2)_12A2196_-_Current_SOQ_Submittal_Instructions.pdf

STATE OF CALIFORNIA

DEPARTMENT OF TRANSPORTATION

STATEMENT OF QUALIFICATIONS SUBMITTAL INSTRUCTIONS AND

GENERAL CONTRACT PROCESS INFORMATION

Read carefully as this document has received several major updates. It will behoove the consultant to read this document in its entirety.

• Effective date: January 01, 2024 – This document in its entirety has been updated.

Note: A copy of the selected consultants’ SOQ will be included as an attachment to the executed Agreement.

I. AUTHORITY

The authority to contract for A&E services is governed by the California Constitution Article XXII - Architectural and Engineering Services and Government Codes 4525 et seq.

II. DEFINITIONS

A. Caltrans means the State of California, Department of Transportation.

B. Architectural and Engineering (A&E) services include all architectural, landscape architectural, environmental, engineering, land surveying, right of way engineering, construction engineering, construction management and construction project management services, as well as incidental services that members of these professions and those in their employ may logically or justifiably perform, in support of the aforementioned A&E services, including permitting and environmental studies, design phase services, construction phase services, public outreach and meeting facilitation related to the foregoing (as defined in section 1520.1(e) of the California Code of Regulations, Title 21) and Title 23-Chapter 1-Subchapter B-Part 172 of the Code of Federal Regulations.

C. Environmental services are those services performed in connection with project development and permit processing to comply with federal and state environmental laws. "Environmental services" also includes the processing and awarding of claims pursuant to Chapter 6.75 (commencing with Section 25299.10) of Division 20 of the Health and Safety Code (as defined in section 4525(f) of the California Government Code, Title 1).

D. Prime consultant (proposer) means the lead individual or firm providing engineering and design related services as a party to an Agreement with a “recipient” or “subrecipient” of Federal assistance (as defined in 2 CFR

200.86 or 2 CFR 200.93, respectively).

E. Subconsultant means the individual or firm contracted by a prime consultant to provide Architectural and Engineering and design related or other types of services that are a part of the services which the Prime consultant is under contract to provide to a “recipient” (as defined in 23

CFR 172.3).

F. Agreement means a written procurement contract or agreement between the Department and the Consultant setting forth the provisions and obligations of the parties with respect to the RFQ, including, but not limited to, the performance of the work, the furnishing of labor, materials, deliverables, and the basis of payment.

G. Certify means a signature by individuals that are authorized to act as certifying officers for the purpose of certifying a request, representing the information is true, correct and factually supportable under penalty of perjury under the laws of the State of California.

H. Firm means any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice the professions of architecture or engineering, as defined in section 4525 - 4529.5 of the California Government Code. It also means any bidder, proposer, consultant, or offeror participating in a competitive solicitation or contracting process.

I. Small business firm is a firm certified as a “small business” in accordance with California Government Code section 14837 (d)(1)(A) or its successor provisions.

J. RFQ is an acronym for Request for Qualifications, the solicitation document used to request a Statement of Qualifications of firms that perform A&E services.

K. SOQ is an acronym for Statement of Qualifications, the response to an RFQ submitted by Prime consultant/proposer as a party to an agreement with a “recipient” or “subrecipient” of Federal assistance.

L. Key Personnel are individuals who are expected to perform key roles to meet Agreement requirements. The key and non-key personnel composition shall be representative of all advertised classifications, general classifications including those as cross referenced in applicable Caltrans manuals for their corresponding qualifications to meet project delivery. Key personnel are expected to be utilized substantially throughout the life of the Agreement. The consultant is required to identify the key personnel in their organization chart with a symbol such as a star or picture of a key.

M. Contract Analyst is the Department’s sole contact person and addressee for receiving all communications about the contract procurement during the RFQ procurement process.

N. Consultant Contract Manager is responsible for leading a team of A&E firms, supervising, reviewing, monitoring, training, and directing the Consultant’s and Sub-Consultants’ personnel. Commensurate with the magnitude and complexity of the project, the Consultant Contract Manager may personally make engineering or best reasoned decisions over which the Consultant Contract Manager provides supervisory direction and control authority. See Section 2 – “General Services Administration Standard Form 330”, Part One “Contract Agreement-Specific Qualifications”, Section E – “Resumes of Key Personnel Proposed for this Contract”, subsection e for additional details.

O. Consultant Task Order Manager is responsible for leading a team of personnel, supervising, reviewing, monitoring, training, and directing them in performing the duties identified in the Required Services along with Caltrans Work Breakdown System/Work Breakdown Structure activity codes. Task Order Manager is responsible for fulfilling the Task Order objectives and deliverables within the assigned schedule. Commensurate with the magnitude and complexity of the project, the Consultant Task Order Manager may personally make engineering or best reasoned decisions over which the Consultant Task Order Manager provides supervisory direction.

P. An addendum is a supplemental addition, deletion, or modification to the provisions of an RFQ issued after the release of an RFQ and prior to the end of the advertise period.

