1-RFQ_Notice.pdf

October 3, 2024 RFQ Number 04A7117

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 04A7117

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

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

Intelligence (GenAI) Technology Use and Reporting added

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

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

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

Requirement added

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

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

Note: Questions concerning this Request for Qualifications (RFQ) must be submitted in writing to the attention of Lisa Pallesen at Lisa.Pallesen@dot.ca.gov. Questions must be received no later than seven (7) business days after the RFQ advertisement. Consultants contacting the District or Division directly seeking information about this RFQ will be disqualified from consideration in the selection process.

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

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for A&E On-Call Water Quality Studies services for District 4. 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 $19,200,000 - $31,200,000.

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

mailto:Lisa.Pallesen@dot.ca.gov

D. Interviews will be held via WebEx on November 19, 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 December 30, 2024. The fee for profit shall be (10%) percent, and the escalation shall be as follows:

Year Period Escalation

1 10/03/2024 - 10/31/2025 2.08% 2 11/01/2025 - 10/31/2026 4.17% 3 11/01/2026 - 10/31/2027 4.17% 4 11/01/2027 - 01/31/2028 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 January 9, 2025.

H. Disadvantaged Business Enterprise Program

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

Financial Assistance Programs." To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation. The required goal for DBE participation in this solicitation is not less than twenty-three (23%) 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.

H. 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.

I. 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.

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

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

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

M. 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.

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

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 11/04/2024. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

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

• Your firm’s name

• Your email address

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

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

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

C. Request for RFQ Copies

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

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

Attachment 1

SCOPE OF WORK/DELIVERABLES

Water Quality Services For Caltrans, Division of Environmental Planning and Engineering, Water Quality Program, District 4 On-Call Contract

FOR ENVIRONMENTAL - WATER QUALITY

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Water Quality Studies Services, including, but not limited to, field sampling, analysis and reports, on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Environmental Planning and Engineering, Water Quality Program, District 4, from Project Approval/Environmental Document phase to Construction phase , in the development and construction of proposed Caltrans transportation facilities. The Caltrans Contract Manager shall assign specific work to the Consultant to assist the Caltrans work force through the issuance of Task Orders describing in detail the services to be performed. The Consultant shall only perform work that is assigned in an authorized Task Order. The Contract does not guarantee that a Task Order shall be issued. The Consultant may provide services to Caltrans including, but not limited to, support of the required environmental documentation for project approval, preparation of Plans, Specifications and Estimate (PS&E), and construction contract bid documents under Federal and State environmental laws and regulations;

conducting various technical water quality studies as required under National Environmental Policy Act (NEPA), California Environmental Quality Act (CEQA) compliance with Clean Water Act (CWA), California Porter-Cologne Water Quality Control Act, Caltrans’ 2012 or 2022 Statewide National Pollutant Discharge Elimination System (NPDES) permits (Order Nos. 2012-0011-DWQ and 2022-0033-DWQ, respectively), State Water Resources Control Board’s 2009 or 2022 NPDES General Permit for Storm Water Discharges Associated With Construction and Land Disturbance Activities, also referred to as the Construction General Permit (CGP; Order Nos. 2009- 0009-DWQ and 2022-0057-DWQ), and project-specific CWA section 401 water quality certification and waste discharge requirements, , Total Maximum Daily Loads (TMDLs) and Water Quality Control Plans adopted by the North Coast (Region 1), San Francisco Bay (Region 2), Central Valley (Region 5) and Central Coast (Region 3) Regional Water Quality Control Boards (RWQCBs) and State Water Resources Control Board (SWRCB) providing support with addressing water quality issues in obtaining environmental permits from various Federal, State, or Local Resource Agencies or entities; preparing Water Quality Studies, all work related to preparing Storm Water Data Reports (SWDRs), comply with "Caltrans Statewide NPDES Permit", draft and final Water Pollution Control Plans, Specifications & Estimates; applicable Drainage Plans and Details, permanent stormwater treatment Best Management Practice (BMP) verification during Construction (i.e. 90% Walkthrough), and data management via project uploads to the Headquarters Division of Environmental Analysis' Stormwater Portal.

