1_RFQ_NOTICE_09A1060.pdf

February 20, 2025 RFQ Number 09A1060

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 09A1060

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

Add date and section(s) to be revised

• On 01/31/25, GENERAL the Fee & Escalation table has been revised

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

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 fourteen percent (14%). 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 Biological Services, District 09. 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 $4,800,667 - $7,801,084.

mailto:alma.cortez@dot.ca.gov

C. The estimated contract term is three years.

D. Interviews will be held via WebEx on April 8, 2025. 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, 2025. The fee for profit shall be ten percent, and the escalation shall be as follows:

Year Period Escalation

1 03/24/2025 – 03/31/2026 1.81% 2 04/01/2026 - 03/31/2027 3.62% 3 04/01/2027 - 03/31/2028 3.62% 4 04/01/2028 – 06/08/2028 3.62%

Notes:

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

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

G. The scheduled date to complete cost negotiations and submit final cost proposal is May 29, 2025.

H. Disadvantaged Business Enterprise Program

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

Financial Assistance Programs." To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation. The required goal for DBE participation in this solicitation is not less than fourteen 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://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions.

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

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

1. The State of California seeks to realize the potential benefits of

GenAI, through the development and deployment of GenAI tools, while balancing the risks of these new technologies.

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

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

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

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

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

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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

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

B. If the proposed team determines that any actual or potential conflicts of interest exists, it must identify and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the AE Contract Information website. Along with the description of the actual or potential conflicts of 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 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 03/24/2025. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

Send an email message to the Contract Analyst, Alma Cortez, at alma.cortez@dot.ca.gov containing the information listed below for a link and instructions to complete the self-registration page and submit the SOQ electronically.

• Your firm’s name

• Your email address

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

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

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

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

mailto:alma.cortez@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Attachment 1

Revised 07/02/2021

SCOPE OF WORK/DELIVERABLES

Biological Services for Caltrans, Division of Environmental, Biological Services Program, District 09 On-Call Contract

FOR ENVIRONMENTAL - BIOLOGICAL: (Biological)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Biological Services, including, but not limited to, field sampling, construction materials testing, analysis, reports, plant inspection and work related to testing equipment calibration, on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Environmental, Biological Services Program, District 09, from 0 phase to 3 phase completion of various projects, 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.

1. Exclusion of Work.

The following disciplines are excluded from the Contract:

a. Hazardous Waste

b. Environmental Generalist

c. Air Quality

d. Cultural Resource

e. Noise Studies

f. Paleontological Resources

g. Water Quality studies

h. Visual Impact Analysis

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All tasks including, but not limited to, biological services, may be assigned as work under the Contract.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Inyo, Mono, and Eastern Kern in California, within the limits of District 09. The/other specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task

Order. It may become necessary for Caltrans, Division of Environmental, Biological Services Program, District 09, projects to extend into another adjoining Division of Environmental, Biological Services Program, District 6, 8, or 10/County line. Certain San Bernardino County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' District 09 outside of the boundary of Caltrans’ District 09.

In some instances, data collection may involve regional analysis beyond the counties identified or into adjoining states to properly assess the context and intensity of impacts to the concerned resources. In such instances, the project work shall not extend more than a thirty (30)-mile radius from the District/County, Division of Environmental, Biological Services Program, District 09 geographic boundary. These services shall be required to be provided domestically within the continental U.S.A. as well as internationally. The Consultant shall be capable of delivering the Biological Services primarily in the USA. Biological Services may be required at international locations.

The Consultant shall be capable of performing Biological Services at international locations if needed. The Biological Services work shall be performed at Division of Environmental, Biological Services Program, District 09 Office.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Biological 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. The Consultant shall assist Caltrans, Division of Environmental, Biological Services Program, District 09, to produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package.

2. Provided in Section C, #8 is a list of proposed Caltrans projects; Division of

Environmental, Biological Services Program, District 09, however, this list is not exclusive and it does not constitute a commitment that the projects will be initiated or completed or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of projects that are within the geographical jurisdiction of the Contract set forth in “Location of Work” Section within the Division of Environmental, Biological Services Program, District 09’s jurisdiction.