Q. DBE is an acronym for Disadvantaged Business Enterprise (DBE) applicable to for-profit small business whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it, as defined in 49 CFR Part 26. The DBE Program Plan is a legal compliance obligation, required to receive FHWA financial assistance. See Section H – “Goal Documentation” in this document for more details.

R. CUCP is an acronym for California Unified Certification Program. A DBE shall be certified through the CUCP by the SOQ submittal due date and possess the appropriate work codes applicable to the type of work the DBE will perform on the Agreement. The CUCP assigns the appropriate NAICS codes to the DBE’s business services. The NAICS codes are supplemented with more descriptive Work Codes, and where appliable, DBE firm licenses.

The Work Codes are crossed matched to the NAICS codes.

S. NAICS is an acronym for the North American Industry Classification System Code and is the standard used by Federal statistical agencies in classifying business establishments for the purpose of collecting, analyzing, and publishing statistical data related to the U.S. business economy.

T. Work Codes indicate the types of work DBE firms (including Vendors) are certified to perform. The Work Codes supplement NAICS Codes that are used by the CUCP during DBE certification process. It is classification scheme of equivalent detail and specificity, describing work a DBE firm states it can perform, whether on initial certification or when a new type of work is added to an existing certification. The Work Code guide can be found at the DBE system web site.

U. CUF is an acronym for Commercially Useful Function. Under the terms established in 49 CFR §26.55, a DBE firm performs a CUF when it is responsible for actually performing, managing, and the ability to control its personnel including supervising the work involved, which then becomes the basis to render a determination that a DBE has in fact performed a CUF.

https://caltrans.dbesystem.com/

V. Good Faith Effort is all necessary and reasonable steps taken to fulfill a DBE goal or other requirements which could reasonably be expected to obtain sufficient DBE participation as instructed in ADM-0312F. In cases where a DBE contract goal has been established, the contract in question will only be awarded to a proposer/offeror that has either met the DBE goal or must demonstrated it made an adequate good faith effort to meet the individual DBE contract goal by submitting the required completed DBE Commitment Form ADM-0312F. The Department will make a fair and reasonable judgment whether a proposer/offeror that did not meet the DBE goal, demonstrated adequate good faith efforts.

W. DVBE is an acronym for Disabled Veteran Business Enterprise contractor, subcontractor, or supplier” means any person or entity that satisfies the ownership (or management) and control requirements of 2 CCR §1896.81, is certified in accordance with 2 CCR §1896.84, and provides services or goods that contribute to the fulfillment of the Agreement goal requirements by performing a commercially useful function as required in MVC §999(B).

X. Vendor is an individual, sole proprietorship, firm, partnership, corporation, distributor, supplier, laboratory, or any other business venture that provides business-to-business trade services such as but not limited to laboratory material tests, rental items or rental equipment that are incidental to the core A&E services. Such trade services routine and therefore can be procured from many sources and the vendors providing these trade services can be readily substituted for one another.

Vendor name and description of services shall be listed in the SOQ transmittal letter. Vendor shall have the appropriate license and certifications to perform said incidental A&E services prior to performing on task orders.

Firms providing Vendor trade services will be required to submit their vendor rate cost sheets, listing each item with its corresponding unit cost inclusive of all indirect costs used for all clients. Vendor rate sheets shall not include any personnel labor rates.

The table below is a guide for prime consultants to determine whether the firm that is contributing to the Agreement is a subconsultant or a vendor. In both instances, a prime consultant cannot apply its profit mark-up or indirect cost rates to services provided by a subconsultant or a vendor.

These services shall be invoiced to Caltrans as other direct costs.

Table 1: Consultant vs Vendor descriptions characteristics

Description Consultant and Subconsultant Vendor

Work Performed

Performs a key portion of the scope of work/objectives of the program.

Vendor may supply equipment or perform incidental A&E work which directly or indirectly, furnishes, supplies, or performs

Description Consultant and Subconsultant Vendor

Performs analysis or evaluation involving essential judgement directly applicable to the project.

Collaborate and/or participate in project design/proposal development standard tests in support of the core A&E services.

Services are part of the vendor’s regular business operations and are available to many different purchasers/customers at standard or fixed rates.

Performs analysis or evaluation involving substantial discretionary judgement.

Does not participate and/or collaborate directly in project design/proposal development

Performs services that are routine in nature such as traffic control, simple and repetitive testing, positive location of utilities and other routine incidental trade services.

Services may not include a significant amount of analysis or evaluation that involve substantial discretionary judgement.

Personnel Key and non-key personnel are identified in the SOQ and Attachment 2 – “Cost Proposal” of the agreement.

Qualifications are included in the proposal and considered during the peer evaluation.

Any change in key personnel (including subconsultant(s)) to proposer’s team prior to the execution of the Agreement will be considered a material change and SOQ will be deemed nonresponsive.

Vendor’s can only utilize the rate sheet without hourly labor rates.

Vendor Rate Sheets is inclusive of all personnel labor costs inclusive of all cost to fulfill deliverable objective. Vendor unit cost rates will be vetted for fair and reasonableness.

Vendor personnel labor rates is not listed in the Attachment 2 – “Cost Proposal” of the agreement.

