11A3967_RFQ_Notice.pdf

March 26, 2024 RFQ Number 11A3967

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 11A3967

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

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

Proposers are advised that Caltrans has established a federally mandated overall annual DBE goal comprising both race neutral and race conscious elements to ensure equal participation of DBE groups specified in 49 CFR 26.5. In compliance with 49 CFR 26, Caltrans set a contract goal for DBEs participating in this solicitation expressed as a percentage of the total dollar value of the resultant Agreement. The DBE participation goal for this solicitation is twenty two percent (22%). See section I.H. in this RFQ for requirements.

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for On-call Environmental Noise Studies Services. 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 $1,200,000-$1,950,000.

C. The estimated contract term is three years.

D. Interviews will be held via WebEx on May 10, 2024. Confirmation letters will be sent to those firms short-listed.

E. The most highly qualified consulting firm will be required to submit an mailto:Adam.Matheny@dot.ca.gov 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.

F. 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.

G. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of May 10, 2024. The fee for profit shall be (10%) percent, and the escalation shall be as follows:

Year Period Escalation

1 04/16/2024 – 04/30/2025 2.08% 2 05/01/2025 – 04/30/2026 4.17% 3 05/01/2026 - 04/30/2027 4.17% 4 05/01/2027 - 07/09/2027 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.

H. The scheduled date to complete cost negotiations and submit final cost proposal is June 28, 2024.

I. 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 Financial Assistance Programs." To ensure equal participation for Disadvantaged Business Enterprise (DBE) groups specified in 49 CFR 26.5, Caltrans specifies a contract goal for DBE participation. The required goal for DBE participation in this solicitation is not less than twenty two percent (22%).

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 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information due date. NAICS and Work codes are provided by the Office of Civil Rights website.

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

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

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

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

7. 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.

8. 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.

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

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

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

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

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

II. SCOPE OF WORK/DELIVERABLES

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

III. CONFLICT OF INTEREST

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

B. If the proposed team determines that any actual or potential conflicts of interest exists, it must identify and describe in detail each conflict of interest to Caltrans, using the Disclosure of Potential Conflict of Interest Form, which can be found on the AE Contract Information website.

Along with the description of the actual or potential conflicts of interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts. The list of conflicts, including conflicts that apply to individuals as well as firms, and the mitigation measures on the Disclosure of Potential Conflict of Interest Form must be submitted as a separate section in the Statement of Qualifications. Disclosure of information will not disqualify a proposed team from competing for a contract. The existence of actual or potential conflicts of interest will be used as a criterion to evaluate team availability during the evaluation and selection process. Caltrans reserves the right to terminate negotiations with the first selected firm and begin negotiations with the next selected firm or to cancel the procurement prior to execution if Caltrans learns that the selected team failed to disclose any actual or potential conflicts, which it knew or should have known about, or if the proposed team provided or omitted information on the disclosure form that results in the information being false or misleading.

C. After award, conflict of interest guidelines and policies shall continue to be monitored and enforced by the Caltrans Contract Manager. Additional information about Conflict-of-Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI. Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website (see link below). The State and Federal contract boilerplates on DPAC’s website also contain information on conflict-of-interest issues (Exhibit D) and can be found on the AE Contract Information website (see link below).

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

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

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

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

B. SOQ Package Submittal Instructions

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

1. The electronic submission of a single unprotected (i.e. not password protected) PDF file of the SOQ is required. The electronic submittal will be accepted until 10:00 a.m. on 04/26/2024. 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, Adam Matheny, at Adam.Matheny@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:Adam.Matheny@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Attachment 1

SCOPE OF WORK/DELIVERABLES

Environmental Noise Engineering Services for Caltrans, Division of Environmental, Environmental Engineering Program, District 11

On-Call Contract

FOR ENVIRONMENTAL – ENVIRONMENTAL ENGINEERING: NOISE (Noise)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Environmental Noise Engineering 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, Environmental Engineering Program, District 11, from 0 phase to 1 phase completion of 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. The Consultant may provide services to Caltrans including, but not limited to, field measurements, analysis and modeling, and development of Noise Study Reports (NSR), Noise Abatement Decision Reports (NADR), and Soundwall Design Reports, as required for project approval under Federal and State environmental statutes, laws, regulations, and policies. providing support for environmental public hearings, community scope meetings and other professional public awareness/outreach activities as required for project approval under Federal and State environmental statutes, laws, regulations, and policies.

