RFQ_Notice_07A6502.pdf

August 20, 2026 RFQ Number 07A6502

STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION

REQUEST FOR QUALIFICATIONS NOTICE

NUMBER 07A6502

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 On-Call Roadway 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 $10,400,000.00 - $16,900,000.00.

C. The estimated contract term is 3 years.

D. Interviews will be held in person on October 7,2026 at 100 S Main St., Room C

Los Angeles 90012 Confirmation letters will be sent to those firms short-listed.

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

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 17, 2026. The fee for profit shall be (10%) ten percent, and the escalation shall be as follows:

Year Period Escalation 0 09/22/2026 - 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 30, 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.

J. 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.

K. 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.

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

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

N. 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

O. 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 09/22/2026. 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

Revised 02/26/2026

SCOPE OF WORK/DELIVERABLES

ROADWAY CONSTRUCTION SERVICES

For Caltrans, Division of Construction, District 7 On-Call Contract

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

1. Roadway Construction Services

2. Specific Roadway Construction Services

3. Proposed Caltrans Projects

4. Partnering

5. Change Order and Extra Work Services

6. Workplan Standards Guide Codes

7. Quality Control Plan

C. GENERAL REQUIREMENTS – PERSONNEL

1. Independent Contractor Status

2. Consultant Work Hours and Availability

3. Assigned Personnel on Task Orders

4. Personnel Substitutions or Additions

5. Stable Workforce

6. Safety

7. Other Personnel Requirements

D. INCIDENTAL SERVICES

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

2. Training Services

E. CONSULTANT PERSONNEL REQUIREMENTS

1. Consultant Contract Manager

2. Consultant Task Order Manager .......................... Error! Bookmark not defined.

3. Consultant Responsible Person

4. Specific Personnel Requirements – Attachments (A-H)

F. COORDINATION

G. GENERAL REQUIREMENTS – DELIVERABLES AND DATA

1. Deliverables

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 – CONSTRUCTION SERVICE EQUIPMENT

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

7. Middle Mile Broadband Network (“MMBN”) Design Details

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. Conflict of Interest Examples

M. SPECIFIC ROADWAY CONSTRUCTION SERVICES ATTACHMENTS

SCOPE OF WORK/DELIVERABLES

ROADWAY CONSTRUCTION SERVICES

For Caltrans, Division of Construction, District 7

On-Call Contract

A. GENERAL PROJECT DESCRIPTION AND OVERVIEW OF SERVICES

1. Purpose of Work

a) The Consultant shall perform professional and technical services required for

Roadway Construction Services, on an on-call “as-needed” basis to support Caltrans, Division of Construction, District 7, in the construction phase of proposed Caltrans transportation facilities. The following services are being requested in this Roadway Construction Services On-Call Contract (“Contract”):

A – Roadway Construction Inspection and Office Engineering B – (Omitted from this contract) C – Landscape Architectural Construction Inspection D – Construction Claims Support E – Construction Scheduling / Critical Path Method (“CPM”) F – (Omitted from this contract) G – (Omitted from this contract) H – Roadway Construction Management – Consultant Resident Engineer

b) The Consultant shall review and become familiar with project plans and specifications governing the contracts and materials that have been prepared for Caltrans transportation facility construction project(s) (“Construction Project(s)”). The Consultant shall also review the Caltrans Standard Special Provisions and complementary reports developed from prior planning studies.

The Consultant shall maximize the use of existing information available to conduct roadway construction management services in accordance with the California Department of Transportation (“Caltrans” or “Department”) policies, procedures, and requirements in compliance with California (“State”) and Federal laws and regulations.

c) The Consultant will conduct the appropriate level of engineering and environmental analyses, and prepare appropriate inspections, sampling, testing, and documentation of the prime construction contractor’s (“Prime Construction Contractor”) compliance with contract requirements on Construction Projects. The preceding shall be used as justifications to Caltrans in making timely and accurate construction contract payments to the Prime Construction Contractor.

