12A2302_RFQ_Notice.pdf

May 9, 2025 RFQ Number 12A2302

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 12A2302

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

• On 03/07/25, GENERAL, Executive Order N-12-23 replaces Executive Order N-12-12. GenAI Reporting and Factsheet Form STD1000 is retired.

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

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

Artificial Intelligence (GenAI) Technology Use and Reporting added.

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 On-Call Biological Service in Orange County, District 12. In submitting your SOQ, you shall comply with the instructions found herein. In addition to those programs that are specified in this solicitation, prospective consultants are encouraged to consider programs that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, new emerging firms, and other businesses covered by State and Federal programs.

B. The estimated contract amount is $3,200,000.00 - $5,200,000.00.

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

D. Interviews will be held via WebEx on June 26, 2025. Confirmation letters will be sent to those firms short-listed.

mailto:Lisa.Pallesen@dot.ca.gov

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 August 4, 2025. The fee for profit shall be 10 percent, and the escalation shall be as follows:

Year Period Escalation

1 06/11/2025 – 06/30/2026 1.81% 2 07/01/2026 – 06/30/2027 3.62% 3 07/01/2027 – 06/30/2028 3.62% 4 07/01/2028 – 12/31/2028 3.62%

Notes:

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

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

G. The scheduled date to complete cost negotiations and submit final cost proposal is August 15, 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 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 percent (23%).

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

2. Only participation by certified DBEs will count toward the contract goal for this solicitation. In order to count toward a contract goal, a firm must be certified as a DBE by the California Unified Certification Program (CUCP) and possess the NAICS and work codes applicable to the type of work the firm will perform on the Agreement by the SOQ submittal due date. NAICS and Work codes are provided by the Office of Civil Rights website.

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

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

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

6. The requirement to advertise for the purpose of identifying potential

DBEs as part of a Good Faith Effort (GFE) attainment is waived. See form ADM-0312F for more information.

I. Federal and/or State prevailing wage rates may apply. This requirement, if applicable, will be specified in the draft Agreement. See SOQ Submittal Instructions, Section I.,G. regarding the California Department of Industrial Relations (DIR) Consultant/Contractor Registration Program on the AE Contract Information website.

J. Caltrans does not guarantee, either expressly or by implication, that any work or services will be required under any contract issued as a result of this RFQ.

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

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

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

Any person who submits a bid or proposal to Caltrans certifies that it is not identified in the most current lists located https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights https://dot.ca.gov/programs/civil-rights https://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.

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

N. Pursuant to Executive Order N-12-23 – Generative Artificial Intelligence (GenAI) Technology Use and Reporting, effective February 20, 2025.

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 must notify the State in writing if it:

A) intends to provide GenAI as a deliverable to the State; or B) intends to utilize GenAI, including GenAI from third parties, to complete all or a portion of any deliverable that materially impacts:

1) functionality of a State system,

2) risk to the State, or

3) Contract performance.

Note: For avoidance of doubt, the term “materially impacts” shall have the meaning set forth in State Administrative Manual (SAM) § 4986.2 Definitions for GenAI.

3. Failure to report GenAI to the State may result in disqualification. The State reserves the right to seek any and all relief to which it may be entitled to as a result of such non-disclosure.

4. Upon notification by a Bidder / Offeror of GenAI as required, 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.

5. Government Code 11549.64 defines “Generative Artificial Intelligence (GenAI)” as an artificial intelligence system that can generate derived synthetic content, including text, images, video, and audio that emulates the structure and characteristics of the system’s training data.

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 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 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 06/11/2025. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

Send an email message to the Contract Analyst, 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

Biological Services for Caltrans, Division of Environmental Analysis, Orange County Projects, District 12

On-Call Contract

FOR ENVIRONMENTAL - BIOLOGICAL: (Biological)

A. Purpose of Work.

The Consultant shall perform consultation, research, professional and technical services required for Biological Services, including, but not limited to, field sampling, analysis, and reports on an “as-needed” basis to support the Department of Transportation (Caltrans), Division of Environmental Analysis, Orange County Projects, District 12, from Project Approval/Environmental Document phase to construction phase completion of District 12 Project, in the maintenance, development and construction of the 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 Biological Services.

