43A0513_RFQ_NOTICE.pdf

November 25, 2025 RFQ Number 43A0513

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 43A0513

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

• On September 30, 2025, the U.S. Department of Transportation (U.S.

DOT) issued an interim final rule (IFR) which, among other things, implemented changes to the Disadvantaged Business Enterprise (DBE) Program via modifications to 49 Code of Federal Regulations Part

26. (Docket Number DOT-OST-2025-0897.) The IFR was published in the Federal Register on October 3, 2025, and took immediate effect. (90 FR 47969 (Oct. 3, 2025).)

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

As required by Executive Order S-02-06, Caltrans is committed to meeting the State’s 25 percent Small Business (SB) participation goal. Certified SBs, Microbusinesses (MB), and consultants willing to commit to subcontracting a minimum of 25 percent of the contract amount to certified SBs or MBs are encouraged to submit Statements of Qualifications. Section I. H. has the specific goals established for this RFQ.

The Disabled Veteran Business Enterprise (DVBE) Participation Program applies, and a five percent (5%) goal is required for this RFQ. See section G. in this RFQ for requirements.

I. GENERAL INFORMATION

A. Caltrans is soliciting Statements of Qualifications (SOQs) from qualified firms that may lead to the award of a contract for A&E On-call Stormwater Support services. In submitting your SOQ, you shall comply with the instructions found herein. In addition to those programs that are specified in this solicitation, prospective consultants are encouraged to consider programs that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, new emerging firms, and other businesses covered by State and Federal programs.

mailto:alma.cortez@dot.ca.gov

B. The estimated contract amount is $6,032,203 - $9,802,330.

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

D. Interviews will be held via WebEx on January 15, 2026.

Confirmation letters will be sent to those firms short-listed.

E. The most highly qualified consulting firm will be required to submit an electronic copy of the financial documents listed on the appropriate Financial Documents Submittal Checklist available on the AE Contract Information website. The most highly qualified consulting firm will be notified of their selection and receive instructions for the electronic submission of the financial documents.

The most highly qualified consulting firm must submit a complete financial documents package no later than four (4) days after notification of selection. The prime consultant must submit the complete financial documents package in order for Caltrans to have the information necessary to engage in negotiations. The prime consultant is solely responsible for timely and complete submission of financial documents on behalf of the entire proposed team; financial documents will not be accepted from proposed subconsultant firms. Failure to submit a complete financial documents package by the specified due date may result in termination of negotiations with the most highly qualified consulting firm.

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of February 25, 2026. The fee for profit shall be ten percent (10%), and the escalation shall be as follows:

From To Escalation Term (yr)

12/30/2025 12/31/2026 1.81% 0 01/01/2027 12/31/2027 3.62% 1 01/01/2028 12/31/2028 3.62% 2 01/01/2029 12/31/2029 3.62% 3

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. Disabled Veteran Business Enterprise (DVBE) A Disabled Veteran Business Enterprise (DVBE) Participation Goal of five percent (5%) is required for the contract. As of July 28, 2009, the Good Faith Effort (GFE) is no longer an option to meet the DVBE participation goal, pursuant to Assembly Bill 21 of the Fourth Extraordinary Session

(AB4X 21).

H. Federal and/or State prevailing wage rates may apply. This requirement, if applicable, will be specified in the draft Agreement. See SOQ Submittal https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information

Instructions, Section I.,G. regarding the California Department of Industrial Relations (DIR) Consultant/Contractor Registration Program on the AE Contract Information website.

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

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

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

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

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

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

M. Pursuant to Executive Order N-12-23 – 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 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions https://home.treasury.gov/policy-issues/financial-sanctions/sanctions-programs-and-country-information/ukraine-russia-related-sanctions 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 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 exist, it must identity 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 A&E Contract Information website. Along with the description of the actual or potential conflicts of interests, 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 wit 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 firm failed to disclose any actual or potential conflicts, which it knew or should have know 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 12/30/2025. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

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

Your firm’s name Your email address The solicitation number for which you would like to submit a

SOQ

The file name shall include the contract number, consultant name (max.