Caltrans intends to utilize the Contract to complete a specific piece of work as long as it is located within the geographical jurisdiction of the Contract set forth in the “Location of Work” for each of the projects listed in the Contract utilizing the services described in this Scope of Work and as described in a Task Order. In the future, Caltrans may find it necessary to create a separate contract (or contracts) that involves a specific project listed in the Contract and includes part of the work contained in the Contract. Caltrans reserves the right to procure Architectural and Engineering (A&E) services involving the listed projects or unlisted projects (within the geographical jurisdiction of the Contract set forth in “Location of Work” Section) involving in whole or in part the same work using a project-specific agreement if the schedule to complete performance of the specific project extends beyond the term of the Contract or the cost to complete the specific project exceeds the dollar balance remaining in the Contract after accounting for amounts due to the Consultant for work previously performed and for work that is scheduled to be performed in executed task orders.

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

3. In the Contract is a list of proposed personnel classifications for which services are anticipated to be needed by Caltrans during the term of the Contract; however, this is not an exclusive list of the personnel classifications of Biological Services that may be requested. Caltrans reserves the right to add/or delete personnel classifications from this list. Consultant personnel will work under the general direction of a Caltrans Senior.

4. Consultant agrees that:

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

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

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

d. The work performed by Consultant, its employees and its subcontractors shall be a regular part of Consultant’s regular and established business.

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

f. Consultant shall provide its own tools, equipment and supplies, and Consultant shall not rely on Caltrans to provide such tools, equipment and supplies. Notwithstanding the foregoing, Caltrans may, during the term of the Agreement, allow Consultant to access selected items of equipment;

provide non-employee userids and related access to Caltrans computer systems to Consultant employees and subcontractors; and provide non-employee access cards and other such forms of identification to Consultant employees and subcontractors.

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

5. A wide range of Biological Services tasks should be expected. The Consultant shall perform and have the expertise, capability, and equipment necessary to perform this Scope of Work, including, but not limited to, any or all of the following types of tasks/reports/studies/activities/functions which will all be related to Biological Services:

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

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

b. Wetland delineation.

c. Construction monitoring.

d. Mitigation implementation monitoring.

Task Orders may be assigned for the above work.

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

7. The work shall be performed pursuant to the National Environmental Policy Act (NEPA), California Environmental Quality Act (CEQA), regional, local, and other applicable statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines.

8. The projects that Caltrans, Division of Environmental, Biological Services

Program, District 09 plans to work on under the Contract are as follows:

Project Number Co-Rte-PM Project Description 0916000021 INY-395-117.3/117.9 Meadow Farms ADA 0918000015 MNO-395-50.6/53.1 Lee Vining Rehab 0918000018 MNO-395-76.0/80.6 Bridgeport Rehab 0918000036 KER-014-12.6/16.7 Mojave Pavement

0919000006 KER-058-77.2/88.56 Keene Pavement 0919000028 MNO-Var-Var Mammoth Lakes 395 Wildlife Crossing 0919000036 INY-395-114.0/114.9 Schober Lane TWLTL 0919000067 KER-058-99.8/107.7 Cache Creek Pavement 0919000068 MNO-203-0.0/8.671 203 Pavement 0919000069 KER-178-88.6/104.6 Ridgecrest/Inyokern Pavement 0919000070 INY-395-57.9/59.0 North Lone Pine Pavement 0920000012 KER-395-1.6/2.4 Randsburg Drainage Improvements 0920000043 MNO-395-66.0/68.0 North Conway Truck Lane 0921000046 KER-014-0.0/4.7 Rosamond Rehab 0922000005 KER-014-46.2/58.6 Freman Gulch Safety Improvements 0923000022 INY-395-100.8/113.0 Keough CAPM 0923000070 MNO-395-93.8/93.8 Sonora Junction Maintenance Station Remodel Various Var-Var-Var Maintenance Projects

The above list is not an exclusive list of projects.

9. 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.

10. 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.

11. 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.

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

Caltrans, Division of Environmental, Biological Services Program, District 09, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

13. 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.

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

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

CEQA.

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

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

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

a. Threatened and Endangered Species (For example, Least Bell’s Vireo, Desert Tortoise, Vernal pool fairy shrimp).

i. Studies.