d) Role of Caltrans Responsible Charge Construction Engineer (“CRCCE”) Under Federal-aid regulations and State policy, the primary responsibility for general supervision of construction on Construction Projects must remain with the Caltrans Responsible Charge Construction Engineer (“CRCCE”), who shall be a full-time Caltrans Senior Transportation Engineer. The CRCCE must be a registered civil engineer, must be knowledgeable of the Construction Project(s)’ progress, and assure that the work is performed in accordance with the Department-approved Construction Project plans and specifications. The CRCCE will review and assure that all Construction Project files are available and stored in Falcon Document Management System (“DMS”) with any and all Construction Project documentation and backup records (over-time, progress payments, Construction Project records, field reviews, Disadvantaged Business Enterprise / Disabled Veteran Business Enterprise [“DBE / DVBE”], extra work, and other work products that require CRCCE approvals) as required by the Construction Project.

e) Term Resident Engineer In this Contract the term “Resident Engineer” is used to represent both Consultant Resident Engineers and Caltrans Resident Engineers, unless otherwise specifically stated.

2. Explanation of Work The Caltrans contract manager assigned to this Contract (“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 Contract (“Task Order(s)”). The Consultant shall only perform work that is assigned in an authorized Task Order. This Contract does not guarantee that a Task Order shall be issued.

3. Exclusion of Work

a) The following activities will be performed by others and are excluded from this

Contract. The Consultant must include the excluded activities in the project schedule to be submitted to the Department for approval. The Consultant further agrees to provide the necessary information in a timely manner to facilitate the successful completion of the excluded tasks listed below:

i. All Structure Construction Services associated but not limited to, bridges and buildings, are specifically excluded from the scope of this Contract.

ii. Professional and technical engineering services required for Roadway Design and related Project Development Services, including constructability reviews and preconstruction services.

iii. The following specific services are performed by others:

B – Electrical Construction Inspection

F – Construction Materials Sampling and Testing G – Construction Stormwater Implementation

a) See Attachment H – Roadway Construction Management – Consultant Resident Engineer for additional exclusions of work for the Consultant Resident Engineer.

4. Location of Work The work shall be performed on Construction Projects to improve the State transportation system throughout the north portion of Los Angeles County in California within the limits of District 7. The specific location within the above-described geographical limits of the work to be performed within this geographic area shall be identified in each Task Order. It may become necessary for Construction Projects to extend into another adjoining District 7/County line. In such instances, the Construction Project work shall not extend more than a thirty (30)-mile radius from the geographic boundary. In the event that a Construction Project extends across the geographical limits of more than one active Architectural and Engineering consultant contract for the same scope of work services (A&E Work) as those in this Agreement, the A&E Work will be assigned to the Architectural and Engineering consultant contract whose geographic limits cover the most lane miles of the Construction Project.

The boundary of this contract is the northern portion of Los Angeles County within county lines, and work pursuant to this Contract may include the following sections of the following routes:

North Boundary Limits

Route From Begin PM To End PM

5 Route 110 36.35 Kern County Line 88.6

14 Route 5 R24.80 Kern County Line R77

18 Begin 0.00 County Line 4.5

110 Route 5 25.75 End 31.9

118 Ventura County Line 0.00 Route 210 15.6

126 Ventura County Line 0.00 Route 5 6

138 Route 5 0.00 San Bernardino County Line 74.9

170 Route 101 R14.50 Route 5 R20.50

210 Rosemead Blvd. 29.4 San Bernardino County Line 52.15

405 Route 101 39.50 End 48.6

After contract 07A6016 expires (expected on August 31, 2028), the boundary for the following routes will be revised to the following:

210 Route 5 0 Sunland Blvd. 11.1

The approximate boundaries of the location of work are shown on the map below.

B. REQUIRED SERVICES

1. Roadway Construction Services

a) A wide range of tasks associated with Roadway Construction Services should be expected. The Consultant shall perform and have the expertise, capability, and equipment necessary to perform the scope of work for this Contract (“Scope of Work”).

b) The potential Construction Projects may vary in scope and size and may encompass any type of improvement for the State transportation system including, but not limited to, roadway rehabilitation, widening and/or realignment of existing facilities, relocation of existing facilities, and construction of new facilities. The specific details on Construction Project location, Construction Project limits, purpose, expected results, Construction Project deliverables, period of performance, Construction Project schedule, and services to be performed shall be described in each Task Order.

c) Pursuant to an authorized Task Order, the Consultant shall provide Roadway Construction Services within the geographical jurisdiction of this 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 assure 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 twenty-four (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 designee.

e) The Consultant Contract Manager, Consultant Task Order Manager, and 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.

f) The Caltrans Contract Manager may advise the Consultant’s Contract Manager of the perceived need to have the Consultant’s employees work overtime to meet changing Caltrans needs, 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 only to persons covered by the Fair Labor Standards Act and as per Caltrans’ Division of Procurement and Contracts (“DPAC”) Interpretive Guidance on premium overtime reimbursement.

