC) Projects in Caltrans Districts 1, 2, 3, and 10.

B. Exclusion of Work.

1. The following is excluded:

a. All state-wide projects administered by local agencies.

b. All Construction project-specific work performed under Caltrans Districts

Capital Outlay Support program for materials testing and acceptance decisions.

c. All Independent Assurance Program/Reference Sample Program (IA/RSP) services for METS. (Existing contract 59A1007).

d. All projects advertised, awarded, and administered (AAA) by Caltrans in Caltrans Districts 4, 5, 6, 7, 8, 9, 11, and 12 in addition to all projects funded through Maintenance in Caltrans Districts 4, 5, 6, 7, 8, 9, 11, and 12.

e. All projects with an alternative method of procurement including Public Private Partnerships (P3) projects, Design-Build Projects, and Construction Manager General Contractor (CM/GC) Projects in Caltrans Districts 4, 5, 6, 7, 8, 9, 11, and 12.

f. All work performed under the Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS) for professional and technical services required for Quality Assurance (QA) Services of projects advertised, awarded, and administered (AAA) by Caltrans under the Statewide Contract North -Agreement 59A1189.

g. All work performed under the Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS) for professional and technical services required for Quality Assurance (QA) Services of projects advertised, awarded, and administered (AAA) by Caltrans under the Statewide Contract South -Agreement 59A1185.

h. All work performed under the Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS) for professional and technical services required for Quality Assurance (QA) Services of projects with an alternative method of procurement including Public Private Partnerships (P3) projects, Design-Build Projects, and Construction Manager General Contractor (CM/GC) Projects under the Alternative Delivery Contract -Agreement 59A1130. Agreement 59A1130 will be amended to exclude Caltrans Districts 1, 2, 3, and 10 prior to execution of this Contract.

i. All work performed under the Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS) for professional and technical services required for Quality Assurance (QA) Services of Oversight Projects funded by local agencies-Agreement 59A1192.

j. All work performed under the Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS) for professional and technical services required for Independent Quality Assurance (IQA) Services under T1 Steel Emergency Contract -Agreement 59A1278.

k. All work performed under the Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS) for consultation, research, professional and technical services required for Professional and Technical Specialist Engineering Services, related to materials management under the Corporate Contract -Agreement 59A1264.

l. All work under the Office of Engineering Services, Materials Engineering and Testing Services (METS) performing consultation, research, professional and technical services required for Independent Quality Assurance (IQA) Services, including, but not limited to all Verification (Inspection, Sampling and Material Testing) and quality management activities for structural materials at fabrication facilities and construction sites, under agreement 59A1000.

m. All work covered by Caltrans District roadway materials contracts is excluded from this contract.

n. Information technology (IT) related services including and not limited to all computerized and auxiliary automated information handling including Computer programming, Conversion of data, Data communications, Hardware, Information storage and retrieval, Requisite systems controls, Software (Custom Applications, COTS, MOTS, Desktop), and System design and analysis.

o. Information technology (IT) related services including Operation of application systems or programs including handling, assembling, or editing of input-output data or media where IT equipment or IT personnel are used.

C. Location of Work.

The work is initiated by Caltrans Division of Engineering Services, Materials Engineering and Testing Services (METS), Caltrans District 59, and shall be performed for projects to improve the State transportation system throughout all counties in Caltrans Districts 1, 2, 3, and 10. Source inspection activities may take place in geographic locations beyond the boundaries of these districts. In some instances, source inspection and 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 Caltrans District geographic boundary. The Consultant shall be capable of delivering the QA/V Services primarily in the USA. The Consultant shall be capable of performing QA/V Services at international locations if needed. The QA/V Services work shall be performed at Caltrans Division of Engineering Services, METS, Office of Quality Services and Source Inspection (OQASI). In support of the OQASI, the

Consultant will provide QA/V services for the materials to be performed at fabrication facilities, and field material inspection for projects located in Caltrans Districts 1, 2, 3, and 10.

D. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide QA/V 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 1 - Exhibit 1 is a list of proposed Caltrans projects; Caltrans Division of Engineering Services, METS, however, this list is not exclusive and it does not constitute a commitment that the projects will be initiated or completed or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of projects that are within the geographical jurisdiction of the Contract set forth in “Location of Work” Section within the Caltrans Division of Engineering Services, METS’s jurisdiction in Districts 1, 2, 3, and 10.

3. 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.

4. In the Contract is a list of proposed personnel classifications under the “Personnel

Qualifications" section for which services are anticipated to be needed by Caltrans during the term of the Contract; however, this is not an exclusive list of the personnel classifications of QA/V Services that may be requested. Caltrans reserves the right to add/or delete personnel classifications from this list.

Consultant personnel will work under the general direction of a Caltrans Senior.

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

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

7. 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.

8. Expected Technical Services: Under the direction of Caltrans’ OQASI, the assigned Consultant METS services will include:

a. Work with Customers of Caltrans’ OQASI as the single point of contact.

Caltrans OQASI customers are Resident Engineers (RE), Structure Construction Representatives (SR), Design, Maintenance, local agencies, contractors, suppliers, and vendors. Conduct various materials-related meetings and help support effective materials management for the project.

b. Manage verification and acceptance of work product pursuant to QA/V activities in accordance with the guidelines set forth by Caltrans.

c. Make objective and reasonable materials engineering decisions related to ensuring material and products used in Caltrans construction projects comply with contract requirements including performing project engineering reviews to identify material-related issues that may affect project quality.

d. Assist Caltrans in anticipating and resolving any issues associated with material source inspection, QA/V activities. Meets with appropriate Caltrans project personnel to identify materials related issues and recommends solutions consistent with project documents and Caltrans OQASI’s Quality System manuals.

e. Analyze material data provided by technical staff, including inspectors, in order to determine engineering solutions and provide engineering recommendations to OQASI customers.

f. Provide direction to inspectors and technical staff regarding materials inspection requirements.

g. Maintain standards and consistency while minimizing the impact on work schedule and cost.

h. Visit job sites, fabrication and manufacturing shops as needed to ensure adequate QA/V measures are employed in order to ensure compliance with project requirements. Ensure all Quality Control Plans are reviewed and submitted on time and review inspection reports in a timely manner.

Complete other QA/V related duties as assigned by the Caltrans OQASI Branch Seniors in a Task Order.

i. Provide Metallurgical Engineering, Welding Engineering, Corrosion Engineering, Failure Analysis Engineering, Structural Concrete Engineering, Civil Engineering, Electrical Engineering and technician support services for the testing and evaluation of materials to be used in Transportation Projects. These services are to include field inspection and testing, shop inspection and testing, and evaluation of materials used in major transportation structures.

j. Provide American Society of Nondestructive Testing (ASNT) Level III services in Ultrasonic Testing (UT), Radiographic Testing (RT) including

Digital Radiographic Testing (Digital RT), Penetrant Testing (PT), and Magnetic Particle Testing (MT).

k. Provide American Society of Nondestructive Testing (ASNT TC-1A) Level II services in Ultrasonic Testing (UT), Radiographic Testing (RT) including Digital Radiographic Testing (Digital RT), Penetrant Testing (PT), and Magnetic Particle Testing (MT). For Phased Array Ultrasonic Testing (PAUT), the Consultant shall provide services in accordance with AWS D1.5 Annex K4.2.

l. Provide American Welding Society (AWS) Certified Welding Inspector (CWI) services. For Fracture Critical Members (FCM), the Consultant shall provide services in accordance with AWS D1.5-10 Section 12.

m. Provide National Associate of Corrosion Engineers (NACE) Certified Coating Inspector Level III services. Provide technical expert services for the testing and evaluation of paint and protective coatings. These services are to include field testing, shop testing, and evaluation of materials.

n. Provide Prestressed Concrete Institute (PCI) Level II inspection services.

o. Provide Prestressed Concrete Institute (PCI) Level III inspection services.

p. Provide Structural Steel & Precast Prestressed concrete fabricator audits and programmatic assessment services. Consultant personnel providing audit activities must have past experience of reviewing quality management systems and performing audits or shall be currently certified as certified quality auditor (CQA) by American Society of Quality.