1. Exclusion of Work.

a. The Consultant for the Contract shall perform the services above after the contract authority for Contract 04A6470 is exhausted (December 2024). The Consultant shall plan accordingly to meet the timing of, and the volume of workload needs.

b. All scope of work for Contract 04A6823, providing products and services related to Construction Environmental Engineering.

c. All scope of work for Replacement Contract 04A7042, providing products and services related to Environmental On-Call Contract for North Region.

d. All scope of work for Replacement Contract 04A7044, providing products and services related to Environmental On-Call Contract for East Region.

e. All scope of work for Replacement Contract 04NEW22-24, providing products and services related to Cultural Resource Studies Services.

f. As stated above, no compensation will be provided to the Contractor for non-A&E services (including incidental services that are not actual A&E services) that exceed 10% of the total expenditures under this Agreement without the prior written consent of the Department of General Services (DGS).

g. Scope of work pursuant to development of Clean Water Act Section 401 Certification applications.

h. Scope of work pursuant to public outreach.

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All tasks including, but not limited to, development of SWDRs, Water Quality Studies, draft and final Water Pollution Control PS&E; applicable Drainage Plans and Details, permanent stormwater treatment BMP verification during Construction, and data management via project uploads to the Headquarters Division of Environmental Analysis' Stormwater Portal may be assigned as work under the Contract.

Caltrans may require extensive 24/7 service from the Consultant. The Consultant may also be assigned other tasks to support Caltrans.

The Consultant for the Contract shall perform the services above after the contract authority for Contract 04A6470 is exhausted (expected no later than December 31, 2025).

The Consultant shall plan accordingly to meet the timing of and the volume of work load needs.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of Alameda, Contra Costa, Marin, Napa, San Francisco, San Mateo, Santa Clara, Solano, and Sonoma in California. The specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Caltrans, Division of Environmental Planning and Engineering, Water Quality Program, District 4, projects to extend into another adjoining District/County line. Certain projects may also require studies/work that extends outside of the boundary of Caltrans' District 4. In some instances, data collection may involve regional analysis beyond the counties identified 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 4 geographic boundary.

Throughout the terms of the Contract, the Consultant and its Subconsultants shall disclose and briefly describe any financial, business or other relationship with Caltrans, governmental agencies (e.g. California Transportation Commission - CTC, Bay Area Toll Authority - BATA, Metropolitan Transportation Commission - MTC, and other) that relates to or concerns the Caltrans Water Quality Services contract and projects which may have a potential conflict of interest with the contract, in the Statement of Qualifications.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Water Quality 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 Planning and Engineering, Water Quality Program, District 4, to produce Water Quality Studies, SWDRs, applicable PS&E deliverables, and construction phase 90% Walkthrough..

2. Provided in Attachment 1A is a list of proposed Caltrans projects; 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.

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

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

h. The Consultant shall be responsible for obtaining and maintaining valid licenses and certifications for all its employees as required by the work to be performed by this contract. The Consultant shall be responsible for all related expenses in obtaining and maintaining such licenses, certifications and recertifications.

5. A wide range of Water Quality 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 Water Quality Services:

a. Water Quality Studies (also referred to as Water Quality Assessments or

Water Quality Assessment Reports) for environmental documents.

b. Prepare Storm Water Data Reports (SWDRs).

c. Prepare Plans, Specifications and Estimates (PS&E) documents including the following:

i. Water Pollution Control (WPC).

ii. Drainage Plan (D) and Details (DD), as applicable.

iii. Nonstandard specifications.

d. Conducting field reviews during project delivery phases.

e. Prepare permit applications for submittal to State Water Resources

Control Board/Regional Water Quality Control Boards (SWRCB/RWQCBs).

f. Conduct 90% Walkthrough during Construction.

g. Perform data management via project uploads into the Headquarters

Division of Environmental Analysis' Stormwater Portal.

6. 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.

7. 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 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.

8. 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.

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. 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.

11. The Consultant’s Water Quality 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).

12. 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.

13. 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.

