RFQ_Notice_05A3042.pdf

August 14, 2026 RFQ Number 05A3042

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 05A3042

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

• On February 2, 2026, new escalations rates.

• On February 2, 2026, interviews will be held in person.

• 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.

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

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 Independent Cost Estimator (ICE) and Construction Scheduler in support of CMGC Project Development and Construction Services. In submitting your SOQ, you shall comply with the instructions found herein. In addition to those programs that are specified in this solicitation, prospective consultants are encouraged to consider programs that are available, such as those for the use of small businesses, disadvantaged businesses, disabled veteran businesses, new emerging firms, and other businesses covered by State and Federal programs.

B. The estimated contract amount is $ 501,360.00 $ 814,710.00 C. The estimated contract term is three years.

D. Interviews will be held in person on October 1, 2026 at

2015 E. Shields Ave., D05 Midway 123 Sand VTC Fresno, CA 93726 Confirmation letters will be sent to those firms short-listed.

mailto:Adam.Matheny@dot.ca.gov

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

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

F. Negotiations will be held with the top-ranked firm by teleconference/WebEx during the week of November 9, 2026. The fee for profit shall be (10%) ten percent, and the escalation shall be as follows:

Year Period Escalation 0 09/16/2026 - 09/30/2027 1.71% 1 10/01/2027 - 09/30/2028 3.42% 2 10/01/2028 - 09/30/2029 3.42% 3 10/01/2029 - 09/30/2030 3.42% Notes:

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

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

G. The scheduled date to complete cost negotiations and submit final cost proposal is November 18, 2026.

H. Disadvantaged Business Enterprise Program

1. 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).) The IFR, as published in the Federal Register, is available at the following url:

Docket No. DOT-OST-2025-0897

2. In the event of any ambiguity or discrepancy between the existing law, including the IFR, and this contract, existing law controls.

I. 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 https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information https://www.federalregister.gov/documents/2025/10/03/2025-19460/disadvantaged-business-enterprise-program-and-disadvantaged-business-enterprise-in-airport

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

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

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

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

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

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

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

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

1. The State of California seeks to realize the potential benefits of

GenAI, through the development and deployment of GenAI tools, while balancing the risks of these new technologies.

2. Bidder / Offeror must notify the State in writing if it:

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

1) functionality of a State system,

2) risk to the State, or

3) Contract performance.

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

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

4. Upon notification by a Bidder / Offeror of GenAI as required, the State reserves the right to incorporate GenAI Special Provisions into the 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 interest, the proposed team shall also offer measures to avoid, neutralize, or mitigate all listed conflicts.

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

C. After award, conflict of interest guidelines and policies shall continue to be monitored and enforced by the Caltrans Contract Manager. Additional information about Conflict-of-Interest issues can be found in the SOQ Submittal Instructions and General Contract Process Information document (Section V. Post Government Employment Restrictions and Section VI.

Conflict of Interest Concerning Consultant(s)) found on the AE Contract Information website (see link below). The State and Federal contract https://dot.ca.gov/programs/procurement-and-contracts/ae-contract-information 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 09/16/2026. Hard copies of the SOQs are NOT required. Fax copies or copies transmitted by email will not be allowed.

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

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

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

SOQ

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

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

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

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

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

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

Attachment 1

SCOPE OF WORK/DELIVERABLES

Independent Cost Estimator (ICE) and Construction Scheduler in support of CMGC

Project Development and Construction Services for Caltrans, Division of Project Management, District 5

Project Specific Contract

A. Purpose of Work

1. The Consultant shall perform consultation, professional and technical services required for Independent Cost Estimator (ICE) and Scheduler related Project Development and Construction Support Services including, but not limited to, analysis, reports, and work related to Independent Cost Estimate, and Scheduler for the Department of Transportation (Caltrans). The Consultant may provide services to Caltrans including, but not limited to, studies related to preparation of the independent cost estimate and include constructability means and methods, equipment availability, production rate studies, cost analysis studies, deliverables to support the preparation of the Independent Cost Estimate, schedule support to cost reconciliation and Award, and during the construction phase.