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

iii. Mitigation planning and implementation.

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

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

c. Protocol or Specialized Surveys.

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

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

DFG protocol information).

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

d. Specialized Reports and Studies.

i. Habitat Mitigation and Monitoring Plans (HMMP).

ii. California Rapid Assessment Method (CRAM).

iii. Wildlife Corridor Studies.

iv. Post Construction Monitoring Reports.

e. General Surveys and Studies.

i. Wildlife Crossings and Corridor Studies.

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

iii. Vegetation mapping.

iv. Invasive species mapping.

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

i. Mitigation Plan preparation.

ii. Monitoring of mitigation sites.

g. Permit Application Preparation (specify agencies).

h. Construction Monitoring.

i. Biological monitoring.

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

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

Consultant shall have expertise in conducting assessment of wetland functions and values using published procedures such as the Habitat

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

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

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

20. When authorized by the Caltrans Contract Manager and required by a Task Order, the Consultant may establish direct contact for the purpose of obtaining information, expertise, and assistance in developing baseline data and resource inventories relative to the project OR assist with coordination to achieve compatibility with the concerns and requirements of Caltrans and other resource or regulatory agencies with, but not limited to: other consultants; other contractors; Federal, State, and Local resource and regulatory agencies; U.S.

Army Corps of Engineers; U.S. Fish and Wildlife Service; National Marine Fisheries Service; U.S. Forest Service; U.S. National Park Service; U.S.

Department Of The Interior Bureau of Land Management; Federal Highway Administration; California Department of Fish and Wildlife; California Fish and Game Commission; California Department of Parks and Recreation; California State Water Quality Control Boards; California State Water Resources Control Boards; California Regional Water Resources Control Boards; California Coastal Commission; Native American Heritage Commission; Regional Clearinghouse of the California Historical Resources Information System; Regional Water Quality Control Boards; other involved agencies; other agencies; institutions; researchers or groups; and others.

a. Caltrans shall provide prior written approval for, and may participate in, any and all contacts, intra-agency scoping meetings, or other meetings with resource or regulatory agencies to discuss the project, project impacts, project mitigation proposals, project mitigation, project compensation, project proposals. The Consultant shall maintain a record of all such contacts and shall transmit copies of these records to Caltrans, at a minimum, with the regular monthly progress reports.

b. The Consultant shall not commit Caltrans to any mitigation measures or mitigation compensation.

c. The Consultant shall not negotiate or make decisions in Caltrans' name.

Caltrans shall retain responsibility for initiating and managing all final consultation, both informal and formal, with other consultants; other contractors; Federal, State, and Local resource and regulatory agencies;

and other involved agencies, regarding regulatory, project, project impacts, project mitigation proposals, project mitigation, project compensation, project proposals, and any issues. The Consultant shall be available (within two (2) working day(s) written notice) to provide advice and to participate in such consultations as required in each Task Order, as directed by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, and at the request of Caltrans. Should specific permits or agreements be required, Caltrans may require the Consultant to prepare appropriate information.

21. Consultant shall participate in an informal consultation process with Caltrans and responsible Federal and State agencies to develop recommendations for project modifications to eliminate or lessen project impacts on sensitive biotic resources, including species of concern. Similar consultation may also be required to develop measures to compensate for unavoidable Project impacts identified by these studies and to develop mitigation measures. Measures agreed to by Caltrans during informal consultation with responsible Federal and State agencies shall be included in relevant reports. If agreement cannot be reached, all recommendations for project modifications and/or mitigation/compensation measures developed through this informal consultation process, including general strategies for monitoring the success of proposed mitigation measures shall be presented in a separate transmittal document to accompany the appropriate report(s).