2. Specific Roadway Construction Services The specific Roadway Construction Services shall be described in the attachment templates chosen to create the scope of work for this Contract (“Scope of Work” or “SOW”). The attachment template(s) that were used along with this base template to create the Scope of Work as follows:

A – Roadway Construction Inspection and Office Engineering B – (Omitted from this contract) C – Landscape Architectural Construction Inspection D – Construction Claims Support E – Construction Scheduling / Critical Path Method (“CPM”) F – (Omitted from this contract) G – (Omitted from this contract) H – Roadway Construction Management – Consultant Resident Engineer

3. Proposed Caltrans Projects

a) Provided in Attachment 1A is a list of proposed Caltrans Construction Projects in District 7. This list is not exclusive, however, and it does not constitute a commitment that the Construction Projects will be initiated or completed, or work assigned to the Consultant. Caltrans reserves the right to add or delete from this list of Construction Projects that are within the geographical jurisdiction of this Contract set forth in “Location of Work” Section.

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

c) Should a project-specific contract be procured under these provisions, Caltrans and the Consultant (“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 the project-specific contract. Such partial termination for convenience shall be processed by amendment to this Contract. Unless otherwise required by law, regulation, or Caltrans policy or procedure, the Consultant may compete for these project-specific contracts.

d) At the sole discretion of Caltrans, the Consultant may be required to provide the required services for Construction Projects contained herein, on safety projects, emergency projects, emergency storm damage projects, except for those specially excluded above, within the geographical jurisdiction of this Contract set forth in “Location of Work” Section.

4. Partnering The Consultant shall partner with all parties and stakeholders to establish and maintain cooperative communication channels and mutually resolve conflicts at the lowest responsible level. The Consultant shall become familiar with and follow Section 5-1.09, “Partnering,” of Caltrans’ Standard Specifications and the Caltrans publication “Field Guide to Partnering on Caltrans Construction Projects.” This publication is available at the partnering website:

https://dot.ca.gov/programs/construction/partnering

5. Change Order and Extra Work Services

a) Standard Specifications, Section 4-1.05 “Changes and Extra Work” and

Section 3-403, “Changes and Extra Work,” of the Caltrans Construction Manual establish Caltrans’ authority to make changes to a Construction Project contract. The Consultant will utilize Form Construction Engineering Management (“CEM”) 4900, “Change Order,” to assist the Resident Engineer in memorializing a change order that will be the legally binding document used to enable changes to a Construction Project contract.

b) The Construction Project plans, specifications, and other bid documents define the scope of a Construction Project contract and describe the details for the Construction Project construction and completion of the whole work contemplated. If any change must be made, the Resident Engineer shall formalize and prepare to execute said change order as per Section 5-302, “Change Order Policy” of the Caltrans Construction Manual.

c) Consultant personnel shall review and become familiar with Caltrans’ Change Order process to address all work not in compliance with Construction Project plans, specifications, and other bid documents that define the scope of a Construction Project contract and describe the details for the construction and completion of the whole work contemplated.

d) A Change Order is a legally binding document used to make changes to a Construction Project contract. Resident Engineer shall utilize Form CEM-4900, “Change Order,” and Form CEM-4903, “Change Order Memorandum,” furthermore must be prepared for each Change Order. To process a Change Order for incorporating the new work into an existing construction contract, the appropriate Division of Construction field coordinator may make the final determination and final request order approval shall be the responsibility of the Caltrans Resident Engineer or the CRCCE, whichever is applicable.

https://dot.ca.gov/programs/construction/partnering

e) The Resident Engineer may determine the need for and, as such, initiate a Change Order to change any part of an original Construction Project contract and will impact various Construction Project contract elements and provisions, including the method of compensation, permit requirements, equipment use, and the effects on schedule time. However, other stakeholders, the contractor, other Caltrans units, outside agencies, or individuals may also request changes.