2. An independent cost estimator under this agreement will perform a series of detailed cost estimates. These estimates will be performed independently of the Construction Manager/General Contractor (CMGC) and independent of the Project Manager /Engineer, and will become an important tool to set up, compare, and validate the Construction Proposed Price bid. These estimates, showing all quantities (including temporary materials), anticipated production rates, labor prices, material prices, and equipment prices are to be generated to demonstrate the direct costs of each project. For a comparison to specialized work, the ICE may also be required to acquire sub-contractor and material pricing quotations from venders. Additionally, these estimates will generate a cost for all indirect costs such as project management, supervision, field office support, mobilization costs, construction utility costs, insurances, profits, and other directly related costs. It is expected that these estimates will be held ‘in the blind’ and only used to determine if the proposed Construction Proposed Price bid for any piece of the work is within an acceptable range for recommendation to award. The Department may elect to have the CMGC provide subcontractor and material pricing to the ICE as part of the estimate reconciliation process.

3. Architectural and Engineering Services

Notwithstanding any other provision in this Agreement, the Consultant shall provide only architectural and engineering services defined by Government Code section 4525(d) and 4526 (“A&E Services”) in regard to the services covered by this Agreement. Only A&E Services are permitted to be performed under this Agreement, except that non-A&E Services are permitted as long as the value of such non-A&E services do not exceed 15% of the total expenditures under this Agreement. No compensation will be provided to the Contractor for non-A&E Services that exceed 15% of the total expenditures under this Agreement without the prior written consent of the DPAC.

4. The DEPARTMENT has obtained general authority to utilize the Construction Manager General Contractor (CMGC) project delivery method to deliver projects under California Public Contract Code - PCC § 6700. The CMGC delivery method allows the DEPARTMENT to engage a contractor (CMGC Construction Manager or CMGC-CM) during the design process to provide input on the design. During the design phase, the Construction Manager provides advice including, but not limited to, scheduling, pricing, and construction phasing to assist the DEPARTMENT to design a more constructible project. When design (or portion thereof) is complete, the CM becomes the General Contractor (GC) and constructs the project. However, this contract is for the procurement of a team of Independent Cost Estimators and Schedulers as described under Section D - Description of Required Services below. The purpose of this statement of work is to procure project specific A&E ICE Services for utilization within the CMGC delivery method.

5. The Consultant will provide independent cost estimating and schedule services in support of the CMGC delivery method for District 5 Project in support of the CMGC delivery method. This project is located on Route 46, east of the town of Shandon from San Luis Obispo County PM 57.3 to PM 60.8 and from Kern County PM 0.0 to PM 0.4. The project proposes to convert the existing 2-lane conventional highway to 4-lane divided expressway.

6. The consultant will review and become familiar with the following information:

a. Project Report(s) all their attachments

b. Environmental Document(s)

c. Design Details

d. Specifications and Special Provisions

e. Any project specific documentation when made available

7. Exclusion of Work.

Except for ICE services for CMGC projects, the following services are excluded from this Contract:

a. All other projects that are not CMGC delivery method or CMCG projects that are not listed as set forth in Table 1 “Location of Work” work is excluded.

b. Professional and technical engineering services required for Roadway

Design and related Project Development and Construction Services.

c. Professional and technical engineering services required for Architecture and Structural Engineering - includes new or retrofit design of bridge or major building facility structures.

B. Location of Work

1. The work shall be performed on the Project within the limits of Caltrans District 5.

The Project is located on Route 46, east of the town of Shandon from San Luis Obispo County PM 57.3 to PM 60.8 and from Kern County PM 0.0 to PM 0.4.

2. The project will replace the existing 2-lane conventional highway with a new facility located along and north of the existing location.

More specifically, the project is anticipated to include the following elements:

a. Construct a widening of the existing facility.

3. The Specific CMGC Project(s) consists of the Project IDs listed in Table 1.

Table 1: Specific CMGC Projects

EA Project ID DISTRICT ROUTE PROJECT DESCRIPTION

05-3307E 0518000075 5 SLO-46 State Route 46 Corridor Improvements -Segment E – Antelope Grade

4. Caltrans intends to utilize this Contract to complete a specific piece of work as long as the work is a part of the Specific CMGC Project(s) utilizing the services described in this Scope of Work and as described in Task Order.