25 characters) separated by an underscore (_), ending with the “.pdf” extension.

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

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

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

https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information mailto:alma.cortez@dot.ca.gov https://www.caleprocure.ca.gov/pages/index.aspx

Base Scope of Work - Attachment 1

Revised 08/09/2025

SCOPE OF WORK/DELIVERABLES

CALTRANS HQ WATER QUALITY SERVICES

Stormwater Guidelines, Manuals, Procedures, and Specifications Development Support Services (Attachment 1C)

For Caltrans, Division of Environmental Analysis, District 43

On-Call Agreement

Table of Contents

A. GENERAL PROJECT DESCRIPTION AND OVERVIEW OF SERVICES

1. Purpose of Work

2. Explanation of Work

3. Exclusion of Work

4. Location of Work

B. REQUIRED SERVICES – GENERAL PERFORMANCE

1. General Caltrans HQ Water Quality Services

2. Specific Caltrans HQ Water Quality Services

3. Partnering

4. Quality Control Plan

C. GENERAL REQUIREMENTS - PERSONNEL

1. Independent Contractor Status

2. Consultant Work Hours and Availability

3. Assigned Personnel on Task Orders

4. Stable Workforce

5. Safety

6. Other Personnel Requirements

7. Confidentiality and Nondisclosure Agreement

D. NON-ARCHITECTURAL ENGINEERING INCIDENTAL SERVICES

1. Non-Architectural and Engineering (A&E) Services

2. Training Services

3. Incidental Public Relations Services

E. CONSULTANT PERSONNEL REQUIREMENTS

1. Specific Personnel Requirements for Scope of Work Attachment 1C

F. COORDINATION

G. GENERAL REQUIREMENTS FOR DELIVERABLES AND DATA

1. Ownership of Proprietary Property

2. Format for Unprotected and Modifiable Electronic File Transfers

3. Submittals

4. Project Files

H. REVIEW AND ACCEPTANCE PROCESS

1. General

2. Reviews of Deliverables

3. Acceptance of Deliverables

4. Rejection of Deliverables

I. GENERAL REQUIREMENTS – EQUIPMENT AND APPURTENANCES

1. General

2. Office Equipment and Supplies (Consultant’s Office)

3. Field Equipment and Supplies

4. Office Equipment and Supplies (Use of Caltrans Office)

J. GENERAL REQUIREMENTS – STANDARDS

1. Federal, State, and Local Requirements

2. Prevailing Wages

3. Caltrans Standards

4. Manuals

5. Policies / Directives

6. Guidance

K. GENERAL MATERIALS AND ORIENTATION PROVIDED BY CALTRANS

1. General Materials

2. Permits to Enter Property

3. Orientation

L. CONFLICT OF INTEREST

1. General Requirements

2. Project Related

3. Personnel Related

4. Financial or Business Relationship

5. Relationship with other Transportation or Regulatory Agencies

7. Conflict of Interest Examples

M. SPECIFIC SERVICES ATTACHMENT 1C TO FOLLOW

BASE SCOPE OF WORK/DELIVERABLES

CALTRANS HQ WATER QUALITY SERVICES

For Caltrans, HQ Division of Environmental Analysis, District 43

On-Call Agreement

Stormwater Guidelines, Manuals, Procedures, and Specifications Development Support Services

(Attachment 1C)

A. GENERAL PROJECT DESCRIPTION AND OVERVIEW OF SERVICES

1. Purpose of Work

a. The Consultant shall perform consultation, research, professional and technical services required for the California Department of Transportation (“Caltrans”) Headquarters (“HQ”) Water Quality Services, on an “as-needed” basis to support Caltrans, Division of Environmental Analysis, District 43. Specifically, the Consultant may assist Caltrans in: Best Management Practices (“BMP”) effectiveness, BMP evaluation, BMP development, and water quality monitoring services; Independent Quality Assurance (“IQA”) services for water quality compliance monitoring; stormwater guidelines, manuals, procedures, and specifications development support services; Caltrans Stormwater Management Plan (“SWMP”) and policies support services; and stormwater permits regulatory enforcement action support services, in relation to the following plan and federal, state, and local permits:

i. NPDES Statewide Stormwater Permit and Waste Discharge Requirements for the

California Department of Transportation (“Caltrans NPDES Permit”) (Order 2022-0033-DWQ) and Time Schedule (Order 2022-0089-DWQ).