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

The Consultant shall provide services for the environmental biological task/monitoring which is on the critical path for the completion of the projects. 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 12A1947 is exhausted (expected no later than October 24, 2025).

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

The following project EAs may need additional work under the new contract:

12-0J34U – Biological Monitoring

B. Location of Work.

The work shall be performed on projects to improve the State transportation system facilities within District 12, Orange County. 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 District 12 projects to extend into District 7 or 8 County line. In such instances, the project work shall not extend more than a thirty (30)-mile into these Districts. The Biological Services work shall be performed at Division of Environmental Analysis, District 12 Office.

C. Required Services.

1. Pursuant to an authorized Task Order, the Consultant shall provide Biological Services within the geographical jurisdiction of the Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product. The Consultant shall assist Caltrans, Division of Environmental Analysis, District 12, to produce a plan by developing a complete and biddable Plans, Specifications and Estimate (PS&E) package.

2. Provided in this Scope of Work is a list of proposed Caltrans projects; Division of Environmental Analysis, District 12, however, this list is not exclusive and it does not constitute a commitment that the projects will be initiated or completed or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of projects that are within the geographical jurisdiction of the Contract set forth in “Location of Work” Section within the Division of Environmental Analysis, District 12’s jurisdiction.

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

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

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

Contract Manager Task Order Manager Principal Biologist Biologist Senior GIS Specialist

3. Consultant agrees that:

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

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

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

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

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

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

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

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

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

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

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

b. Wetland delineation.

c. Construction monitoring.

d. Mitigation implementation monitoring.

Task Orders may be assigned for the above work.

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

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. The projects that Caltrans, Division of Environmental Analysis, District 12, plans to work on under the Contract are as follows:

Project Number/EA Co-Rt-PM Project Description

1200020060/12-0C120 ORA-057-21.1/22.5 SR-57 Truck Climbing Lane

1218000034/12-0J34U ORA-055-6.4/10.3 SR-055 Construct additional HOV, GP and Aux Lane

1220000029/12-0K981 ORA-091-R9.2/R11.4 SR-91 Improve Complex Interchanges (Seg. 1)

1220000030/12-0K982 ORA-091-6.4/9.1 SR-91 Improve Complex Interchanges (Seg. 2)

1220000031/12-0K983 ORA-091-4.7/6.5 SR-91 Improve Complex Interchanges (Seg. 3)

1213000099/12-0M970 ORA-057-11.5/12.5 SR-57 NB Widening OCTA Proj

1214000130/12-0N890 ORA-133-8.3/9.3 SR-133 Auxiliary Lane

1220000084/12-0P031 ORA-074-11.5/16.6 SR-74 Landscape and Plant Establishment

1216000008/12-0P730 ORA-074-13.29/13.29 SR-74 San Juan Canyon Bridge (LONG

LEAD 2018 SHOPP)

1217000076/12-0P94U ORA-133-3.2/4.218 SR-133 Widening and Drainage Improvement

1218000088/12-0R370 ORA-057-10.8/22.5 SR-57 Multi-Asset Project, Bridge Health anchor

1219000070/12-0R970 ORA-005-0.5/10 I-5 Multi Asset Project (County Line to

SR-74)

1219000072/12-0R990 ORA-074-0/11.4 SR-74 Multi Asset Project

1219000098/12-0S140 ORA-001-21.5/31.1 SR-1 Bike Lane (Dover St. to County Line)

1220000090/12-0S560 ORA-133-7.7/8.3 SR-133/405 Add Class 1 Bike Path

1222000024/12-0T240 ORA-241-24.4/26.9 SR-133/241 Silverado Landscape Permanent Restoration

1222000083/12-0T730 ORA-241-24.5/35.7 SR-241/133 Silverado Fire Remaining Features

1223000008/12-0T950 ORA-005-21.1/R29.1 I-5 HOV Operational Improvements (Between I-405 and SR-55 Interchanges)

1223000124/12-0U620 ORA-001-31.1/32.7 SR-1 Anaheim Bay ATP Gap Closure (Anderson St. to Seal Beach Blvd.)