1. Exclusion of Work.

The following disciplines are excluded from the Contract:

a. Air Quality Studies.

b. Biological.

c. Cultural Resource.

d. Hazardous Waste.

e. Paleontological Resource.

f. Visual Impact Analysis.

g. Water Quality Studies.

h. Existing Environmental Support - The Consultant shall not provide support for any elements completed by other consultants.

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

j. Environmental Generalist Services.

k. Public Relations Services

The Consultant shall provide support when Caltrans lacks the expertise or available resources. All tasks including, but not limited to, Environmental Noise Engineering Studies producing NSRs, NADRs, and Soundwall Design Reports, may be assigned as work under the Contract.

The Consultant shall provide services for the NSR and/or NADR and/or Soundwall Design Report, which is on the critical path for the completion of the project, Caltrans may require extensive 24/7 service from the Consultant. The Consultant may also be assigned other tasks to support Caltrans.

B. Location of Work.

The work shall be performed on projects to improve the State transportation system throughout the counties of San Diego and Imperial in California except Division of Environmental, Environmental Engineering Program within the limits of District 11.

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, Environmental Engineering Program, District 11, projects to extend into another adjoining Division of Environmental, Environmental Engineering Program, District 8 and/or 12 County line.

Certain San Diego and Imperial California County projects may also require studies/work that extends into adjacent counties adjoining Caltrans' District 11 outside of the boundary of Caltrans’ District 11. 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, Environmental Engineering Program, District 11 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 Environmental Noise Engineering Services primarily in the USA. Environmental Noise Engineering Services may be required at international locations. The Consultant shall be capable of performing Environmental Noise Engineering Services at international locations if needed. The Environmental Noise Engineering Services work shall be performed at Division of Environmental, Environmental Engineering Program, District 11 Office.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Environmental Noise Engineering 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, Environmental Engineering Program, District 11, to produce a NSR, NADR, and/or Soundwall Design Report.

2. 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 Environmental

Noise Engineering 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.

5. A wide range of Environmental Noise Engineering 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 Environmental Noise Engineering Services:

a. Noise and Vibration Studies.

The Consultant shall provide services to produce general noise and vibration studies for projects required by FHWA (Federal Highway Administration) and the CEQA (California Environmental Quality Act)/NEPA (National Environmental Policy Act) process. The Consultant shall provide all necessary equipment and instrumentation to perform work as specified by Task Orders and based on the Caltrans Work Breakdown Structure (WBS) as follows:

i. Perform noise studies on state routes for new construction projects and retrofit projects. Determine if project-related noise impacts are anticipated and provide a recommendation of either abatement or mitigation measures warranted.

ii. Perform vibration studies for new transportation projects or existing transportation facilities. Studies will include measurement or prediction of source levels, propagation and potential impacts.

Pre and post damage assessment surveys and respective documentation will be required.

iii. Perform noise and vibration studies of aircraft and rail when requested by the Caltrans Contract Manager.

iv. Perform all activities related to noise impact analysis for use in the Environmental Document (ED) and prepare a technical report documenting study results.

v. The Consultant’s reports shall comply with the content and format specified in the Annotated NSR Outline in the Forms and Templates of the Caltrans Standard Environmental Reference (SER) website (https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser).

vi. Provide presentation and assistance to Caltrans staff to improve the quality of noise and vibration studies for transportation projects.

vii. All work under this portion of the Contract shall be conducted according to the terms, Provisions, and requirements of the California Department of Transportation “Traffic Noise Analysis protocol”, April 2020, the California Department of Transportation “Technical Noise Supplement”, September 2013, which can be found in the Caltrans Standard Environmental Reference website (https//dot.ca.gov/programs/environmental-analysis/noise-vibration), FHWA, and others.

viii. Processing digital terrain models in Caltrans’ approved roadway design format (CAiCE, AutoCAD, Civil 3D).

ix. Coordinate geometry calculations (COGO). This software shall use/create coordinate geometry databases; naming and coding conventions in the Caltrans approved formats (CAiCE, AutoCAD, Civil 3D).

x. Model Future Noise Levels with the Project – currently, the FHWA Traffic Noise Model (TNM) 2.5 Program is the modeling software required by FHWA for traffic noise studies. The TNM predicts traffic noise levels based on projected worst hour traffic volume (the traffic volume and speed conditions that produce the highest hourly noise level), traffic mix (percentage of truck traffic), ground type, and the distance between projected traffic and of the receptors.