ii. State Water Resources Control Board (“SWRCB”) NPDES General Permit for Stormwater Discharges Associated with Construction and Land Disturbance Activities, also referred to as the Statewide Construction General Permit (“Statewide CGP”) (Order 2022-0057-DWQ).

iii. NPDES Permit for Storm Water Discharges Associated with Construction Activity in the Lake Tahoe Hydrologic Unit, Counties of Alpine, El Dorado, and Placer (“Lake Tahoe CGP”) (Order R6T-2016-0010).

iv. U.S. Environmental Protection Agency (“USEPA”) NPDES Construction General Permit (“USEPA CGP”).

v. NPDES Industrial General Permit (“IGP”) (Order 2018-0028-DWQ), which is applicable to Caltrans vehicle repair and maintenance, fueling, and wash facilities as auxiliary functions of maintenance stations and equipment yards.

vi. Permits and ordinances issued to and promulgated by municipalities, counties, drainage districts, and other local agencies regarding discharges of storm water and non-storm water to sewer systems, storm drain systems, or any watercourses under the jurisdiction of the above agencies.

vii. Caltrans Stormwater Management Plan (SWMP) – This plan required by the Caltrans NPDES Permit outlines the specific policies and procedures to implement Caltrans NPDES Permit requirements and other state and federal water quality regulations.

viii. Additional specific requirements are referenced in Attachment 1C.

b. The Consultant services support the Caltrans Division of Environmental Analysis, District 43 in addressing the water quality permitting requirements in support of the design, construction, operation, and maintenance of existing and proposed transportation projects and facilities, including all appurtenances.

c. This Agreement is for the following specific Water Quality Services:

Stormwater Guidelines, Manuals, Procedures, and Specifications Development Support Services (Attachment 1C)

d. Architectural and Engineering Services

This Agreement is for Architectural and Engineering (“A&E”) services, as described in California Government Code Sections 4525, et seq., and California Code of Regulations, Title 21, Chapter 12, Article 1, section 1520.1, except that non-A&E incidental and ancillary services are permitted if the cumulative value of all such non- A&E services do not exceed 15% of the total expenditures under this Agreement.

Non- A&E incidental services are further addressed in Section D, Non-Architectural and Engineering (“A&E”) Services.

2. Explanation of Work

a. The Caltrans Contract Manager assigned to this Agreement (“Caltrans Contract

Manager”) shall assign specific work to the Consultant through the issuance of Task Orders describing in detail the services to be performed under this Agreement (“Task Order(s)”). The Consultant shall only perform work that is assigned in an authorized Task Order. This Agreement does not guarantee that a Task Order shall be issued.

b. If applicable, when a subsequent Agreement for the same or similar scope of work is executed within three (3) months prior to the termination of this Agreement, no additional Task Orders shall be executed under this Agreement upon the effective date of the subsequent Agreement for the same scope of work as this Agreement.

c. The Consultant for the Agreement shall perform the services above after the contract authority for Contract 43A0425 is exhausted or no more than two (2) months prior to expiration of Contract 43A0425 (expected sunset date: 04/21/2026), whichever occurs sooner. The Consultant shall plan accordingly to meet the timing of and the volume of workload needs.

3. Exclusion of Work

The following activities will be performed by others and are excluded from this Agreement. The Consultant must consider these excluded activities in the project schedule to be submitted to Caltrans for approval. Consultant further agrees to provide the necessary information in a timely manner to facilitate the successful completion of the excluded tasks listed below:

a. The following contract(s) and task order(s) are excluded from this Agreement until the task order(s) are closed and/or the contract(s) authority is exhausted:

Existing Contract Number

Open Task Order No.