Vendor firm name and brief description of work performed will be identified in the Organization Chart without listing its personnel.

Technology Transfer

Caltrans has ownership rights of work product derived by the Work performed by consultant, its employees, or by any of Consultant’s Subcontractor’s employees

No potential for patentable or copyrightable technology to be created through project.

Compliance to Federal Regulations

Compliance requirements of prime consultant are passed through to the subconsultant.

Provides a service outside program compliance requirements. Services might be in a lab or on-site.

Compliance to State Regulations

Services may be subject to California’s Prevailing Wage Law.

Services may be subject to Prevailing Wage Laws. Vendor unit rates will be vetted for fair and reasonableness.

III. REQUIREMENTS AND CONTENT FOR STATEMENTS OF QUALIFICATIONS (SOQS)

A. For a SOQ to be deemed responsive, the consulting firm shall comply with all minimum proposal requirements set forth in this document and the RFQ Notice. If a SOQ does not meet all the requirements, it may be considered non-responsive and eliminated from further consideration.

B. All applicants will be required to submit an electronic SOQ to DPAC. The electronic submission shall be of one single unprotected (i.e. not password protected) PDF file of the SOQ. Hard copies of the SOQs are NOT required.

Fax copies or copies transmitted by email will not be allowed. See RFQ for more details.

C. After the final filing date and time for submission of SOQ, each electronic SOQ will be opened and examined to determine compliance with the submittal requirements.

D. Caltrans in its sole discretion, may waive immaterial deviations and the SOQ may be evaluated based on the information provided when considered to be in the best interest of the State. Wavier of an immaterial deviation shall in no way modify the RFQ requirements or excuse the consulting firm from full compliance with the Agreement requirements.

E. SOQ Sections and Content Format

SOQs shall be in the following format:

1. Format Paper size to be 8-1/2” x 11” (except the organizational chart).

Font size used for all documents (except the organizational chart) to be a minimum of 8 point.

2. SOQs are to be tabbed and labeled into seven (7) sections and shall contain the following information:

SOQ Section 1- Transmittal Letters A. Prime Consultant Transmittal Letter

1. Prime consultant transmittal letter shall identify the Project team and list all firms (prime consultant, subconsultants, and vendor services);

including brief description of the services they will provide with the percentage (best estimate) of utilization forecasted for each firm including vendor services in a table format. For the percentage(s) (best estimate) of utilization allocated specifically for the DBE firms shall be consistent with that indicated on the ADM-0227F goal form, Part B — “DBE Information and Documentation”, under column 8 – “Percentage Committed”.

2. Prime Transmittal letter shall provide as an attachment for the applicable goal documentation. Additional information is listed in Sub-section E – “Goal Documentation” below.

3. Prime consultant Transmittal letter shall indicate each firm (including vendors) whether or not the firm/vendor is subject to prevailing wage requirements by the California Department of Industrial Relations (DIR).

Additional information is listed in Sub-section F – “California Department of Industrial Relations (DIR)” below. A copy of the DIR Web record certification shall be inserted immediately after the Goal documentation.

4. The prime consultant’s execution of signature affixed on the transmittal letter and includes verbiage certifying that neither the prime consultant, or its subconsultants, or its vendors providing A&E services as describe in the RFQ, has previously engaged and or will engage in any construction services for the same project for which the prime consultant and/or subconsultant/vendor previously performed Project Construction Support services.

5. List any former and/or current projects that would be directly related to the construction services requested.

6. The prime consultant shall provide a contact name, mailing address, email address, and phone number to which correspondence can be sent.

7. An individual authorized to obligate the firm or joint venture shall sign the prime consultant’s transmittal letter. The prime consultant transmittal letter is limited to three (3) pages.

8. Additional content for the Transmittal Letter is listed in Sub-section C – “Contents of Transmittal Letter” below.

B. Subconsultant and Vendor Transmittal Letter

1. The subconsultant and Vendor shall state their commitment to the prime consultant, indicating the specific portion of the work to be performed by their firm.

2. The person signing the transmittal letter shall be authorized to obligate the firm’s commitment to the Prime consultant.

3. Subconsultant and Vendor’s transmittal letter includes verbiage certifying that neither the subconsultant, or vendors providing A&E services as describe in the RFQ, has previously engaged and or will engage in any construction services for the same project for which the subconsultant or vendor previously performed Project Construction Support services.

4. Each subconsultant and Vendor transmittal letter is limited to one (1) page.

Additional content for the Transmittal Letter is listed in Sub-section C – “Contents of Transmittal Letter”

C. Additional Contents required for Transmittal Letter:

Above transmittal letters for all firms shall include the following:

1. Information for any former State of California, Department of Transportation (Caltrans) employee(s) listed on the organizational chart by the prime consultant, and/or subconsultants, (vendor services are exclude from this requirement):

a) The individual’s full legal name, and

b) Separation date from Caltrans starting on the later date of when the official permanently leaves the state service, when they are no longer authorized to perform the duties of their job, and they stopped performing the duties of the job, even if the official is still receiving compensation for accrued leave credits, and

c) Functional responsibility describing summary of various duties performed while with Caltrans (within the last 24 months of employment).