Should a Contract be procured under these provisions, the parties mutually agree that, in accordance with Exhibit D, Section III, Termination of this Contract, Caltrans shall terminate for convenience the portion of the Contract that includes the common scope of work identified in Exhibit D, Section III, Termination of this Contract. Such partial termination for convenience shall be processed by amendment to this Contract.

C. Schedule

Completion time for each Cost Estimate deliverable (labeled D) and Projects’ milestones (labeled M) are set forth below. The dates described are subject to change depending on the progress in the development of the Projects’ design and construction.

Table 1. Schedule for Project ID 0518000075, EA 05-3307E Antelope Grade Phase 1 Tentative dates subject to change Completion of 100% Design Estimates D 11/4/2026 Completion of Construction M 08/17/2029

Table 2 cont. Schedule for Project ID 0518000075, EA 05-3307E Antelope Grade Phase 2 Tentative dates subject to change Completion of 95% Design Estimates D 01/06/2027 Completion of 100% Design Estimates D 09/02/2028 Completion of Construction M 08/08/2031

D. Description of Required Services

1. The Consultant shall provide the A&E Services as described in this Agreement, bid evaluation, cost-benefit analysis, and project Construction cost estimate negotiation.

For purposes of clarifying the definition of A&E Services, these services must satisfy the following requirements:

a. The services must be rendered for a Caltrans project or project development.

b. The services and the professional licenses, registrations or certifications must pertain to the following professional services:

(a) Construction project management provided by licensed architects, registered engineers, or licensed general contractors.

c. Pursuant to an authorized Task Order, the Consultant shall provide

Independent Cost Estimating and Scheduling Services within the geographical jurisdiction of the Contract set forth in “Location of Work” Section, and all necessary personnel, material, transportation, lodging, instrumentation, and the specialized facilities and equipment necessary to satisfy all appropriate agencies and required to ensure compliance with all applicable Federal, State, and Local statutes, laws, codes, regulations, policies, procedures, ordinances, standards, specifications, performance standards, and guidelines, applicable to the Consultant's services and work product.

d. This contract is for the procurement of a team of Cost Estimators and Schedulers as described below.

e. The Consultant shall provide Independent Cost Estimating for the Project on Phase 1 Plans, Specifications, and Estimate (PS&E) phase. The Consultant shall also prepare construction schedule and analyze construction methods and productions in support of ICE.

f. The Consultant shall provide construction cost estimating and scheduling services in support of one of the projects in the CMGC Program. A major outcome of these services is a construction cost estimate and number of working days schedule that is independent of the estimates developed by the DEPARTMENT (Engineer’s Estimate) and the CMGC-CM (“bid”). The Independent Cost Estimates developed under this contract will be used to validate the final CMGC “bid” for each construction contract.

g. The bidding process is set up to verify a comparison between all estimates completed by the Program Manager (PM), Independent Cost Estimator (ICE) and CMGC-CM. The ICE’s estimate is kept hidden from CMGC-CM to maintain integrity in the bidding process.

E. General Personnel Requirements

1. The Consultant’s personnel shall be capable, competent, and experienced in performing the types of work in this Contract with minimal instruction.

Personnel skill level should match the task complexity for specific job classifications, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2 and task complexity. The Consultant’s personnel shall be knowledgeable about, and comply with, all applicable Federal, State, and Local laws and regulations.

2. The Consultant is required to submit a written request and obtain the

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

3. In responding to Caltrans’ Task Order and in consultation with the Caltrans

Contract Manager, the Consultant Contract Manager shall identify the specific individuals proposed for the task and their job assignments. The Consultant shall provide documentation that proposed personnel meet the appropriate minimum qualifications as required by this Contract.

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

5. After the Caltrans Contract Manager’s approval of the Consultant’s personnel proposal and finalization of a Task Order, the Consultant may not add, delete or substitute personnel without the Caltrans Contract Manager’s prior written approval.

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

7. The Caltrans Contract Manager or designee may interview the Consultant’s personnel for the qualifications and experience. The Caltrans Contract Manager’s decision to select the Consultant’s personnel shall be binding to the Consultant and its Subconsultants. The Consultant shall provide adequate qualified personnel to be interviewed by the Caltrans Contract Manager within one (1) week of receiving the request.