Description Project Services

43A0 Dewatering Manual

43A0425 17 Construction SWPPP Template Maintenance Manual.

43A0425 21 HDS Design - Electrical/Ventilation 43A0425 23 Update Encroachment Permit Training 43A0425 25 MMBN Support 43A0425 27 Update Construction Training

Modules 43A0425 28 Routine Maintenance Plan for San

Mateo County

b. The following specific services are performed by others and are excluded from this

Agreement:

Best Management Practices (BMP) Effectiveness, BMP Evaluation, BMP Development, and Water Quality Monitoring Services (Attachment 1A) Independent Quality Assurance (IQA) Services for Water Quality Compliance Monitoring (Attachment 1B) Caltrans Stormwater Management Plan and Policies Support Services (Attachment 1D) Stormwater Permits Regulatory Enforcement Action Support Services (Attachment 1E)

c. The following additional activities are excluded from this Agreement:

i. The Consultant shall not perform work on project(s) in the Project Initiation

Document (PID) phase or K-Phase and shall not be reimbursed for any work performed during this phase or any project planning activities.

ii. Consultant is prohibited from providing instructional training as an outcome of or in reference to the required services and deliverables herein nor participate in instructional workshop training. Specific exceptions to the above training (classified as incidental) exclusions will be addressed in Attachment 1C and expressed in detail in subsequent Task Orders.

iii. Consultant shall coordinate with Caltrans Contract Manager for all printing service needs. Pursuant to Government Code Section 14850 and State Contracting Manual, Volume 1, Section 3.21 mandate that all printing services, including print service requests within this Agreement, must be performed by the Office of State Publishing (OSP) or the California Prison Industry Authority (CALPIA), unless completed by a Caltrans Reprographics Unit.

iv. Performing various environmental water quality studies or reports for project development and delivery on a District capital outlay project (Districts 1 through

12) is excluded.

v. See additional exclusions of work within Attachment 1A, 1B, 1D, and 1E.

d. Information Technology (IT) related activities are excluded.

i. Information Technology (“IT”) related activities to be excluded are defined as auxiliary automated information handling, including systems design and analysis, conversion of data, computer programming, information storage and retrieval, voice systems that use interactive databases, video including videoconferencing systems that transmit sensitive data, data communications, requisite systems controls, the use of interactive databases and simulation and development and or maintenance of Webpage.

ii. For Task Orders that require elements of IT services, the Caltrans Contract Manager shall email the draft task order to “it.certification@dot.ca.gov” and have the Caltrans HQ IT Certification Branch review the draft Task Order and if applicable, determine the classification of an IT service acquisition for compliance with Caltrans IT policies and requirements prior to Task Order execution.

4. Location of Work

The work performed shall be water quality services for the Caltrans Headquarters Division of Environmental Analysis, District 43, in compliance with state and federal laws and requirements, as described in this base scope of work, Attachment 1, and Stormwater Guidelines, Manuals, Procedures, and Specifications Development Support Services (Attachment 1C) to this Agreement (“Scope of Work” or “SOW”), to improve the State transportation system. The specific location of the work to be performed shall be identified in each Task Order. Work could potentially occur in any district of Caltrans and county of California.

mailto:it.certification@dot.ca.gov https://it.onramp.dot.ca.gov/it-certification-branch

B. REQUIRED SERVICES – GENERAL PERFORMANCE

1. General Caltrans HQ Water Quality Services

a. A wide range of tasks associated with Caltrans HQ Water Quality Services, District 43 work should be expected. The Consultant shall perform and have the expertise, capability, and equipment necessary to perform the Scope of Work.

b. The potential project services may vary in scope and size and may encompass the development and revision of statewide guidance, policy, templates and procedural activities for future statewide project delivery requirements in support of the State transportation system. The specific details on 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.

c. Pursuant to an authorized Task Order, the Consultant shall provide Caltrans HQ Water Quality Services consistent with the Scope of Work within the geographical jurisdiction of this Agreement set forth in “Location of Work” Section. Consultant shall provide 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.

d. The Consultant shall begin the required work within two (2) working days after receiving a fully executed Task Order and the issuance of the Notice to Proceed (NTP) from the Caltrans Contract Manager to the Consultant Contract Manager.