14. A wide range of Water Quality Services tasks should be expected. The

Consultant shall be prepared to perform specialized services themselves or via a Subconsultant including, but not limited to, the following:

a. Preparing Water Quality Reports/Studies/Assessments (WQR/S/A) including, but not limited to, the following:

i. Review water quality assessments related to the project area.

ii. Identify and document receiving water bodies for each studied project alternative.

iii. Identify and document all applicable water quality standards and regulations, including, but not limited to, CWA 303(d) listed impairments, Total Maximum Daily Loads (TMDLs), water quality objectives, Municipal Separate Storm Sewer System (MS4), and beneficial uses.

iv. Identify and document the existing environment/water resource setting and impacted watersheds, including, but not limited to, the regional and local hydrology, and possible pollutants effecting water quality for surface water and groundwater.

v. Identify and document the existing groundwater resources environment, including, but not limited to, recharge areas, local springs, and/or wells, and constituents.

vi. Identify and document downstream water uses and other biotic/aquatic consideration.

http://www.agiweb.org/index.html

vii. Identify and document permit requirements, Regional Water

Quality Control Board (RWQCB) and local project specific requirements, NPDES compliance, and coordination with regulatory agencies.

viii. Complete relevant questionnaire(s) and checklist(s) for WQR/S/A.

ix. Identify and document permanent, temporary, and cumulative impacts to water quality.

x. Identify and document design alternatives that were considered to avoid impacts to waters and discuss potential to create benefits, such as converting sections of culverts to open channels.

xi. Identify and document risk determination as required in the CGP and minimization measures/construction site best management practices (BMPs) required including, but not limited to, temporary creek diversions, cofferdams, handling and disposal of accumulated storm water, uncontaminated and/or contaminated groundwater.

xii. Identify permanent storm water treatment BMPs and hydromodification control measures..

b. Preparing Storm Water Data Reports (SWDRs) including, but not limited to, the following:

i. Prepare SWDRs and complete relevant SWDR checklists by compiling necessary data, including field work.

ii. Determine and document if a project creates permanent water quality impacts and identify measures for avoiding or reducing storm water impacts.

iii. Review project design and determine the possibility for incorporating storm water control measures.

iv. Identify water quality permit requirements.

v. Coordinate with relevant agencies and functional units to complete the SWDRs.

vi. Attend meetings to provide guidance in implementing storm water

BMPs into Caltrans projects.

vii. Assess for hydromodification and recommend control measures.

viii. Describe permanent storm water Treatment BMP strategy for the watershed within the project limits, including BMP consideration and justification, and if treatment off-site shall be required due to a deficit in the on-site treatment.

ix. Develop and conduct monitoring studies to evaluate storm water control measures that are to be constructed and operated, as necessary.

x. Prepare drainage shed maps.

xi. Design project specific Treatment BMPs, perform calculations on

Water Quality Volume and Water Quality Flow, and determine location, quantity and cost for all project phases.

xii. Describe strategy for incorporation of Full Trash Capture BMPs, where applicable.

xiii. Provide locations, Standard Special Provisions (SSPs) and plans for Drainage Inlet stenciling requirements.

xiv. Provide all the required attachments for the SWDR including, but not limited to:

• Vicinity Map.

• Pertinent Correspondence with RWQCB.

• Evaluation Documentation Form.

• All the required and supplemental SWDR checklists.

• Drainage Plans.

• Drainage Course (Shed Maps).

• Water Pollution Control Plans

• Drainage Plans and Details

• Rainfall intensity curves or equations.

• Construction estimates or PR /PSSR estimate.

• Storm Water Cost Estimate Spreadsheet.

• Treatment BMP Summary Spreadsheet.

• Water Quality Flow Calculations.

• Water Quality Volume Calculations.

• Risk Level Determination.