8. The Caltrans Contract Manager or designee shall evaluate the adequacy

(quality and quantity) of the work performed by the Consultant’s personnel and determine whether the deliverables satisfy the acceptance tests and criteria. The Caltrans Contract Manager may reject any Consultant personnel who are determined by the Caltrans Contract Manager to lack the minimum qualifications. If at any time the level of performance is below expectations, the Caltrans Contract Manager may direct the Consultant to immediately remove Consultant personnel from the project specified in a Task Order and request that the Consultant provide another qualified person be assigned to the contract. The Consultant personnel shall meet the qualifications required by this Contract for performance of the work as demonstrated by a resume and copies of current certifications submitted by the Consultant. Consultant personnel shall receive prior written approval from the Caltrans Contract Manager. Invoices with charges for personnel not pre-approved by the Caltrans Contract Manager for work on the Contract and for each Task Order shall not be reimbursed.

9. The Consultant shall not remove or replace any existing personnel assigned to Task Orders without the prior written consent of the Caltrans Contract Manager. The removal or replacement of personnel without the written approval from the Caltrans Contract Manager shall be violation of the Contract and may result in termination of the Contract per Exhibit D, Section III, Termination of the Contract.

10. When assigned consultant personnel is on approved leave and required by the Caltrans Contract Manager, the Consultant Contract Manager shall provide a temporary substitute employee until the assigned employee returns to work from the approved leave. The Consultant personnel shall have the same job classification, as set forth herein or in the Consultant’s Cost Proposal, Attachment 2, not exceed the billing rate and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to Caltrans. Consultant personnel shall receive prior written approval from the Caltrans Contract Manager to work on this Contract.

11. Other project personnel who are not identified on the Consultant’s cost proposal shall also satisfy appropriate minimum qualifications for assigned Task Orders. Caltrans’ prior written approval is required for all personnel not identified on the Consultant’s organization chart or the Consultant’s cost proposals before providing services under this Contract.

12. The Consultant is responsible to provide fully trained personnel to efficiently perform the work. The Consultant’s personnel may be asked to attend certain special training if recommended by the Caltrans Contract Manager. On such occasions, with the approval of the Caltrans Contract Manager, Caltrans shall compensate the Consultant for the Consultant’s actual cost for time spent in training only. All other costs, fees, and expenses associated with the training, including any transportation costs and training fees, shall be the Consultant’s responsibility. In addition, services to train the Caltrans personnel shall not be provided by the Consultant under this Contract.

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

14. The Consultant and all subconsultants, shall throughout the life of the

Contract, retain within its firm, a staff of people who shall be properly licensed and certified in accordance with the laws of the State of California and qualified to perform all aspects of the required work described in this Contract and all work specified in a Task Order along with any emergencies that may arise during the life of this Contract. The Consultant shall be prepared to provide additional personnel, as necessary, during the period performance of this Contract to accommodate the work.

15. Critical to the validity of the selection process is the absolute necessity to maintain process integrity and confidentiality. All Consultant personnel are required to sign a No Conflict of Interest Statement and confidentiality and nondisclosure agreement (NDA). A copy of the No Conflict of Interest Statement with the first invoice and NDA shall be submitted upon request.

16. At the request of the Caltrans Contract Manager, Consultant personnel will complete security and privacy awareness training each year, see http://itsecurity.dot.ca.gov/training.

17. All Consultant personnel are required to sign a confidentiality and

Nondisclosure Agreement (NDA) issued by the Consultant firm. NDA shall be submitted in draft and the opportunity provided for Caltrans to provide comments and feedback, prior to final acceptance and before commencing work on the Task Order. Executed NDAs shall be made available to Caltrans upon request.

18. Consultant personnel whose work involves field work must:

a. Have current certification of Defensive Driving Training and current California Driver’s License.

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

F. Consultant Availability and Work Hours

1. The typical workday includes all hours worked by the Caltrans construction contractor on the project as identified in the Task Order and as directed by the Caltrans Contract Manager. Unless otherwise specified in the 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.