Some work, however, may require Consultant personnel to mobilize within 24-hour of notifications. Once the work begins, the work shall be executed and performed diligently until all required work has been completed to the satisfaction of the Caltrans Contract Manager or Caltrans Task Order Manager (“Caltrans Task Order Manager”).

e. The Consultant Contract Manager, Consultant Task Order Manager, and Consultant Key Personnel (“Consultant Contract Manager”, “Consultant Task Order Manager”, “Consultant Key Personnel”) shall be accessible to the Caltrans Contract Manager at all times during normal Caltrans working hours or after hours as required by the Caltrans Contract Manager.

2. Specific Caltrans HQ Water Quality Services

The specific HQ Water Quality Services are described in the attachment template chosen to create the Scope of Work for this Agreement. The attachment template used with this base scope of work, Attachment 1, to comprise the Scope of Work for this Agreement is:

3. Partnering

Partnering is a way of conducting business in which both Consultant and Caltrans make commitments to achieve mutual goals.

a. Consultant and Caltrans’ Contract Managers shall schedule a kick-off partnering meeting; set expectations, roles and goals; establish the project-specific partnering process; develop risk/opportunity management strategies; monthly invoice processing and get buy-in and commitment from the Caltrans project development team.

b. Consultant shall partner with all parties and stakeholders to establish and maintain cooperative communication channels and mutually resolve conflicts at the lowest responsible level. Consultant may participate in dispute resolution plan to establish a common understanding of the team process to resolve disputes most efficiently and effectively.

4. Quality Control Plan

a. Prior to commencing work, the Consultant shall prepare the quality control plan identifying the minimum standard of work quality and obtain approval from the Caltrans Contract Manager. The quality control plan shall be applicable to all Task Orders during the entire time the work is being performed under the Agreement. The Consultant shall complete the quality control plan and certify at the completion of work that all measures contained therein were satisfied. Caltrans shall perform quality assurance on the quality control plan to assure that quality control was satisfied.

b. The Consultant shall have an established process whereby Quality Control Quality

Assurance (QC/QA) processes are incorporated and applied to all Task Order activities and deliverables and shall include the following:

i. All Task Order deliverables are reviewed for accuracy, completeness, and readability before submittal to Caltrans.

ii. Calculations and Task Order deliverables in whole or in part are independently checked, corrected, and re-checked.

iii. All job-related correspondence and memoranda are routed and received by affected persons and then filed in the appropriate Task Order file.

iv. Task Order activities are routinely verified for accuracy and completeness, such that any discovered deficiencies do not become systemic or affect the result of a Task Order deliverable.

c. The Consultant shall provide an outline of their quality control plan before a specific task begins and shall identify critical quality control reviews within each Task Order.

The Caltrans Contract Manager shall periodically request evidence that the Quality Control/Quality Assurance (QC/QA) plan is functioning.

d. Consultant developed and revised statewide guidance, policies, and procedures, specification language, environmental document templates, models, tools, research, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, Task Order deliverables, backup documents, and associated support activities required by this Agreement submitted to the Caltrans Contract Manager for review shall be marked clearly as being fully checked or unchecked, and that the preparation of the material followed the quality control plan established for the work.

e. Caltrans review of Task Order deliverables shall not be construed as quality assurance on Consultant’s work. Pursuant to the “Review and Acceptance Process” described herein, reviews by Caltrans do NOT include detailed review or checking of major components, quantitative calculations, related details, or accuracy of information. The responsibility for accuracy and completeness of such items remains solely that of the Consultant.

f. The QC/QA plan shall contain provisions for the development of appropriate

“checklists” to maintain product quality and control. These “checklists” shall be delivered to the Caltrans Contract Manager with the QC/QA plan. The Consultant shall update these documents when directed by the Caltrans Contract Manager.