2. Prime consultant and sub-consultant (excluding vendors) shall include a paragraph within the transmittal letter certifying that proposed key and non-key personnel meet the requirements specified in the RFQ classification, including those as cross referenced in applicable Caltrans manuals for their corresponding qualifications, including but not limited to: education, licensing, certifications, and years of demonstrated experience.

3. If applicable, each firm’s (including Vendors) transmittal letter shall reference the DIR certification number and attach a copy of the DIR Web record certification inserted as an attachment to the transmittal letter.

4. Prime consultant and sub-consultant including vendors shall add a statement in their Transmittal letter, under penalty of perjury under the laws of the State of California, that firm or any person associated therewith in the capacity of owner, partner, director, officer or manager:

a) Is not currently under suspension, debarment, voluntary exclusion, or determination of ineligibility by any federal agency.

b) Has not been suspended, debarred, voluntarily excluded, or determined ineligible by any federal agency within the past three

(3) years.

c) Does not have a proposed debarment pending; and

d) Has not been indicted, convicted, or had a civil judgment rendered against it by a court of competent jurisdiction in any matter involving fraud or official misconduct within the past three

(3) years.

5. The signatures affixed to and dated on the prime consultant, and subconsultant, (including vendors with 50 or more employees), transmittal letter shall constitute a certification under penalty of perjury under the laws of the State of California that the proposer has, unless exempted, is in compliance with the State nondiscrimination program requirements (see Americans with Disabilities Act under Section VII.

MISCELLANEOUS of this document).

D. Conflict Of Interest documentation (Attachment to Transmittal letter)

1. Prime consultant, and sub-consultant (excluding vendors) shall attach a completed “Disclosure of Potential Conflict of Interest Form”, inserted immediately after their Transmittal letter. Firms asserting void of conflict of interest shall include the aforementioned form and note Not Applicable (N/A) within each applicable section.

2. Determination of whether a conflict of interest exists, resulting in an unfair competitive advantage and the resolution of a potential or actual conflict of interest are at the sole discretion of the Department.

3. 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.

4. 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.

5. Further information concerning conflict of interest issues can be found in this document under Section V – “Current Government Employment Restrictions” Section VI – “Post-Government Employee Restrictions”, and Section VII – “Conflict of Interest Concerning Consultants” of this document.

E. Goal Documentation (Attachment to Transmittal letter)

The Prime consultant shall provide the following goal documentation: (See RFQ Notice for participation goal requirements) inserted after the Conflict-of-Interest form:

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

1. Disadvantaged Business Enterprise (DBE) Goals

a) DBE Participation Forms – will consist of the following pursuant to the instructions in Section I – General Information, subsection H – Disadvantaged Business Enterprise Program of the RFQ and Section IV – Participation Goals of this document.

i. Disadvantaged Business Enterprise (DBE) Information, ADM- 0227F A&E

ii. Bidder/Proposer Disadvantaged Business Enterprise (DBE) Good Faith Efforts Documentation, ADM-0312F

iii. Copy of printout from Disadvantaged Business Enterprise (DBE) database for proof of each DBE firm’s/vendors certification.

b) Form ADM-0312F should be submitted along with the ADM-0227F A&E to demonstrate good faith efforts (GFE) and to protect consultant’s eligibility for the Agreement award in the event Caltrans determines the consultant failed to meet the DBE goal.

c) Failure to complete and submit the required DBE information and forms will be grounds for finding the consultant non-responsive and cause for rejection of the SOQ

d) Requirement in compliance with 49 CFR 29.37 revised on February 28, 2011: The consultant awarded the Agreement shall complete and submit a Disadvantaged Business enterprise Utilization Report (ADM-3069) with each invoice as required in Agreement, Exhibit B, “Budget Detail and Payment Provisions” and Exhibit D, “Special Terms.”

OR

2. Disabled Veteran Business Enterprise (DVBE) Goals

a) DVBE Participation Package – will consist of the following:

i. Disabled Veteran Business Enterprise (DVBE) certification letter(s) issued by the certifying entity AND.

ii. California Disabled Veteran Business Enterprise Requirements form (DGS PD 843) AND

iii. Bidder Declaration Form (GSPD-05-105)

b) Failure to complete and submit the required DVBE information and forms will be grounds for finding the consultant non-responsive and cause for rejection of the SOQ (also refer to the RFQ Notice, Section I - “General Information”, subsection H for information regarding DVBE participation requirements).

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

F. California Department of Industrial Relations (DIR) (Registration Certification Attached to Transmittal letter)

The following Section is applicable to Agreements containing public work elements and therefore are subject to prevailing wage requirements by the California Department of Industrial Relations (DIR). If applicable, each firm’s (including Vendors) transmittal letter shall include as an attachment a copy of the DIR Web record inserted immediately after the Goal documentation.

The Consultant/Contractor Registration Program shall address the following:

1. The prime consultant is responsible to determine which components of the advertised scope of work, if any, are subject to prevailing wage requirements.

