HNTB Corporation 1 Version 12-01-21
SERVICE PROVIDER AGREEMENT
Thi
s SERVICE PROVIDER AGREEMENT (“Agreement”) is entered into this ___ day of _________, 2022 (“Effective Date”), by and between the CITY OF ALAMEDA, a municipal corporation (“the City”), and HNTB Corporation, a Delaware corporation, whose address is 1111 Broadway, 9 th Fl., Oakland, CA 94607 (“ Provider”), in reference to the following facts and circumstances:
RECITALS
A. The City is a municipal corporation duly organized and validly existing under the laws of the State of California with the power to carry on its business as it is now being conducted under the statutes of the State of California and the Charter of the City.
B. The City is in need of the following services: professional engineering services for the development of a Project Initiation Document (PID) for the Oakland-Alameda Bicycle/Pedestrian Bridge project. City staff issued an RFP on March 10, 2022 and after a submittal period of 34 days received five timely submitted proposals. Staff reviewed the proposals, interviewed qualified firms and selected the service provider that best meets the City’s needs.
C. Provider is specially trained, experienced and competent to perform the special services which will be required by this Agreement.
D. The City and Provider desire to enter into an agreement for professional engineering services for the development of a PID for the Oakland-Alameda Bicycle/Pedestrian Bridge project, upon the terms and conditions herein.
AGREEMENT
NOW
, THEREFORE, in consideration of the forgoing, which are incorporated herein by reference, and for good and valuable consideration, the receipt and adequacy of which are hereby acknowledged, the City and Provider agree as follows:
1. TERM:
The term of this Agreement shall commence on the ____ day of _______ 2022, and shall terminate on the 30th day of June 2024, unless terminated earlier as set forth herein.
The parties may agree to extend the term of this Agreement on a year-by-year basis, for up to three (3) additional years. Any extension shall be documented in a signed amendment. In the event that the parties agree to extend the Agreement, all provisions of the Agreement shall remain unchanged.
2. SERVICES TO BE PERFORMED:
Provider agrees to do all necessary work at its own cost and expense, to furnish all labor, tools, equipment, materials, except as otherwise specified, and to do all necessary work included HNTB Corporation 2 Version 12-01-21
in Exhibit A as requested. Provider acknowledges that the work plan included in Exhibit A is tentative and does not commit the City to request Provider to perform all tasks included therein.
3. COMPENSATION TO PROVIDER:
a. By the 14th day of each month, Provider shall submit to the City an invoice for the total amount of work done the previous month. Pricing and accounting of charges are to be according to the fee schedule as set forth in Exhibit B and incorporated herein by this reference .
Extra work must be approved in writing by the City Manager or their designee prior to performance and shall be paid on a Time and Material basis as set forth in Exhibit B. b. The total five year compensation for this Agreement shall not exceed $1,350,000.
Use of contingency shall be for items of work outside the original scope and requires prior written authorization by the City.
4. TIME IS OF THE ESSENCE:
Provider and the City agree that time is of the essence regarding the performance of this Agreement.
5. STANDARD OF CARE:
Provider agrees to perform all services hereunder in a manner commensurate with the prevailing standards of like professionals or service providers, as applicable, in the San Francisco Bay Area and agrees that all services shall be performed by qualified and experienced personnel who are not employed by the City.
6. INDEPENDENT PARTIES:
Provider hereby declares that Provider is engaged as an independent business and Provider agrees to perform the services as an independent contractor. The manner and means of conducting the services and tasks are under the control of Provider except to the extent they are limited by statute, rule or regulation and the express terms of this Agreement. No civil service status or other right of employment will be acquired by virtue of Provider ’s services. None of the benefits provided by the City to its employees, including but not limited to unemployment insurance, workers’ compensation plans, vacation and sick leave, are available from the City to Provider, its employees or agents. Deductions shall not be made for any state or federal taxes, FICA payments, PERS payments, or other purposes normally associated with an employer -employee relationship from any compensation due to Provider. Payments of the above items, if required, are the responsibility of Provider.
7. IMMIGRATION REFORM AND CONTROL ACT (IRCA):
Provider assumes any and all responsibility for verifying the identity and employment authorization of all of its employees performing work hereunder, pursuant to all applicable IRCA or other federal, or state rules and regulations. Provider shall indemnify, defend, and hold the City harmless from and against any loss, damage, liability, costs or expenses arising from any noncompliance of this provision by Provider.
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8. NON-DISCRIMINATION:
Consistent with the City’s policy and state and federal law that harass ment and discrimination are unacceptable conduct, Provider and its employees, contractors, and agents shall not harass or discriminate against any job applicant, City employee, or any other person on the basis of any kind of any statutorily (federal, state or local) protected class, including but not limited to: race, religious creed, color, national origin, ancestry, disability (both mental and physical) including HIV and AIDS, medical condition (e.g. cancer), genetic information, marital status, sex, gender, gender identity, gender expression, age, sexual orientation, pregnancy, political affiliation, military and veteran status or legitimate union activities. Provider agrees that any violation of this provision shall constitute a material breach of this Agreement.