f) The Resident Engineer may consult the Caltrans District construction personnel to consider if the proposed change or extra work is within the scope of the original Construction Project contract.

g) The Prime Construction Contractor normally chooses the method of performing extra work, however approval for labor, equipment, and materials for force account work is subject to the Caltrans Resident Engineer or the CRCCE, whichever is applicable,.

h) To process a Change Order, the Consultant shall assure that all elements are clear, concise, and explicit. When appropriate, it must include the following:

i. Clearly describe added work or other changes to the Construction Project contract. Include appropriate references to special provisions, contract plans, Standard Plans, or Standard Specifications.

ii. Location and limits of proposed work

iii. References to specifications and any applicable specification changes

iv. The proposed Change Order’s effect on time of completion

v. Method and amount of compensation

i) If any extra work is desired or performed, that is not included in the original Construction Project contract, the Consultant shall memorialize said extra work as per Section 3-9, “Payment,” and Section 3-5, “Control of Work,” of the Caltrans Construction Manual for the Caltrans Resident Engineer or CRCCE, whichever is applicable, review and approval.

j) The Resident Engineer shall use the Form CEM-4903, “Change Order Memorandum,” with all necessary attachments. The memorandum must be sufficiently documented with any necessary attachments, complete to enable a person unfamiliar with the details of the Construction Project to review the Change Order, understand the justification for the work, the reasonableness of the compensation, and the time adjustment provisions. Do not disclose the memorandum to the Prime Construction Contractor or its subcontractors of the Construction Project without written permission from Caltrans. The memorandum is intended for Caltrans interdepartmental use only and NOT to be shared with the Prime Construction Contractor or its subcontractors without written permission from Caltrans.

6. Workplan Standards Guide Codes

a) Task Orders are based on the Caltrans Workplan Standards Guide (“WSG”).

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

b) 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 this Contract. Refer to the attachment template(s) used with this base template for the WBS activities applicable to this Contract.

7. Quality Control Plan

a) Prior to commencing work, the Consultant shall prepare the quality control plan and the minimum standard of work quality and obtain approval from the Caltrans Contract Manager, in effect for each and every Task Order during the entire time work is being performed under the Contract. 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’s quality control plan shall establish a process whereby:

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

ii. Calculations and plans 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. Field 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 the quality control program 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 (“QA/QC”) plan is functioning.

d) All analytical results, plans, designs, specifications, estimates, notes, calculations, analysis, reports, graphics, drawings, visual simulations, studies, product, data, manuals, details, deliverables, backup documents, other 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 documents, and other items required by this Contract 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) 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 NTP, the Consultant shall submit to the Caltrans Contract Manager or Caltrans designee a job specific QC/QA plan and staffing plan.

f) The Consultant Contract Manager shall address all questions which may arise as to the quality or acceptability of deliverables furnished and work performed for this Contract.

C. General Requirements – Personnel

1. Independent Contractor Status

a) The Consultant is an independent contractor, and nothing contained in the

Contract shall be construed as constituting any relationship with Caltrans other than that of Construction Project owner, Caltrans, and independent contractor, the Consultant. In no event shall the relationship between Caltrans and the Consultant be construed as creating any relationship whatsoever between Caltrans and any of Consultant’s employees. Neither the Consultant nor any of its employees is or shall be deemed to be an employee of Caltrans. Except as otherwise specified in the Contract, the Consultant has sole authority and responsibility to employ, discharge and otherwise control its employees and has complete and sole responsibility as a principal for its agents, for all subconsultants, and for all other persons that the Consultant or any subconsultant hires or engages to perform or assist in performing the Scope of Work.

b) The 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. The Consultant shall employ and discharge its own employees and subconsultants.

iii. Unless approved in writing by Caltrans Contract Manager, the Consultant shall not hire employees or subconsultants to work on Caltrans matters exclusively and only. The 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.

iv. The work performed by the Consultant, its employees, and its subconsultants shall be a regular part of the Consultant’s regular and established business.