2. The prime consultant shall indicate in the SOQ transmittal letter whether or not each firm (including if any Vendor) is subject to prevailing wage requirements.

3. If the advertised scope of work contains components that are subject to prevailing wage requirements by DIR, the prime consultant shall be registered with DIR. Pursuant to Labor Code (LC) section 1725.5, no prime consultant may be awarded an Agreement containing work subject to prevailing wage requirements unless registered with DIR.

4. No subconsultant or vendor may be listed on a SOQ to provide services subject to prevailing wage requirements, unless registered with DIR, pursuant to LC section 1725.5 [with limited exceptions from this requirement for competitive purposes only under LC section 1771.1(a)].

5. An SOQ shall not be accepted, nor any agreement or sub-agreement entered into without proof of the prime consultant, subconsultant(s), or vendor current registration to perform work subject to prevailing wage requirements pursuant to LC section 1725.5 [LC 1771.1(b)].

6. Caltrans will verify each of the registration numbers provided by the consultant prior to the award of an Agreement. A copy of printout from the DIR database for the prime consultant and each subconsultant firm (including vendor) that will be performing work subject to prevailing wage requirements shall be included in the SOQ as proof of registration.

7. Consultants that do not possess the required registration at the award of an Agreement will be deemed nonresponsive and rejected from further consideration in the solicitation process.

SOQ Section 2 - General Services Administration Standard Form 330 (SF330) Additional information for completing the SF330 may be obtained at the GSA Forms Library SF330 and shall be completed in accordance with the instructions contained in the form and shall conform to the following:

https://www.dir.ca.gov/Public-Works/Contractors.html https://www.gsa.gov/forms-library/architect-engineer-qualifications https://www.gsa.gov/forms-library/architect-engineer-qualifications

A. PART ONE-AGREEMENT-SPECIFIC QUALIFICATIONS

(Sections D-H below to be divided and delineated with tabbed colored sheets)

1. Section A – Agreement Information

2. Section B – Architect-Engineer Point of Contact

a) This individual is from the Prime consultant firm and

b) Responsible for leading a team of A&E firms, supervising, reviewing, monitoring, training, and directing the Consultant’s and Sub- Consultants’ personnel.

3. Section C – Proposed Team Composition:

a) Indicate Firm Name for Prime consultant, all subconsultant(s) and Vendor(s), Address, and Role in Agreement.

b) List the prime consultant or if applicable joint venture partners first.

c) Provide the contractual relationship, name, full mailing address, and a brief description of the role of each firm that will be involved in performance of this Agreement.

4. Section D – Organizational Chart of Proposed Team

a) Limited to two (2) pages folded to 8-1/2” x 11’, and not to exceed 11” x 17”.

b) The consultant is required to identify the key personnel in their organization chart with a symbol such as a star or a key.

c) Identify the various groups of personnel for their role in the Agreement.

d) Identify the Vendor(s) and their relevant role in the Agreement.

5. Section E – Resumes of all Proposed Personnel for this Contract

a) Consultant is required to use the standard resume SF330 as a template for both key and non-key personnel listed on the organizational chart and expected to be utilized on this Agreement.

b) The consultant is required to identify the key personnel in their standard resume SF330 with a symbol such as a star or a key.

c) List no more than five (5) relevant projects per resume and shall not to exceed 2 pages per personnel.

d) For each relevant project listed in the resumes, provide a brief project description however provide significant details of previous role that best demonstrates the person's capability and experience relevant to his/her proposed role in this agreement and consistent with the RFQ.

e) For each relevant project listed in the resume, indicate at the end of the “Brief Description and Specific Role” section, include the length of time spent on each project (month/year to month/year) however the experience that is in serial will be counted and considered towards the length of time with the total time not accounting for double counting or any overlapping.

f) The Consultant Contract Manager shall have a minimum of five (5) years of responsible experience performing the duties as a Consultant Contract Manager leading a team of A&E firms for similar A&E Services as identified in the RFQ, minimum ten (10) years of demonstrated experience acceptable to Caltrans in delivering the A&E Required Services identified in the RFQ and be an employee of the Prime Consultant firm. See SOW attached to the RFQ for any applicable license and or certification requirements.

For each cumulative set of competence: 5 years minimum managerial experience and 10 years minimum project delivery experience, gained from multiple projects at various times, shall be in serial (not in parallel order), with the total time not accounting for double-counting or any overlapping within each set of the two types of competence. The applicable qualifying license or certification requirements will be identified in the RFQ/SOW under the personnel requirements section.

Specific consultant contract management experience shall be detailed for each relevant project listed in the resume section of the Statement of Qualifications (Section E of the Standard Form 330) with a brief description of each project and include significant details of the previous role that best demonstrates the person's capability and experience relevant to his/her proposed role in this contract and consistent with the RFQ.