1224000005/12-0U690 ORA-057-10.7/15 SR-57 Multi-Asset Project (Seg. 1)

1224000041/12-0U860 ORA-057-15/R22.55 SR-57 Multi Asset Project (Seg. 2)

The above list is not an exclusive list of projects.

8. 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.

9. 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.

10. 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.

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

Caltrans, Division of Environmental Analysis, District 12, work. Consultant shall implement a personnel retention plan strategy and shall submit a written plan with the Statement of Qualification submittal.

12. 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.

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

14. 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.

15. 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.

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

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

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

i. Studies.

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

iii. Mitigation planning and implementation.

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

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

c. Protocol or Specialized Surveys.

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

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

DFG protocol information).

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

d. Specialized Reports and Studies.

i. Habitat Mitigation and Monitoring Plans (HMMP).

ii. California Rapid Assessment Method (CRAM).

iii. Wildlife Corridor Studies.

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

iv. Post Construction Monitoring Reports.

e. General Surveys and Studies.

i. Wildlife Crossings and Corridor Studies.

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

iii. Vegetation mapping.

iv. Invasive species mapping.

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

i. Mitigation Plan preparation.

ii. Monitoring of mitigation sites.

g. Permit Application Preparation (specify agencies).

h. Construction Monitoring.

i. Biological monitoring.

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

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

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

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

18. 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.

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

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

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

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

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

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

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

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

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

D. Workplan Standards Guide Codes.

Task Orders are based on the Caltrans Workplan Standards Guide (WSG). The latest WSG is found in the Guide to Project Delivery Workplan Standards Guide, which is available from the Caltrans’ Publication Unit and on the Internet at https://dot.ca.gov/programs/project-management/reports-guidance. The WSG references the Work Breakdown Structure (WBS) categories, which are potential and related work activities applicable to the Contract. The WGS references WBS categories which present the potential and related work activities that the Consultant may be required to perform.

All revisions to the current version of the Work Breakdown Structure (WBS) shall apply during the life of the Contract.

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

165 Perform Environmental Studies and Prepare Draft Environmental

Document (DED) (See Note 2)

165.05 Environmental Scoping of Alternatives Identified for Study in PID

(Project Initiation Document) (See Note 2)

165.05.05 Project Information Review (See Note 2)

165.05.10 Public and Agency Scoping Process (See Note 2)

165.05.15 Alternatives for Further Study (See Note 2)

165.10 General Environmental Studies (See Note 2)

165.10.15 Community Impact Analysis, Land Use and Growth Studies (See

Note 2)

165.15 Biological Studies

165.15.05 Biological Assessment

165.15.10 Wetlands Study

165.15.15 Resource Agency Permit Related Coordination

165.15.20 Natural Environment Study (NES) Report

165.15.99 Other Biological Studies

165.25 Draft Environmental Document

165.25.05 Draft Environmental Document Analysis (See Note 2)

165.25.10 Section 4(f)/6(f) Evaluation (See Note 2)

165.25.20 Environmental Quality Control and Other Reviews (See Note 2)

165.25.30 Environmental Coordination (See Note 2)

165.30 NEPA Assignment (See Note 2)

https://dot.ca.gov/programs/project-management/reports-guidance

170.05 Required Permits

170.10 Permits

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

170.10.10 U.S. Forest Service PLACs (See Note 2)

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

Permit(s)

170.10.25 Coastal Development Permit (See Note 2)

170.10.30 Local Agency Concurrence/PLACs (See Note 2)

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

Approval

170.10.50 Regional Water Quality Control Board 401 Permit

170.10.95 Other PLACs (See Note 2)

175.10.30 Display Public Hearing Maps (See Note 2)

175.10.35 Public Hearing (See Note 2)

175.15 Public Comment Responses and Correspondence (See Note 2)

175.20 Project Preferred Alternative (See Note 2)

180 Prepare and Approve Project Report and Final Environmental

Document (See Note 2)