Within thirty (30) calendar days of the Notice to Proceed (NTP), the Consultant shall submit to the Caltrans Contract Manager or Caltrans designee a job specific QC/QA plan and staffing plan consistent with the executed Task Order.

g. The Caltrans Contract Manager shall be the final decision maker to address all questions which may arise as to the quality or acceptability of Task Order deliverables furnished and work performed for this Agreement.

C. General Requirements - Personnel

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 to Consultant personnel 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 Task Order Manager or designee.

a. Consultant Personnel Relationship

i. Consultant is an independent contractor, and nothing contained in the Agreement shall be construed as constituting any relationship with Caltrans other than as an 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 its personnel.

b. Consultant Personnel - Supervision Control and Instructions

i. Consultant personnel shall operate as independent contractors whereby free to perform their 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 Agreement, 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 its subconsultants (also referred to as “Subconsultants”) and for all other persons that Consultant or any of its subconsultants hires or engages to perform or assist in performing the Scope of Work.

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

c. Skilled and Qualified Labor

i. Consistent with “Team of Subject Matter Experts” described herein, the Consultant shall 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 its 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 Agreement, allow Consultant to access selected items of equipment; provide non-employee User-Ids and related access to Caltrans computer systems to Consultant employees and 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 Agreement terms that apply to them, and Consultant shall 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. Consultant Work Hours and Availability

a. Unless otherwise specified in this Agreement or a Task Order, or directed by the Caltrans Contract Manager, the normal workday shall be Monday through Friday, from 8 a.m. to 5 p.m. or any combination of five (5) consecutive days which may include Saturday and/or Sunday, and the normal workweek shall consist of forty (40) hours. If Saturday and/or Sunday is part of a regular work week as determined by Caltrans, then the Saturday and/or Sunday work shall be treated as work performed on a regular workday and no overtime shall be paid for the first eight (8) hours on Saturday or Sunday. Consultant Contract Manager shall be responsible for providing Consultant personnel who can satisfy the requirements set forth in this Agreement.

b. If Caltrans determines that the Consultant’s services and work product need to be received outside of normal business hours (including instances where receipt of services is required to avoid danger to life or property), the Consultant may be directed to provide its services and work product during specific hours during the week (including hours that are outside of normal business hours). Night work may be required on project services. For services covered by prevailing wage laws and/or regulations, any shift differential rate pay for prevailing wage tasks shall be reimbursed in accordance with the applicable Department of Industrial Relations (DIR) determination.

c. The Consultant’s typical workday(s) shall include, but not be limited to, working in conjunction, in coordination, and in cooperation with all of the following:

i. Caltrans Contract Manager

ii. Caltrans Task Order Manager

iii. Caltrans Headquarters Staff and Caltrans Project Development Team

iv. Other Federal, State and/or Local Agencies

d. The Consultant shall obtain approval from the Caltrans Facility Manager prior to conducting activities within a maintenance station or other Caltrans facility.

e. The above sections (a-d) regarding work hours and availability are superseded by applicable state and/or federal prevailing wage laws and regulations, to the extent there is a conflict.

f. .

3. Assigned Personnel on Task Orders

a. Pursuant to Exhibit A, section 2 – Task Order, when responding to Caltrans’ Task Orders and in consultation with the Caltrans Contract Manager, the Consultant Contract Manager shall identify the specific individuals proposed for the task and their job assignments. The Consultant shall provide documentation that proposed personnel meet the appropriate minimum qualifications as required by this Agreement.