Specifically for the five (5) years of responsible experience performing the duties as a Consultant Contract Manager, the other Project Manager, Design Manager, Lead Designer, and other lead roll position experiences will not qualify for the Consultant Contract Manager experience as outlined in the RFQ for Personnel Requirements under Consultant Contract Manager.

g) The Consultant Task Order Manager shall have a minimum of five

(5) years of demonstrated experience acceptable to Caltrans in delivering the A&E Required Services identified in the RFQ. The cumulative set of 5 years minimum experience, gained from multiple projects at various times, shall be in serial (not in parallel order), with the total time not accounting for double-counting or any overlapping within cumulative set of project delivery experience. See SOW attached to the RFQ for any applicable license and or certification requirements.

Specific task order project delivery experience shall be detailed for each relevant project listed in the resume section of the Statement of Qualifications (Section E of the Standard Form 330) with a brief description of each project and include significant details of the previous role that best demonstrates the person's capability and experience relevant to his/her proposed role in this contract and consistent with the RFQ.

h) Except for the Consultant Contract Manager and the Consultant Task Order Manager, all other key personnel shall have the minimum years of demonstrated experience acceptable to Caltrans in delivering the A&E Required Services as identified in the RFQ. The cumulative years of experience, gained from multiple projects at various times, shall be in serial (not in parallel order), with the total time not accounting for double-counting or any overlapping within cumulative set of project delivery experience.

See SOW attached to the RFQ for any applicable license and or certification requirements.

Specific task order project delivery experience shall be detailed for each relevant project listed in the resume section of the Statement of Qualifications (Section E of the Standard Form 330) with a brief description of each project and include significant details of the previous role that best demonstrates the person's capability and experience relevant to his/her proposed role in this contract and consistent with the RFQ.

i) All proposed key personnel and non-key personnel to be utilized shall be grouped by firm. Personnel resumes shall be arranged by classification and numbered for each individual firm.

j) Except for the Professional Engineer license and the Professional Land Surveyor license, copies of all other licenses and certifications required in the RFQ or as required in the applicable Caltrans reference manual(s) within the RFQ for key personnel, shall be inserted in SOQ Section 2 – “General Services Administration Standard Form SF330, inserted immediately after applicable key personnel’s resume.

Vendor licenses and certifications including Laboratory Certification, Hazardous Waste Certificate, Hazardous Substance Removal Certification, Construction zone traffic control license, drilling license and other qualifying credentials must meet the requirements of the RFQ and presented to Caltrans Contract Manager prior to Task Orders execution.

k) Section E, SF330 resume is not required for vendors.

6. Section F – Ten (10) Relevant Example Projects:

a) Consultant shall submit Ten (10) relevant example projects that best illustrate proposed team's qualifications for this agreement in order to be deemed responsive to the RFQ solicitation requirements.

b) Limit each relevant example project to one (1) page.

c) The Ten (10) relevant example projects which best illustrate the proposed team’s qualifications for the Agreement shall represent services performed by individuals from the prime consultant or subconsultant firm(s) available to do work on the Agreement and are listed on the Organizational Chart in SOQ Section 2, Part One, Section D.

d) Relevant example projects performed by key personnel, that are not included as part of the 10 relevant example projects, and not performed by the current firms/team, may be added in Section H of SF330 with a brief description of the project and relevance to the required services.

7. Section G – Key Personnel Participation in Relevant Example Projects.

a) Indicate in table matrix graphically depicting which key personnel identified in SOQ Section E worked on the relevant example projects listed in SOQ Section F.

b) For all listed key personnel, briefly identify their role(s) in this Agreement and consistent with the RFQ.

8. Section H – Additional Information

a) In conformity with criteria described in Section 6, sub-section (d) above, projects performed by key personnel that were not included in the 10 relevant example projects may also be included in this section; however, page limits still apply.

b) Prime consultant is limited to four (4) pages and each subconsultant is limited to two (2) pages.

c) Subconsultants who have not previously worked with the prime, may include additional project examples performed by key personnel in this section H.

9. Section I – Authorized Representative

a) Prime consultant’s authorized representative shall sign and date the completed form.

b) Signing certifies that the information provided is current and factual, and that all firms on the proposed team agree to work on the project.

B. SF330 PART TWO – GENERAL QUALIFICATIONS – Is NOT APPLICABLE to this solicitation.

SOQ Section 3 - Staff Availability A. The prime consultant shall provide a table showing key personnel, role in the agreement, and the percentage availability for the current and next year, along with an estimate percentage availability for the following two years of the team proposed to work on the Agreement.

B. The prime consultant shall implement a personnel retention strategy and shall submit said written plan in the SOQ. The Personnel Retention Plan shall be inserted in Section 3 of the SOQ, immediately after the staff availability graph or chart. The absence of the Personnel Retention Plan may affect the score of the SOQ.

C. SOQ shall contain all staff (key and non-key) to perform the work for the contract terms and provisions as advertised. No additional staff will be allowed until six months from the SOQ submittal date.

SOQ Section 4 - Communication Plan A. The prime consultant shall show the accessibility of the team by providing a communication plan that outlines the chain of command including after hours and emergency situations that may arise during the term of the Agreement.

B. Prime consultant shall show how they would partner with all parties and stakeholders to establish and maintain cooperative communication channels and mutually resolve conflicts at the lowest responsible level.