G. General Requirements

1. The Consultant shall prepare the required estimates, notes, calculations, analysis, reports, graphics, drawings, product, data, details, other documents, other items, and deliverables required by this Contract according to requirements of this Contract and applicable Caltrans Manuals for the work.

http://itsecurity.dot.ca.gov/training

2. If directed by the Caltrans Contract Manager, the Consultant shall prepare and update a comprehensive Critical Path Method (CPM) network diagram, Bar Chart Schedule, Logic Network Schedule, and the Caltrans Work Breakdown Structure (WBS) for each Task Order issued by the Caltrans Contract Manager showing a deliverables schedule as well as other relevant data to monitor project progress, Consultant’s work control, and Caltrans review of work status, if required in the Task Order. The relevant data shall include a list of activities with budgeted cost, milestones, and target date for completion of each activity. The minimum number of task details shall be identified in the Task Order. This workplan shall be updated once a month to show the approved baseline schedule and the actual progress schedule.

Caltrans shall review these documents and return them to the Consultant with notes and comments as soon as possible in order to validate the planning and cost control procedures within the first calendar month of performance period.

The latest Work Standards Guide (WSG) is found in the Guide to Project Delivery Workplan Standards Guide, which is available from the Caltrans’ Publication Unit and on the Internet at https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf. The WSG references the WBS categories, which are potential and related work activities applicable to the Contract. The WGS references WBS categories which present the potential and related work activities that the Consultant may be required to perform.

All revisions to the current version of the WBS shall apply during the life of the Contract. The WBS activities below applicable to the Contract are limited to those set forth below:

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

3. The Consultant’s timesheet/invoices/expenses shall be subject to the review of the Consultant Contract Manager and the subsequent review and the approval of the Caltrans Task Order Manager before submitting timesheets, invoices, or expense reimbursement requests for payment.

4. 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 or on the date specified in the Task Order. Some work, however, may require Consultant personnel to mobilize within 24-hour of notifications. Once the work begins, the work shall be prosecuted/performed diligently until all required work has been completed to the satisfaction of the Caltrans Contract Manager or Caltrans designee.

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

https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf https://dot.ca.gov/-/media/dot-media/programs/project-management/documents/workplan_standards_guide_a11y1.pdf

6. The Consultant Contract Manager, Consultant Task Order Manager, and 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.

7. The Consultant Contract Manager or designee may advise the Consultant’s

Contract Manager of the perceived need to have the Consultant’s employees to work overtime to meet Task Order schedules, and the Consultant’s Contract Manager shall take effective measures to address the Caltrans Contract Manager’s need. All overtime shall be pre-approved by the Caltrans Contract Manager or designee. Overtime pay shall be paid to only persons covered by the Fair Labor Standards Act.

8. The Consultant may not disclose any information to third parties without prior written approval of the Caltrans Contract Manager.

9. The Consultant shall only provide incidental non-Architectural and Engineering

(A&E) services, such as GIS support, utilities location support, traffic control, office support, field office support, and meeting support, provided (a) such services are necessary for the completion of the A&E tasks and/or deliverables performed by the Consultant described in executed Task Orders and covered by the work in this Contract and (b) the rendering of the services is approved in advance by the Caltrans Contract Manager. These incidental services shall only be provided to support the Consultant’s personnel who are performing A&E services, tasks, and deliverables on this Contract. The Contract amount spent on such incidental services shall be relatively minor when compared to the professional A&E services performed as long as the value of such non-A&E services do not exceed 15% of the total expenditures under this Agreement. The Consultant shall not be paid or reimbursed for any incidental non-A&E services provided to Caltrans unless provided in the fashion described in this Contract and included in the executed Task Order. The Consultant is responsible for ensuring that Task Orders only include any incidental non-A&E services.

10. The Consultant shall include the Caltrans Contract Manager in written communications to other Caltrans personnel for any clarification on the scope of work.

11. The CONSULTANT shall provide the following employees:

a) Consultant Contract Manager who manages the contract and oversees the

CONSULTANT team. This person assures all contract terms and conditions are followed by the CONSULTANT’s team. This person is also the leader of the technical work responsible for the quality of the work performed by the CONSULTANT’s team.

b) Consultant Task Order Manager(s) who manages multi-disciplinary resources in support of individual task orders and in support of the CMGC Program.

c) Cost Estimator(s) to provide cost estimating services for the listed project(s).

d) Scheduler(s) to provide scheduling services for the listed project(s).