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

c. After Task Order execution, the Consultant shall not add, delete or substitute personnel without the Caltrans Contract Manager’s prior written approval and amending the applicable Task Order accordingly.

d. Resumes containing the qualifications and experience of the Consultant’s and Consultant’s subconsultant’s personnel, which include existing and additional personnel, and copies of their minimum required certifications, shall be submitted to the Caltrans Contract Manager for review before assignment on a project or Task Order. The resume and copies of current certification for each additional personnel shall be submitted to the Caltrans Contract Manager within one (1) week of receiving the request.

e. The Caltrans Contract Manager or designee may interview the Consultant’s personnel for qualifications and experience prior to placement on a Task Order or project. The Caltrans Contract Manager’s decision to select the Consultant’s personnel shall be binding to the Consultant and its subconsultants. The Consultant shall provide adequate qualified personnel to be interviewed by the Caltrans Contract Manager within one (1) week of receiving the request.

f. The Caltrans Contract Manager or designee shall evaluate the adequacy (quality and quantity) of the work performed by the Consultant’s personnel and determine whether the Task Order deliverables satisfy the acceptance tests and criteria. The Caltrans Contract Manager may reject any Consultant personnel for who are determined by the Caltrans Contract Manager to lack the minimum qualifications or rejected not limited to the following:

i. If at any time the level of performance is below expectations, the Caltrans

Contract Manager may direct the Consultant to immediately replace Consultant personnel from the project services specified in a Task Order and request that the Consultant assign another qualified personnel as needed.

ii. The Consultant personnel does not meet the qualifications required by this Agreement for performance of the work as demonstrated by a resume and copies of current certifications submitted by the Consultant.

g. The replacement Consultant personnel (for subsection i and ii above) shall have the same job classification, as set forth in the Consultant’s Cost Proposal, - Attachment 2, and meet or exceed the qualifications and experience level requirements as set forth in the Consultant’s Statement of Qualification for this Agreement (“SOQ”) – Attachment 6, at no additional cost to Caltrans and shall not exceed the specific rate of compensation as set forth in the Consultant’s Cost Proposal, - Attachment 2.

4. Stable Workforce

a. Maintaining a stable work force is essential to the successful completion of Caltrans work. Consultant shall implement the personnel retention plan strategy submitted with its Statement of Qualification for this Agreement (“SOQ”).

b. Pursuant to Agreement Exhibit D, subsection 1. C. – “Personnel Substitutions and Additions”, the Consultant shall be prepared to provide additional personnel, as necessary, during the period performance of this Agreement to accommodate the work.

5. Safety

a. Consultant shall review, become familiar and comply with occupational safety and health standards established by federal and state laws. Consultant shall review, become familiar with Caltrans Construction Code of Safe Practices (COSP), along with the Caltrans Safety Manual, these materials describe standard safety practices for Caltrans with general environmental services and operations. Consultant shall provide safe working and reasonably free from danger to life or health to its employees and the traveling public and shall maintain a written Injury and Illness Prevention Program.

b. In addition to the requirements specified elsewhere in this Agreement, the following also shall apply:

i. The Consultant shall maintain a working environment that is safe for project personnel and the public. The Consultant shall provide a code of safe practices that includes at a minimum, fall protection safety, lead training, respirator training, and promotes an awareness of health and safety requirements and enforce applicable regulations and Agreement provisions for the protection of the project personnel and the public. The Consultant’s personnel shall comply with all safety provisions of the Caltrans Safety Manual (https://dot.ca.gov/programs/construction/construction-manual/section-2-1-safety), Caltrans Surveys Manual (http://www.dot.ca.gov/hq/row/landsurveys/SurveysManual/Manual_TOC.html), Caltrans Laboratory Safety Manual (http://www.dot.ca.gov/hq/esc/ctms/pdf/lab_safety_manual.pdf), Caltrans Traffic Manual (https://dot.ca.gov/programs/safety-programs/camutcd) and Caltrans Code of Safe Practices (http://www.dot.ca.gov/hq/construc/safety/).

ii. The Consultant shall comply with all federal, state, and local Occupational Safety and Health Administration (OSHA) statutes, laws, codes, regulations, policies, procedures, ordinances, standards, rules, specifications, performance standards, and guidelines, and the safety instructions that Caltrans issues for performance of Task Order work, applicable to the work under this Agreement, regarding safety equipment and procedures (including, but not limited to, use and operation).