180.10 Final Environmental Document (See Note 2)

180.10.05.05 Draft Final Environmental Document Review (See Note 2)

180.10.05.15 Section 4(f)/6(f) Evaluation (See Note 2)

180.10.05.45 Section 7 Consultation

180.10.05.65 Section 404 Compliance

180.10.05.70 Mitigation Measures (See Note 2)

180.15.20 Environmental Commitments Record (See Note 2)

180.20 NEPA Assignment (See Note 2)

185.05.05 Project Concept Review (See Note 2)

195 Right of Way Property Management and Excess Lands

195.45 Excess Land (See Note 2)

195.45.05 Excess Lands Inventory (See Note 2)

200 Coordinate Utilities (See Note 2)

200.15 Approved Utility Relocation Plan (See Note 2)

205 Permits and Agreements during PS&E Component

205.05 Required Permits (See Note 1)

205.10 Permits

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

205.10.10 U.S. Forest Service PLACs (See Note 2)

205.10.15 U.S. Coast Guard PLACs (See Note 2)

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

Permit(s)

205.10.25 Coastal Development Permit (See Note 2)

205.10.30 Local Agency Concurrence/PLACs (See Note 2)

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

Approval

205.10.50 Regional Water Quality Control Board 401 Permit

205.10.60 Updated ECR (Environmental Commitments Record) (See Note 2)

205.10.95 Other PLACs (See Note 2)

230.60 Updated Project Information for PS&E Package (See Note 2)

230.90 NEPA Assignment (See Note 2)

235 Mitigate Environmental Impacts and Clean up Hazardous Waste

(See Note 2)

235.05 Environmental Mitigation (See Note 2)

235.05.15 Biological Mitigation

235.05.20 Environmental Mitigation Right of Way Work (See Note 2)

235.35 Long Term Mitigation Monitoring

235.40 Updated Environmental Commitments Record (See Note 2)

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

Note 2)

255.05 Circulated & Reviewed Draft District PS&E Package (See Note 2)

255.15 Environmental Re-evaluation (See Note 2)

255.20 Final District PS&E Package (See Note 2)

255.40 Resident Engineer’s Pending File (See Note 2)

260.75 Environmental Certification at RTL (See Note 2)

270 Construction Engineering and Contract Administration (See Note

2)

270.22 Contract Administration (See Note 2)

270.66 Technical Support (See Note 2)

280 Administration of Permits, Licenses, Agreements, and

Certifications (PLACs) and Environmental Stewardship (See Note 2)

280.70 Updated Environmental Commitments Record

285 Change Order Administration (See Note 2)

285.05 Change Order (CO) Process (See Note 2)

285.10 Functional Support (See Note 2)

285.10.15 Other Functional Support (See Note 2)

290 Resolve Contract Claims (See Note 2)

290.40 Potential Claim Record (See Note 2)

290.50 Alternative Dispute Resolution (See Note 2)

290.60 Claim Resolution (See Note 2)

290.70 Arbitration (See Note 2)

295 Accept Contract/Prepare Final Construction Estimate and Final

Report (See Note 2)

295.35 Certificate of Environmental Compliance (CEC) (See Note 2)

295.40 Long Term Environmental Mitigation/Mitigation Monitoring After

Construction Contract Acceptance (See Note 2)

Notes:

1. (and Agreements during PS&E Component)

2. Consultant shall perform only environmental-biological support related services for these tasks.

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

E. General Personnel Requirements.

1. Independent Contractor Status

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

a) Consultant Personnel Relationship

i. Consultant is an independent contractor, and nothing contained in the Contract shall be construed as constituting any relationship with Caltrans other than that of project owner and independent contractor. In no event shall the relationship between Consultant personnel and Caltrans be construed as creating any relationship whatsoever between Caltrans and any of Consultant’s employees.

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

b) Consultant Personnel - Supervision Control and Instructions

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

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

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

iv. Consultant shall make all of its own business including personnel decisions and bear the risk for its decisions without any burden or liability placed upon the Department.

c) Skilled and Qualified Labor

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

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

d) Consultant agrees that:

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

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

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

iv. Consultant shall advise its employees and subconsultants of the foregoing contract terms that apply to them, and Consultant advise such employees and subconsultants to report to Consultant any apparent or actual breaches. Consultant shall relay any such reports to Caltrans Contact Manager.

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

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

4. In responding to Caltrans’ Task Order and in consultation with the Caltrans Contract…