• Stormwater Multi Application Reporting and Tracking

(SMARTS) Input.

c. Completing the Treatment BMP Consideration sheets, including, but not limited to, the following:

i. Identify and document feasible and infeasible Treatment BMPs for the project.

ii. Prepare preliminary plans showing possible location and types of

Treatment BMPs.

iii. Estimate and document percent of water being treated by

Treatment BMPs within project limits.

d. Preparing PS&E documents including the following:

i. Preparation of Drainage (D) and Drainage Details (DD) Plans, as applicable to permanent Treatment and Full Trash Capture BMPs.

ii. Provide locations, SSPs and plans for Drainage Inlet stenciling requirements.

iii. Perform risk assessment for the project with more than 1 acre of Disturbed Soil Area.

iv. Preparation of Water Pollution Control (WPC) Plans, Specifications and Estimates.

v. Non-standard Special Provisions for management of dewatering discharges that shall involve: Reviewing Geotechnical Design Report (for retaining walls), and Foundation Report (for structures) to assess the existing subsurface conditions and presence of groundwater. Reviewing soil conditions based on boring logs to determine the permeability of soils. Reviewing Hazardous Waste Investigation Report to assess the water quality of groundwater and determine if there are existing contaminants that exceed Water Quality Objectives (WQOs) set forth in a Regional Board's basin plan. If contaminants exist above the WQOs, then the groundwater should be considered contaminated, if not then the sediment is the only pollutant of concern. Developing alternatives and cost estimates for treatment and disposal of dewatering discharges.

Development of each alternative shall take into consideration the permits required and the level of treatment required prior to disposal, and the best available technologies (BAT) available for treatment. Developing a Conceptual Dewatering Plan to be provided to the Contractor as part of the Information Handout that documents that basis for the flow rate/volume of groundwater, the water quality assessment and the dewatering discharge management options developed based on Geotechnical Design Report/Foundation Report and the Hazardous Waste Site Investigation Report. Developing non-standard Dewatering special provision and cost estimate based on the recommendations in the Conceptual Dewatering Plan.

vi. Prepare a conceptual design of an Active Treatment System for treatment of accumulated storm water runoff, uncontaminated groundwater and contaminated groundwater.

vii. Preparation of Storm Water Information Handout, Conceptual Storm Water Pollution Prevention Plan (CSWPPP), Permit Registration Documents, and Information for the Resident Engineer files (SWPPP projects) as required in the CGP.

viii.

ix. Preparing construction contract Plans specific to WPC, D and DD according to Caltrans Standards.

x. Attend meetings with Caltrans personnel or other agencies on an as needed basis.

xi. Perform other water quality duties related to PS&E as directed by the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager and the Caltrans Functional Manager.

e. Performing Construction Activities:

i. Conduct field reviews of constructed Treatment BMPs (i.e., 90%

Walkthrough).

ii. Assist in evaluation of Treatment BMP during construction including construction Change Orders.

f. Performing other water quality compliance duties as directed by the

Caltrans Contract Manager in coordination with the Caltrans Task Order Manager and detailed in executed Task Orders.

15. 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.

16. 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; State Water Resources Control Boards; Regional Water Quality Control Boards; California Coastal Commission; Native American Heritage Commission; Regional Clearinghouse of the California Historical Resources Information System; 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.

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 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 WSG 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.

165 Perform Environmental Studies and Prepare Draft Environmental

Document (DED)

165.05.05 Project Information Review

165.10.35 Water Quality Studies/Reports/Assessments

175 Circulate Draft Environmental Document and Select Preferred

Project Alternative

175.15 Public Comment Responses and Correspondence

180 Prepare and Approve Project Report and Final Environmental

Document

180.05.15 Prepare Storm Water Data Report

230 Prepare Draft PS&E (Plans, Specifications, and Estimates)

230.05.65 Water Pollution Control Plans; Drainage Plans and Details

230.35.35 Water Pollution Control Specifications

230.40.35 Water Pollution Control Quantities and Estimates

230.60.05 Prepare and Update Storm Water Data Report (SWDR)

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

255.20 Final District PS&E Package

270 Construction Engineering and Contract Administration

270.66 Technical Support

285 Change Order Administration http://www.dot.ca.gov/hq/projmgmt/guidance.htm

285.10 Functional Support

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 or Task Order Manager shall evaluate the adequacy (quality and quantity) of the work performed by the Consultant’s personnel, and determining whether the deliverables satisfy the acceptance tests and criteria. The Caltrans Contract Manager 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.