Under no circumstance shall the Consultant’s safety policies be less stringent than Caltrans’.

iii. The work shall not be performed when conditions prevent a safe and efficient operation and shall only be performed with written authorization by Caltrans.

c. The Consultant shall be solely responsible for the protection of health and safety of its personnel, subconsultants, and subconsultant’s personnel in performance of this

d. The Consultant shall provide, at no cost to Caltrans, all safety equipment to perform the required services in a safe manner including, but not limited to: gloves, coveralls, sunscreen, insect repellents, fire extinguisher, hard-soled safety footwear, white hard hats, eye protection, hearing protection, and approved safety attire. The Consultant’s personnel shall wear hard-soled safety footwear, white hard hats, eye protection, hearing protection, and approved safety vests at all times while working in the field.

e. The Consultant shall provide, at no cost to Caltrans, appropriate safety training for all the Consultant’s and the subconsultant’s office, laboratory, and field personnel, including training required for performing the work in an office setting or in the field, project construction site, to work on and near highways in a safe manner.

f. Any safety violations committed by the Consultant personnel may be cause for termination of the Agreement.

g. Consultant personnel whose work involves field work must:

http://www.dot.ca.gov/hq/row/landsurveys/SurveysManual/Manual_TOC.html https://dot.ca.gov/programs/safety-programs/camutcd

i. Have current certification of defensive driving training and current California

Driver’s License.

ii. Have attended an 8-hour Construction Safety Orientation Class prior to being assigned to work on Caltrans projects and current on annual refresher class. (See Section on Field Equipment for additional requirements.)

h. All temporary traffic control shall be performed by a licensed contractor and meet the requirements of the latest Caltrans Standard Plans, Caltrans Standard Specifications, and California Manual on Uniform Traffic Control Devices. The Caltrans Standard Plans and Specification can be found at: https://dot.ca.gov/programs/design/april- 2025-ccs-standard-plans-and-standard-specifications. The California Manual on Uniform Traffic Control Devices can be found at: https://dot.ca.gov/programs/safety-programs/camutcd.

6. Other Personnel Requirements

a. Annual Caltrans Approved Information Security Awareness Training.

This mandatory training is to be completed annually by all Caltrans employees, contractors, consultants, partners, vendors, students, and volunteers with access to computers or network resources. At the request of the Caltrans Contract Manager, Consultant personnel will complete security and privacy awareness training each year.

b. The Consultant is responsible to provide fully trained personnel to efficiently perform the work. The Consultant’s personnel may be asked to attend certain special training if recommended by the Caltrans Contract Manager. On such occasions, with the approval of the Caltrans Contract Manager, Caltrans shall compensate the Consultant for the Consultant’s actual cost for time spent in training only. All other costs, fees, and expenses associated with the training, including any transportation costs, lodging, per diem, and training fees, shall be the Consultant’s responsibility.

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

d. Caltrans shall not reimburse the Consultant for costs to relocate its personnel to the service area of this Agreement. Caltrans shall not reimburse the Consultant for per diem costs, unless preapproved by the Caltrans Contract Manager. Caltrans shall not reimburse the Consultant for out-of-state travel without prior written approval from the Caltrans Contract Manager.

7. Confidentiality and Nondisclosure Agreement https://dot.ca.gov/programs/design/april-2025-ccs-standard-plans-and-standard-specifications https://dot.ca.gov/programs/design/april-2025-ccs-standard-plans-and-standard-specifications

a. Critical to keeping information secure, including competitive, sensitive proprietary information or trade secret, and for the validity of the Consultant Task Order work and deliverables, the Consultant personnel shall maintain process integrity and confidentiality. The Consultant shall have procedures in place that address confidentiality and conflict of interest issues in all services and deliverables performed.

b. A Confidentiality and Nondisclosure Agreement (“NDA”) template document shall be submitted in draft and the opportunity presented for Caltrans to provide comments and feedback prior to final acceptance by Caltrans of the executed NDAs and before Consultant commences work on the first Task Order under this Agreement.

c. All Consultant and Subconsultant personnel are required to sign and submit the approved NDA prior to commencing work for the first time on a Task Order.

d.