Task Orders may be assigned for the above work.

6. The Consultant shall provide standardized reports including, but not limited to, NSR, NADR, and Soundwall Design Reports), detailing all findings.

7. The work shall be performed pursuant to NEPA, CEQA, regional, local, and other applicable statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines.

8. The Consultant shall also provide large-scale graphic presentations for public exhibits and design support in the development of environmental documents and project approval on Caltrans transportation facilities under the Contract.

9. The projects that Caltrans, Division of Environmental, Environmental Engineering Program, District 11, plans to work on under the Contract are as follows:

Project Number Co-Rte-PM Project Description 11-14665 SD-94-R10.3/R11.8 SR-94/SR-125 Interchange Project 11-14665 SD-125-13.4/14.8 SR-94/SR-125 Interchange Project 11-18703 SD-78-13.8/14.9 Barham Dr IC/Woodland Parkway 11-28700 SD-67-R5.4/21.4 SR-67 Environmental Study 11-2T240 SD-15-R30.6/R32.0 15/78 Express Lanes Connector 11-43094 SD-78-7.7/9.0 Operational Improvements 11-43105 SD-15-0.4 I-15/Main/Harbor & Vesta St Bridge 11-43118 SD-67-R3.7/R4.2 67 at Riverford Rd (Roundabout) 11-43141 SD-5-R9.84/R14.7 I-5/Harbor Dr Connected Corridor 11-2T366 SD-805-12.6/15.9 I-805/SR-15 Transit Connector 11-43163 SD-78-14.7/15.3 Operational Improvements

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, Environmental Engineering Programs, District 11’s jurisdiction.

10. 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.

11. 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.

12. 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.

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

Caltrans, Division of Environmental, Environmental Engineering Program, District 11, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

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/programs/project-management. The WSG references the 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 WBS shall apply during the life of the Contract.

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

160.15.05 Cost Estimates for Alternatives

165.10.25 Noise Study

185.20.30 Soundwall Design Report (See Note 1)

230.05.45 Noise Barrier Plans (See Note 1)

Notes:

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

http://www.dot.ca.gov/hq/projmgmt/guidance.htm

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. Environmental Noise Engineering 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 this pursuant to Federal and State laws and regulations, and local plans and ordinances, governing environmental impacts of projects, including but not limited to, NEPA and CEQA.

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

2. Consultant Contract Manager.

The Consultant Contract Manager shall coordinate work-related matters and Consultant’s operations under the Contract with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, Resident Engineer, District Landscape Architect, District Surveys Engineer, District Right-of-Way Engineer, District Water Quality Program Manager, District Deputy Director for Program/Project Management, District’s Traffic Operations Units, Project Coordinator, Deputy District Director for

Environmental Analysis, District Surveys Office Chief, and/or District’s Public Information Officer.

The Consultant Contract Manager shall have a minimum of five (5) years of responsible experience performing the duties as a contract manager for similar Environmental Noise Engineering Services contracts. The Consultant Contract Manager shall be knowledgeable about all Caltrans policies and procedures. The Consultant Contract Manager shall be an employee of the Consultant.

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

The Consultant Contract Manager shall coordinate all engineering matters with the Caltrans Contract Manager in coordination with the Caltrans Task Order Manager, Functional Manager, Resident Engineer, District Landscape Architect, District Surveys Engineer, District Right-of-Way Engineer, District Deputy Director for Program/Project Management, District’s Traffic Operations Units, Project Coordinator, Deputy District Director for Environmental Analysis, District Surveys Office Chief, and/or District’s Public Information Officer.

In addition to other specified responsibilities, the Consultant Contract Manager shall be responsible for all matters related to the Consultant’s personnel, Subconsultants, Environmental Noise Engineering Services work, and Consultant’s and Sub-Consultants’ operations including, but not limited to, the following:

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

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

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

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

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

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

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

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

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

j. Reviewing invoices for accuracy and completion before billing to

Caltrans.

k. Managing Subconsultants.