q. Sample and test materials for verification and acceptance in accordance with the provisions of this Agreement.

r. Support METS SMS Branch to perform audits of fabrication and supplier facilities, act as liaison with industry, and help manage OQASI database and standards.

s. Perform Plant inspections for QA/V.

t. Perform material source inspection.

u. QA/V and audit functions as requested.

v. Provide incidental support services in claim resolutions.

w. Maintaining awareness of safety and health requirements and enforcing applicable regulations – Departmental, State, Federal, site-specific and contract provisions – for the protection of the public and project personnel.

x. Preparing calculations, records, reports, and correspondence related to project activities, contract change orders, and claims issues.

y. Providing incidental engineering support services associated with QA/V activities described above as needed by the Caltrans Resident Engineers (RE), Caltrans Structure Construction Representatives (SR), and approved by the Caltrans Contract Manager for contract change orders, and claims issues, provided the aggregate costs of these services does not exceed 10% of the total contract cost. Assisting and advising Caltrans as technical experts in forensic investigations and during the Construction Claims process including, but not limited to, the Dispute Review Board (DRB), District Board Review (DBR) and Arbitration processes relating to, but not limited to, failure analysis, structural concrete, welding, structural steel members fabrication, precast concrete members fabrication, fasteners, and painting.

z. Utilizing the most cost-effective alternatives without sacrificing quality in all operational endeavors, including, but not limited to, staff assignments, overtime, travel, per-diem, and any reimbursable Other Direct Cost items.

aa. Caltrans reserves the right to add/or delete personnel classifications from this list. Consultant personnel will work under the specific direction of the Consultant Task Order Manager who receives general direction from Caltrans Seniors in the Office of Quality Assurance and Source Inspection

(OQASI).

9. 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.

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

Caltrans, Division of Engineering Services, METS, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

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

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

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/hq/projmgmt/guidance.htm. The WSG references the Work Breakdown Structure (WBS) categories, which are potential and related work activities applicable to the Contract. The WGS references WBS categories which present the potential and related work activities that the Consultant may be required to perform. All revisions to the current version of the Work Breakdown Structure (WBS) shall apply during the life of the Contract.

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

160.10.75 Update Materials Information

180.05 Final Project Report

185.20.25 Preliminary Materials Report

240.85 Overall Draft Structure Plans

250.50 Project Review

270.44 Control of Materials

270.66 Technical Support

285.10.15 Other Functional Support

290 Resolve Contract Claims

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.

F. General Personnel Requirements.

1. Independent Contractor Status

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

b) Consultant Personnel Relationship

i. Consultant is an independent contractor, and nothing contained in the Contract shall be construed as constituting any relationship with Caltrans other than that of Project owner and independent contractor, the Consultant. In no event shall the relationship between consultant personnel and Caltrans be construed as http://www.dot.ca.gov/hq/projmgmt/guidance.htm creating any relationship whatsoever between Caltrans and any of Consultant’s employees.

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

c) Consultant Personnel - Supervision Control and Instructions

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

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

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

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

d) Skilled and Qualified Labor

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

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

e) Consultant agrees that:

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

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

iii. Consultant shall provide its own tools, equipment and supplies, and Consultant shall not rely on Caltrans to provide such tools, equipment, and supplies. Notwithstanding the foregoing, Caltrans may, during the term of the Contract, allow Consultant to access selected items of equipment; provide non-employee User-Ids and related access to Caltrans computer systems to Consultant employees and subconsultants; and provide non-employee access cards and other such forms of identification to Consultant employees and subconsultants.

iv. Consultant shall advise its employees and subconsultants of the foregoing 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 Contact Manager.

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

3. 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.

4. 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.

5. 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.

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

7. 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.

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

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

10. 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.

11. 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.

12. 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.

13. The Consultant is responsible to provide fully trained personnel to efficiently perform the work. The Consultant’s personnel may be asked to attend certain special training if recommended by the Caltrans Contract Manager. On such occasions, with the approval of the Caltrans Contract Manager, Caltrans 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.

14. 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.

G. 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…