13. When assigned by the Department’s Contract Manager, the CONSULTANT will complete the following tasks, including but not limited to:

a) CONSULTANT will assign a Contract Manager who will act as the primary point of contact for the DEPARTMENT. The Contract Manager will manage the CONSULTANT’s project team. Services performed under the contract management task include but are not limited to supervision of all work performed for this project; quality of work; communication with team members; project accounting, project opening, monthly invoicing in accordance with the DEPARTMENT standards, project closeout; and communication with DEPARTMENT. All project files and deliverables created under this agreement will be compiled and provided to the DEPARTMENT at the conclusion of the agreement.

b) The CONSULTANT’s Task Order Manager will assign one team member, likely a Cost Estimator, to attend design status meetings as required. The team member will be expected to keep the team apprised of the design development progress and direction, and to consult with the DEPARTMENT with input on the design direction.

c) The kickoff/field review meeting will be attended by the CONSULTANT’s

Task Order Manager, a Cost Estimator, and a Scheduler. In preparation for the kickoff meeting/field review, the CONSULTANT will review existing plans and information on the CMGC project provided by the DEPARTMENT for familiarity only. No deliverables will be expected.

d) CONSULTANT will attend the Partnering Workshop. The full day Partnering

Meeting will be facilitated by others (CMGC Consultant) and will be attended by the Consultant Task Order Manager, a Consultant Cost Estimator, and a Scheduler.

e) CONSULTANT will attend Initial Approach to Cost Meeting and will work with the DEPARTMENT and CMGC Construction Manager (CMGC-CM) to establish an agreeable approach to cost estimating, scheduling, and risk management. This will include but not limited to open book discussion of local labor rates, anticipated production rates, stage construction, local traffic control issues specific to the project, subcontracting approach, and cost risks. The CONSULTANT should familiarize themselves with each of these topics prior to the meeting. The Initial Approach to Cost Meeting will be attended by the Task Order Manager, a Cost Estimator, and a Scheduler. The purpose of this meeting will be to establish like assumptions for construction means and methods as well as to establish the plan to communicate changes in scope, quantity, risk and phasing between the CMGC-CM, DEPARTMENT and CONSULTANT estimating/scheduling team to ensure a consistent estimation foundation for all three parties (DEPARTMENT, ICE CONSULTANT, and

CMGC-CM).

Following the general discussion of open book estimating, the team will define the work to be included in each bid item included in the preliminary list of bid items provided by the Department’s designer for this meeting.

Deliverable: Summary log of each bid item and what is included in the item for pricing and payment and any updates to the open book estimating guidelines agreed to by the team.

f) Prior to Risk Workshops, CONSULTANT will help the DEPARTMENT define and refine project scheduling controls.

CONSULTANT will actively participate in all Risk/Schedule Workshops.

During the Risk Workshop, the CONSULTANT will support the DEPARTMENT in identifying and quantifying the risks and magnitude of these risks associated with the project. These should be agreed upon with the CMGC- CM and mitigation strategies should be developed and agreed upon by the team to manage these risks moving forward. This workshop will be attended by the CONSULTANT Contract Manager, a Cost Estimator, and a Scheduler.

g) CONSULTANT will perform a general review of the 95% and 100% PS&E documents to obtain an understanding of the project scope for the purposes of developing the cost estimates and schedule. CONSULTANT will actively participate in 95% and 100% Design Review Meetings. This meeting will be attended by the Task Order Manager, a Cost Estimator and Scheduler. The CMGC-CM will submit an updated construction schedule based on the 95% and 100% design documents for use by both CMGC-CM and CONSULTANT team in preparing Opinion of Probable Cost of Construction (OPCC).

h) Prior to the preparing an estimate, the CONSULTANT will prepare the construction performance schedule. The schedule will identify project phasing and construction scenarios to optimally work with the constraints previously identified. The schedule will include procurement of long lead items and subcontractor procurement time frames. Schedule will be formatted to follow the cost estimate for ease of analysis.

The CONSULTANT, the DEPARTMENT and the CMGC-CM will prepare independent construction cost estimates based on the 95% and 100% design milestones provided by the DEPARTMENT. The construction cost estimate shall reflect and be consistent with the agreed upon methods and measurements of payment anticipated for each bid item. Costs associated with risks should be excluded from these cost estimates. Indirect costs will be scoped, quantified, and priced discreetly. Home office overhead and profit will be identified.