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

Contract Manager.

m. Monitoring and maintaining required Disadvantaged Business Enterprise

(DBE) or Disabled Veteran Business Enterprise (DVBE) involvement.

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

Task Order requirements.

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

p. Assuring Consultant and Subconsultant personnel have the professional experience, training, competence and a professional attitude to efficiently perform all required work specified in the Task Order. If the Consultant or Subconsultant personnel do not display the professional experience, training, competence and a professional attitude, the Caltrans Contract Manager may inform the Consultant, in writing, that such personnel shall be immediately replaced with personnel conforming to these requirements and the requirements as specified in the Task Order.

3. Consultant Task Order Manager.

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

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

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

The Consultant Task Order Manager shall have “substantial knowledge and experience” in performing the Environmental Noise Engineering Services work and as outlined in the Caltrans Quality Control and Assurance for Noise Engineering Technical Documents (https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-1-guidance-for-compliance/ch-12-noise). “Substantial knowledge” is defined as having a Degree (Bachelors, Masters, or higher) in acoustical engineering or a related field.

“Substantial experience” is defined as having a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in performing the Environmental Noise Engineering Services work.

4. Consultant Task Order Lead person.

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

The Consultant Task Order Lead person shall have “substantial knowledge and experience” in performing the Environmental Noise Engineering Services work and as outlined in the Caltrans Quality Control and Assurance for Noise Engineering documents (https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-1-guidance-for-compliance/ch-12-noise). “Substantial knowledge” is defined as having a Degree (Bachelors, Masters, or higher) in acoustical engineering or a related field.

“Substantial knowledge” is defined as having a documented minimum five (5) years of demonstrated experience acceptable to Caltrans in performing the Environmental Noise Engineering Services work.

In lieu of five (5) years of experience, equivalent qualifications as determined by the Caltrans Division of Environmental Analysis or successful completion of all of the following will be allowed:

a. Institute of Noise Control Engineering (INCE) Fundamentals

Examination.

b. Traffic Noise Fundamentals and Traffic Noise Modeling with TNM training offered by Bill Bowlby and Associates, Inc.

c. FHWA Course, The Fundamentals and Abatement of Highway Traffic

Noise.

d. National Highway Institute (NHI) Course 142051 Highway Traffic Noise.

https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-1-guidance-for-compliance/ch-12-noise https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-1-guidance-for-compliance/ch-12-noise https://dot.ca.gov/programs/environmental-analysis/standard-environmental-reference-ser/volume-1-guidance-for-compliance/ch-12-noise

e. NHI Web-Based Training for Highway Noise Courses 142086 through 142094.

5. Consultant Personnel and Team Member Qualifications.

a. The Consultant’s personnel shall be capable, competent, and experienced in acoustic and vibration modeling field investigations of transportation noise is required. Some staff development work and research may be required with the Contract. A documented minimum five (5) years of demonstrated experience acceptable to Caltrans analyzing complex transportation noise and vibration is required. The Consultant’s personnel shall be knowledgeable about, and comply with, all applicable Local, State, and Federal regulations.

6. Subconsultant Personnel

a. Subconsultant’s personnel shall be capable, competent, and experienced in acoustic and vibration modeling field investigations of transportation noise and shall meet the same requirements as the Consultant’s personnel.

7. In the Contract, a person who is authorized to review and approve Consultant

Environmental Noise Engineering analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables in place of the Consultant Contract Manager shall be hereafter referred to as the Consultant Environmental Noise Engineering Responsible Person. The Consultant Environmental Noise Engineering Responsible Person, shall be a (or engineer, certified technician, the Consultant Contract Manager registered in the State of California) signing analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, other documents, other items, and deliverables under the Contract requiring the signature of a Consultant Environmental Noise Engineering Responsible Person (or engineer, certified technician, the Consultant Contract Manager registered in the State of California) shall be currently employed by the Consultant or its Subconsultants at the time the deliverables are submitted to Caltrans for consideration under the review and acceptance process.

8. All analytical results, plans, designs, specifications, estimates, notes, calculations, analysis,…