D. Workplan Standards Guide Codes.

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

https://dot.ca.gov/manuals

165 Perform Environmental Studies and Prepare Draft Environmental

Document (DED)

165.05 Environmental Scoping of Alternatives Identified for Study in PID

(Project Initiation Document)

165.05.05 Project Information Review

165.05.10 Public and Agency Scoping Process

165.05.15 Alternatives for Further Study

165.10 General Environmental Studies

165.15 Biological Studies

165.15.05 Biological Assessment

165.15.10 Wetlands Study

165.15.15 Resource Agency Permit Related Coordination

165.15.20 Natural Environment Study (NES) Report

165.15.99 Other Biological Studies

165.25.20 Environmental Quality Control and Other Reviews

165.25.30 Environmental Coordination

165.30 NEPA Assignment

170.05 Required Permits

170.10 Permits

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

170.10.10 U.S. Forest Service PLACs

170.10.20 Department of Fish and Wildlife 1600 Agreement(s)/2080.1/2081

Permit(s)

170.10.25 Coastal Development Permit

170.10.30 Local Agency Concurrence/PLACs

170.10.45 U.S. Fish and Wildlife Service/National Marine Fisheries Service

Approval

170.10.50 Regional Water Quality Control Board 401 Permit

170.10.95 Other PLACs

175.10.30 Display Public Hearing Maps

175.10.35 Public Hearing

175.15 Public Comment Responses and Correspondence

175.20 Project Preferred Alternative

180 Prepare and Approve Project Report and Final Environmental

Document

180.10.05.45 Section 7 Consultation

180.10.05.65 Section 404 Compliance

180.10.05.70 Mitigation Measures

180.15.20 Environmental Commitments Record

180.20 NEPA Assignment

185.05.05 Project Concept Review

205 Permits and Agreements during PS&E Component

205.05 Required Permits (See Note 1)

205.10 Permits

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

205.10.10 U.S. Forest Service PLACs

205.10.15 U.S. Coast Guard PLACs

205.10.20 Department of Fish and Game 1600 Agreement(s)/2080.1/2080

Permit(s)

205.10.30 Local Agency Concurrence/PLACs

205.10.45 U.S. Fish and Wildlife Service/National Marine Fisheries Service

Approval

205.10.50 Regional Water Quality Control Board 401 Permit

205.10.60 Updated ECR (Environmental Commitments Record)

205.10.95 Other PLACs

230.60 Updated Project Information for PS&E Package

230.90 NEPA Assignment

235 Mitigate Environmental Impacts and Clean up Hazardous Waste

235.05 Environmental Mitigation

235.05.15 Biological Mitigation

235.05.20 Environmental Mitigation Right of Way Work

235.05.99 Other Environmental Mitigation Products

235.10 Detailed Site Investigation for Hazardous Waste

235.35 Long Term Mitigation Monitoring

235.40 Updated Environmental Commitments Record

235.45 NEPA Assignment

255 Circulate, Review, and Prepare Final District PS&E Package

255.05 Circulated & Reviewed Draft District PS&E Package

255.15 Environmental Re-evaluation

255.20 Final District PS&E Package

255.40 Resident Engineer’s Pending File

260.75 Environmental Certification at RTL

280.70 Updated Environmental Commitments Record

285 Change Order Administration

285.05 Change Order (CO) Process

285.10 Functional Support

285.10.15 Other Functional Support

290 Resolve Contract Claims

290.40 Potential Claim Record

290.50 Alternative Dispute Resolution

290.60 Claim Resolution

290.70 Arbitration

295 Accept Contract/Prepare Final Construction Estimate and Final

Report

295.35 Certificate of Environmental Compliance (CEC)

295.40 Long Term Environmental Mitigation/Mitigation Monitoring After

Construction Contract Acceptance

Notes:

1. Consultant shall perform only biological -related services for these tasks.

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

E. General Personnel Requirements.

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

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

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

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

6. Resumes containing the qualifications and experience of the Consultant’s and Subconsultant’s personnel, which include existing and additional personnel, and copies of their minimum required certifications, shall be submitted to the Caltrans Contract Manager 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 may interview the Consultant’s personnel for the qualifications and experience. The Caltrans Contract Manager’s decision to select the Consultant’s personnel shall be binding to the Consultant and its Subconsultants. The Consultant shall provide adequate qualified personnel to be interviewed by the Caltrans Contract Manager within one (1) week of receiving the request.

8. The Caltrans Contract Manager 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.

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

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

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

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

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

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

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

F. Biological Personnel Requirements.

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

Task Order along with any emergencies that may arise during the life of the Contract.

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

2. Consultant Contract Manager.

The Consultant Contract…