SOQ Section 5 - Work Force Analysis Chart Below are requirements for Implementing the Federal Highway Administration (FHWA) Title VI compliance program under Title VI of the Civil Rights Act of 1964 and related civil rights laws and regulations and Conducting Title VI program compliance reviews relative to the Federal-aid highway program.

A. Each firm (prime and subconsultant) with 50 or more employees shall provide a Work Force Analysis (see example below) showing the total number and percentage of employees working in California. Proposed candidate firms that do not submit the required Work Force Analysis by the SOQ submittal due date maybe deemed nonresponsive.

B. A Work Force Analysis Chart presented by the prime consultant on behalf of the subconsultant(s) is not acceptable.

C. Each firm (prime and subconsultant) with fewer than 50 employees shall provide an exemption statement placed within Section 5, indicating that the firm has fewer than 50 employees and is therefore exempt from the Work Force Analysis requirement.

D. A Work Force Analysis Chart and/or exemption statement is not required for vendors.

Work Force Analysis

Personnel

White / Caucasian

Black / African

American

Hispanic / Latino Asian

Native Hawaiian or Pacific Islander

Native American Indian & Alaskan

2+ Races or Did not wish to disclose

Total Calif Work Force

M F M F M F M F M F M F M F M F

Executives/ Managers

Licensed Professional Engineers & Surveyors / Architects

Other Technical

Professionals

Office & Clerical

Total

Percent of Total

SOQ Section 6 - Nondiscrimination Plan A. Caltrans assures that no person shall, on the basis of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity receiving Federal financial assistance, as required by Title VI of the Civil Rights Act of 1964 and as amended, the Civil Rights Restoration Act of 1987.

B. To comply with State and Federal nondiscrimination program requirements, prime, subconsultant or vendor firms with fifty (50) or more employees shall provide a description of the firm’s nondiscrimination program designed to eliminate discrimination based on race, color, religion, age, sex, sexual orientation, disability, or national origin. Proposed candidate firms that do not submit the required firms nondiscrimination policy by the SOQ submittal due date maybe deemed nonresponsive.

C. A Nondiscrimination Plan or exemption statement presented by the prime consultant on behalf of the subconsultant(s) or vendor(s) is not acceptable.

D. Each firm (prime, subconsultant including vendor) with fewer than 50 employees shall provide an exemption statement placed within Section 6, indicating that the firm has fewer than 50 employees and is therefore exempt from the Nondiscrimination Plan requirement.

E. State nondiscrimination program requirements include Workforce Analysis Chart and Nondiscrimination Plan are found in Government Code Section 12990 and Title 2, California Code of Regulations, Division 4, Chapter 5, Subchapter 1, Sections 11102, 11103, and 11109 (unless exempted pursuant to Section 11111).

F. For federally funded projects, nondiscrimination compliance requirements are found in Title VI of the Civil Rights Act of 1964, and the Code of Federal Regulations, 49 CFR Section 21.9.

SOQ Section 7 - California Civil Rights Laws Certification The prime consultant that submits a SOQ to, or otherwise proposes to enter into or amend an Agreement with, a state agency with respect to any Agreement in the amount of one hundred thousand dollars ($100,000) or more shall certify, under penalty of perjury, at the time the SOQ is submitted or the Agreement is amended, that they satisfy all of the conditions set forth in California Public Contract Code Section 2010 and they shall execute the Certification.

A blank form ADM-0076 can be found at the A&E Contract Information website under “Forms Required with SOQ”. Proposed Prime firms that do not submit the ADM-0076 - “California Civil Rights Laws Certification” by the SOQ submittal due date maybe deemed nonresponsive.

General Policy and Regulation Guidelines

IV. PARTICIPATION GOALS

In accordance with the RFQ Notice, the following will apply:

The following Section A is applicable to ALL Federally funded Agreements

A. DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION GOAL

Caltrans has set an overall annual DBE goal to ensure equal participation of DBE groups specified in 49 Code of Federal Regulations (CFR), Part 26 (49 CFR 26). Incompliance with 49 CFR 26, Caltrans set an Agreement goal for DBEs participating in a solicitation expressed as a percentage of the total dollar value of the total resultant Agreement. See RFQ Notice for the DBE goals for a specific solicitation.

1. Authority and Responsibility

a) The solicitation is subject to 49 CFR 26 entitled Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs. Consulting firms and vendors shall be fully informed of the requirements of the regulations and Caltrans’ DBE Program developed pursuant to the regulations.

b) Pursuant to 49 CFR 26.13, the consultant, subconsultants, and vendors shall not discriminate on the basis of race, color, national origin, or sex in the performance of the agreement. The consultants and vendors shall carry out applicable requirements of 49 CFR 26 in the award and administration of DOT -assisted agreements. Failure by the consultants and vendors to carry out these requirements is a material breach of the agreement, which may result in the termination of the agreement or such other remedy as Caltrans deems appropriate, which may include, but is not limited to:

(1) Withholding monthly progress payments.

(2) Assessing sanctions.