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

vi. The Consultant shall provide its own tools, equipment, and supplies, and the Consultant shall not rely on Caltrans to provide such tools, equipment, and supplies. Notwithstanding the foregoing, Caltrans may, during the term of the Contract, allow the 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.

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

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

2. Consultant Work Hours and Availability

a) The typical workday includes all hours worked by the Caltrans Prime

Construction Contractor on the Construction Project contract as identified in the Task Order and also as directed by the Caltrans Contract Manager.

b) Unless otherwise specified in a Task Order, or predicated by Prime Construction Contractor’s operations, 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. The Consultant Contract Manager shall be responsible for providing Consultant personnel who can satisfy the requirements set forth in this Contract.

c) 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 Construction Projects involving high traffic demand areas. The Prime Construction Contractor’s operations may be restricted to specific hours during the week, which shall become the normal workday for Consultant personnel. Any shift differential rate pay for prevailing wage tasks shall be reimbursed in accordance with the applicable Department of Industrial Relations (“DIR”) determination.

d) On days when work is not performed by the Prime Construction Contractor or its subcontractors, such as rainy or unsuitable weather days, the Consultant’s services shall not be provided unless authorized by the Caltrans Contract Manager in coordination with the Caltrans staff.

e) The Caltrans Contract Manager in coordination with the Caltrans staff shall provide advance notice of eight (8) hours if the Consultant’s services are not required as a result of a cessation of construction activities or if reassignment of personnel is required.

f) If Caltrans fails to provide the required advance notice and the Consultant personnel are not required as a result of cessation of construction activities, Caltrans shall provide a maximum of four (4) hours compensation at the Non- Prevailing Wage loaded billing rate in the Cost Proposal – Attachment 2.

g) It is anticipated that variations in the Construction Project contract activities will occur. During the Contract period, the Caltrans Contract Manager or designee may ask the Consultant Contract Manager to reassign Consultant employees from a Construction Project or an office with low activity to assist on another Construction Project or office with high activity. The Consultant Contract Manager will be notified at least two (2) working days prior to this reassignment.

h) 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 District Construction Staff

iii. Caltrans Resident Engineer or the CRCCE as applicable

iv. Caltrans’ Prime Construction Contractor(s) and its subcontractor(s) and vendors

v. Other State and/or local agencies

i) The Consultant shall obtain approval from the Caltrans Resident Engineer or the CRCCE prior to entering any Caltrans’ Construction Project site.

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

3. Assigned Personnel on Task Orders

a) In responding to a 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.

b) The Consultant’s personnel shall be assigned to and remain on specific Caltrans Construction Projects/deliverables until completion and acceptance of the Construction 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.

c) 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.

d) Resumes containing the qualifications and experience of the Consultant’s and Consultant’s subconsultant’s (“Subconsultant”) 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.

e) 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.

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 deliverables satisfy the acceptance tests and criteria.

The Caltrans Contract Manager may reject any Consultant personnel who are determined by the Caltrans Contract Manager to lack the minimum qualifications. If at any time the level of performance is below expectations, the Caltrans Contract Manager may direct the Consultant to immediately remove Consultant personnel from the project specified in a Task Order and request that the Consultant provide another qualified person be assigned as needed.

The Consultant personnel shall meet the qualifications required by 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.

g) 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 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.

4. Personnel Substitutions or Additions

a) In this Contract is a list of proposed personnel classifications for which services are anticipated to be needed by Caltrans during the term of this Contract and as depicted on the proposed Consultant’s Organization Chart and the Consultant’s cost proposal – Attachment 2 with specific rates of compensation.

Caltrans reserves the right to add and/or delete personnel classifications from this list.

b) Pursuant to Exhibit D – “Special Terms and Conditions,” Section 1 – “Amendment (Change in Terms),” the Consultant is required to submit a written Personnel Request form with justifications 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 – Attachment 2. Additions of personnel are only permitted from the original firms proposed in the Consultant’s Organization Chart or in the Consultant’s cost proposal – Attachment 2, or as approved by the Caltrans Contract Manager.

c) The Consultant personnel substitutions or additions shall have the same job classification, as set forth herein or in the Consultant’s Cost Proposal – Attachment 2, and meet or exceed the qualifications and experience level of the previously assigned personnel, at no additional cost to Caltrans and shall not exceed the billing rate.