9. HOLD HARMLESS:
a. To the fullest extent permitted by law, Provider shall indemnify, defend (with counsel acceptable to the City) and hold harmless the City, its City Council, boards, commissions, officials, employees, agents and volunteers (“Indemnitees”) from and against any and all loss, damages, liability, obligations, claims, suits, judgments, costs and expenses whatsoever, including reasonable attorney’s fees and costs of litigation (“Claims”), to the extent caused by Provider’s negligent performance of its obligations under this Agreement or out of the operations conducted by Provider. Provider shall not have any obligations to indemnify Indemnitees if the loss or damage is found to have resulted from the negligence or the willful misconduct of the City. The defense and indemnification obligations of this Agreement are undertaken in addition to, and shall not in any way be limited by, the insurance obligations contained in this Agreement. b. As to Claims for professional liability only, Provider’s obligation to defend Indemnitees (as set forth above) is limited as provided in California Civil Code Section 2782.8. c. Provider’s obligation to indemnify, defend and hold harmless Indemnities shall expressly survive the expiration or early termination of this Agreement. d. Should the Provider be required to provide legal defense costs pursuant to the requirements set forth in this Section, any such reasonable legal defense cost shall be accrued to the Provider in a prorated proportion in accordance with the Pro vider’s percentage of fault as determined by any applicable trier -of-fact or as agreed to and incorporated into any settlement agreements.
10. INSURANCE:
a. On or before the commencement of the terms of this Agreement, Provider shall furnish the City’s Risk Manager with certificates showing the type, amount, class of operations covered, effective dates and dates of expiration of insurance coverage in compliance with Sections
10.b. (1) through (4) Such certificates, which do not limit Provider ’s indemnification, shall also contain substantially the following statement:
“Should any of the above insurance covered by this certificate be canceled or coverage reduced before the expiration date thereof, the insurer affording coverage shall provide thirty (30) days’ advance written notice to the City of Alameda. Attention: Risk Manager.” HNTB Corporation 4 Version 12-01-21
Provider shall maintain in force at all times during the performance of this Agreement all appropriate coverage of insurance required by this Agreement with an insurance company licensed to offer insurance business in the State of California with a current A.M. Best’s rating of no less than A:VII or Standard & Poor’s Rating (if rated) of at least BBB unless otherwise acceptable to the City. Provider shall deliver updated insurance certificates to the City at the address described in Section 17.f. prior to the expiration of the existing insurance certificate for the duration of the term of Agreement. Endorsements naming the City, its City Council, boards, commissions, officials, employees, agents, and volunteers as additional insured shall be submitted with the insurance certificates.
_____________
Provider Initials
b. COVERAGE REQUIREMENTS:
Provider shall maintain insurance coverage and limits at least as broad as:
(1) Workers’ Compensation:
Statutory coverage as required by the State of California. (2) Liability:
Commercial general liability coverage in the following minimum limits:
Bodily Injury: $1,000,000 each occurrence
$2,000,000 aggregate - all other
Property Damage: $1,000,000 each occurrence
$2,000,000 aggregate
If submitted, combined single limit policy with per occurrence limits in the amounts of $2,000,000 and aggregate limits in the amounts of $4 ,000,000 will be considered equivalent to the required minimum limits shown above . Additional Insured Endorsement naming the City, its City Council, boards, commissions, officials, employees, agents, and volunteers is required. (3) Automotive:
Comprehensive automobile liability coverage (any auto) in the following minimum limits:
Bodily injury: $1,000,000 each occurrence
Property Damage: $1,000,000 each occurrence
or
Combined Single Limit: $2,000,000 each occurrence
Additional Insured Endorsement naming the City, its City Council, boards, commissions, officials, employees, agents, and volunteers is required.
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(4) Professional Liability:
Professional liability insurance which includes coverage appropriate for the professional negligent acts, errors and omissions of Provider’s profession and work hereunder as outlined in the scope of work, including, but not limited to, technology professional liability errors and omissions if the services being provided are technology-based, in the following minimum limits:
$2,000,000 each occurrence
Technology professional liability errors and omissions shall include, or be endorsed to include, property damage liability coverage for damage to, alteration of, loss of, or destruction of electronic data and/or information “property” of the City in the ca re, custody, or control of Provider. If not covered under Provider’s liability policy, such “property” coverage of the City may be endorsed onto Provider’s Cyber Liability Policy as covered property as follows: cyber l iability coverage in an amount sufficient to cover the full replacement value of damage to, alteration of, loss of, or destruction of electronic data and/or information “property” of the City that will be in the care, custody, or control of Provider.