Agreement will be reached regarding allocation of indirect costs, overhead and profit into direct costs to arrive at a total unit price for each pay item.

Mobilization and demobilization pay items will be based on identified scope, quantities, and pricing. The CONSULTANT in consultation with the CMGC- CM shall provide a narrative report documenting the Basis of Estimate for the construction cost estimate including:

Summary of markups

• Escalation

• Overhead

• Profit

• Contingency

• Assumptions and clarifications

• Allowances

• Exclusions

All estimates will be submitted to the DEPARTMENT via an Excel format spreadsheet with bid item descriptions, quantities and units and will be developed utilizing production-based cost model. The Department will confidentially review this bid tab and identify items not in agreement between the CMGC-CM, CONSULTANT and DEPARTMENT estimates. The DEPARTMENT will also identify items not in agreement between the CMGC- CM and CONSULTANT construction schedules.

i) The CONSULTANT will be required to attend OPCC review meetings as necessary to discuss assumptions and allocations associated with unit prices and schedule logic not in agreement. The differences identified will be discussed at the OPCC meetings. OPCC will be attended by the Task Order Manager, a Cost Estimator, and a Scheduler.

At the end of the OPCC reconciliation period, the CONSULTANT will update the bid item basis log and submit a revised estimate to reflect the agreed upon changes. Also, the changes from one milestone estimate to each subsequent milestone estimate should be documented as well as for each revised estimate.

Deliverables: Construction performance schedule, Narrative report documenting the Basis of Estimate, Narrative report documenting changes made on milestone estimates and revisions.

j) CONSULTANT will submit a cost estimate to the DEPARTMENT. The

CONSULTANT shall submit the independent cost estimate in accordance with the requirements delineated herein, utilizing the same production-based cost model as was used in development of the previous estimates along with a narrative report documenting critical assumptions, agreements and/or decisions of costing that may impact the fluctuations in pricing adherence (on an open-book basis) for a construction contract.

k) CONSULTANT will actively participate in the Price Agreement Meeting. This meeting will be attended by the Task Order Manager and the Cost Estimator.

CONSULTANT will work with the DEPARTMENT to evaluate the Proposed

Price provided by CMGC-CM. Details of the Proposed Price will be compared to the independent cost estimate. Differences will be identified and discussed.

Deliverables: Narrative report documenting critical assumptions, agreements and/or decisions of costing that may impact the fluctuations in pricing adherence

l) If another Price Agreement Meeting is necessary, CONSULTANT will attend and actively participate in meeting. This meeting will be attended by the Task Order Manager, and a Cost Estimator and a Scheduler. CONSULTANT will work with the DEPARTMENT to further evaluate the Proposed Price by the CMGC-CM. Department will discuss the Construction Proposed Price bid with ICE Consultant for assurance and concurrence. Upon opening the Construction Proposed Price bid, the Department will determine the acceptability of the Construction Proposed Price bid, in its sole discretion. In assessing the Construction Proposed Price bid, the Department may compare the Construction Proposed Price bid to some or all of the following: state averages, similar projects, the independent cost estimate, and the engineer’s estimate and use such other information that the Department determines relevant and useful.

The Department is under no obligation to accept the Construction Proposed Price, even if it compares favorably to the foregoing data, averages, and estimates.

Deliverables: Narrative report documenting critical assumptions, agreements and/or decisions of costing that may impact the fluctuations in pricing adherence

m) CONSULTANT will participate in Value Analysis studies as required by

DEPARTMENT.

H. Standards

1. All work shall be performed in accordance with the current California Department of Transportation (Caltrans) Manuals, Project Management Handbook and Project Management Directives.

http://www.dot.ca.gov/hq/projmgmt/documents/pmhb_5thed.pdf and https://dot.ca.gov/programs/project-delivery/directives.

Work not covered by Caltrans's published standards shall be performed in accordance with the generally accepted principles of project management, as described in the current guide "A Guide to the Project Management Body of Knowledge" published by the Project Management Institute (www.pmi.org).

2. Caltrans’ Contract Manager shall decide all questions which may arise as to the quality or acceptability of deliverables furnished and work performed by…