(3) Liquidated damages; and/or

(4) Disqualifying the consultant or vendor from future competition as non-responsible.

c) It is Caltrans’ policy to encourage the participation of DBEs in the performance of agreements financed wholly or in part with federal funds. The prime consultant should ensure that DBE firms have an opportunity to participate in the performance of the solicitation and shall take all necessary and reasonable steps for this assurance.

d) It is the prime consultant’s responsibility to make work available to DBEs and select portions of work, services, or materiel needed from the RFQ, Attachment 1, Scope of Work. The required work, services, and/or materiel shall be relevant to the work codes of the DBEs consistent with available DBEs, to meet the Agreement goal for DBE participation in this solicitation or to provide information to establish that, prior to SOQ submittal, the prime consultant conducted adequate good faith efforts (GFE) to meet the goal. A blank form ADM-0312F can be found at the A&E Contract Information website under “Goal Requirements”.

e) To be eligible for award of the Agreement, the prime consultant shall demonstrate that the Agreement goal for DBE participation will be met or that, prior to SOQ submittal, an adequate GFE to meet the goal was made. Final determination of goal attainment of GFE by the prime consultant will be at Caltrans’ discretion.

f) The prime consultant is cautioned that even though its submittal indicated it will meet the stated DBE goal, its submittal should also include its GFE documentation along with DBE goal information to protect its eligibility for award of the Agreement in the event Caltrans, in its review, finds that the goal has not been met.

2. Submission of DBE Participation Information:

The required DBE goal information shall be submitted on the Disadvantaged Business Enterprise (DBE) Information form, ADM-0227F A&E, and described herein. The use of the Bidder/Proposer Disadvantaged Business Enterprise (DBE) Good Faith Efforts Documentation form, ADM-0312F is highly recommended to document any good faith efforts (GFE). Both ADM-0227 A&E and ADM-0312F are available on the A&E Contract Information website. The prime consultant is responsible for carefully reviewing and following all instructions for the ADM-0227F A&E and/or ADM-0312F.

a) DBE GOAL INFORMATION: On page 1 of the ADM-0227F A&E, the proposer shall provide the required information and documentation as instructed on page 2 of the ADM-0227F A&E.

The Proposer is responsible to ensure all information on the ADM- 0227F A&E is complete and accurate.

(1) The percentage of DBE goal commitment documented by the proposer in the ADM-0227F A&E is the percentage that will be documented in the Agreement language. After the highest qualified consultant has been selected, the highest qualified consultant will be asked to convert the percentage of commitment to dollar amount for each DBE firm listed on form ADM-0227F A&E in the column identified for that purpose and resubmit their form ADM-0227F A&E to the contract analyst within five (5) working days after notification of final results.

(2) The final/revised ADM-0227F A&E will be attached to and incorporated as part of the Agreement.

b) GOOD FAITH EFFORTS (Highly recommended): Using ADM-0312F, the proposer shall provide sufficient documentation to demonstrate adequate GFEs were made as instructed in the ADM- 0312F. The Proposer is responsible for ensuring all information in the ADM-0312F is complete and accurate. For disqualification examples, refer to the instructions to Bidder/Proposer in page 1 of the ADM-0312F.

3. DBE Certification Requirements

It is the proposer’s responsibility to be fully informed regarding the requirements of 49 CFR 26 and Caltrans’ DBE Program developed pursuant to the regulations. Particular attention is directed to the following:

a) A DBE shall be certified through the California Unified Certification Program (CUCP). The following web link lists the CUCP Certifying Agencies: https://californiaucp.dbesystem.com/

(1) In accordance with 49 CFR 26, The DBE shall be certified by the SOQ submittal due date as stated in the RFQ Notice and possess the work codes applicable to the type of work the DBE will perform on the Agreement in order to count toward meeting the DBE goal. The DBE directory of certified firms along with the associated NAICS and Work Codes can be found on the following Caltrans DBE Enterprise System. Proposed candidate Firms that do not possess the required DBE certification by the SOQ submittal due date maybe deemed nonresponsive.

(2) It is the proposer’s responsibility to verify that DBEs are certified by accessing the CUCP database.

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

(3) The CUCP database includes DBEs certified from all certifying agencies participating in the CUCP. If a firm is certified and cannot be located in the database, the prime consultant is responsible for complying with all provisions of this Agreement, and the prime consultant should contact the Caltrans Office of Civil Rights Certification Branch at (916) 324-1700 to ensure that the firm in question is certified with the appropriate work code to perform services required.

b) Access the CUCP database from the Caltrans Office of Civil Rights website.

(1) Click on the link button “DBE Search Click here”

(2) Click on “Click Here to Access DBE Query Form”

(3) Searches can be performed by one or more criteria

(4) Follow instructions on the screen

c) A proposer (prime consultant), who is not a certified DBE, is required to document one or a combination of the following:

(1) Meet the Agreement goal for DBE participation through work performed by DBE subconsultants, vendors, suppliers, or trucking companies.

(2) Make an adequate GFE to meet the agreement goal for DBE participation prior to SOQ submittal.

d) A certified DBE may participate as a prime consultant, subconsultant, joint venture partner, as a vendor of material or…