As to commercial general liability and automobile liability insurance, such insurance will provide that it constitutes primary insurance with respect to claims insured by such policy, and, except with respect to limits, that insurance applies separately to each insured against whom claim is made or suit is brought. Such insurance is not additional to or contributing with any other insurance carried by or for the benefit of the City.
c. SUBROGATION WAIVER:
Provider hereby agrees to waive rights of subrogation that any insurer of Provider may acquire from Provider by virtue of the payment of any loss. Provider agrees to obtain any endorsement that may be necessary to affect this waiver of subrogation, but this provision applies regardless of whether the City has received a waiver of subrogation endorse ment from the insurer. The Workers’ Compensation policy shall be endorsed with a waiver of subrogation in favor of the City for all work performed by Provider, its employees, agents and subcontractors.
d. FAILURE TO SECURE:
If Provider at any time during the term hereof should fail to secure or maintain the foregoing insurance, the City shall be permitted to obtain such insurance in Provider’s name or as an agent of Provider and shall be compensated by Provider for the costs of the insurance premiums at the maximum rate permitted by law and computed from the date written notice is received that the premiums have not been paid.
e. ADDITIONAL INSUREDS:
The City, its City Council, boards, commissions, officials, employees , agents , and volunteers shall be named as additional insured(s) under all insurance coverages, except workers’ compensation and professional liability insurance. The naming of an additional insured shall not affect any recovery to which such additional insured would be entitled under thi s policy if not named as such additional insured. An additional insured named herein shall not be held liable for HNTB Corporation 6 Version 12-01-21
any premium, deductible portion of any loss, or expense of any nature on this policy or any extension thereof. Any other insurance held by a n additional insured shall not be required to contribute anything toward any loss or expense covered by the insurance provided by this policy.
Additional Insured covera ge under Provider’s policy shall be primary and non- contributory and will not seek cont ribution from the City’s insurance or self -insurance. Any available insurance proceeds broader than or in excess of the specified minimum insurance coverage requirements and/or limits shall be available to the additional insured(s).
E. SUFFICIENCY OF INSURANCE:
The insurance limits required by the City are not represented as being sufficient to protect Provider. Provider is advised to consult Provider ’s insurance broker to determine adequate coverage for Provider. The coverage and limits shall be (1) the minimum coverage and limits specified in this Agreement; or (2) the broader coverage and maximum limits of the coverage carried by or available to Provider; whichever is greater.
11. CONFLICT OF INTEREST:
Provider warrants that it is not a conflict of interest for Provider to perform the services required by this Agreement. Provider may be required to fill out a conflict of interest form if the services provided under this Agreement require Provider to make certain governmental decisions or serve in a staff capacity as defined in Title 2, Division 6, Section 18700 of the California Code of Regulations.
12. PROHIBITION AGAINST TRANSFERS:
a. Provider shall not assign, sublease, hypothecate, or transfer this Agreement, or any interest therein, directly or indirectly, by operation of law or otherwise, without prior written consent of the City Manager. Provider shall submit a written request for consent to transfer to the City Manager at least thirty (30) days in advance of the desired transfer. The City Manager or their designee may consent or reject such request in their sole and absolute discretion. Any attempt to do so without said consent shall be null and void, and any assignee, sublessee, hypothecate or transferee shall acquire no right or interest by reason of such attempted assignment, hypothecation or transfer. However, claims for money against the City under this Agreement may be assigned by Provider to a bank, trust company or other financial institution without prior written consent. b. The sale, assignment, transfer or other disposition of any of the issued and outstanding capital stock, membership interest, partnership interest, or the equivalent, which shall result in changing the control of Provider, shall be construed as an assignment of this Agreement.
Control means fifty percent or more of the voting power of Provider.
13. APPROVAL OF SUB-PROVIDERS:
a. Only those persons and/or businesses whose names and resumés are attached to this Agreement shall be used in the performance of this Agreement. However, if after the start of this Agreement, Provider wishes to use sub-providers, at no additional costs to the City, then Provider shall submit a written r equest for consent to add sub- providers including the names of the sub - HNTB Corporation 7 Version 12-01-21
providers and the reasons for the request to the City Manager at least five (5) days in advance. The City Manager may consent or reject such requests in their sole and absolute discretion. b. Each sub -provider shall be required to furnish proof of workers ’ compensation insurance and shall also be required to carry general, automobile and professional liability insurance (as applicable) in reasonable conformity to the insurance carried by Provider. c. In addition, any tasks or services performed by sub- providers shall be subject to each provision of this Agreement. Provider shall include the following language in their agreement with any sub-provider: “Sub-providers hired by Provider agree to be bound to Provider and the City in the same manner and to the same extent as Provider is bound to the City.” d. The requirements in this Section 13 shall not apply to persons who are merely providing materials, supplies, data or information that Provider then analyzes and incorporates into its work product.
14. PERMITS AND LICENSES:
Provider, at its sole expense, shall obtain and maintain during the term of this Agreement, all appropriate permits, certificates and licenses, including a City business license that may be required in connection with the performance of the services and tasks hereunder.
15. REPORTS:
a. Each and every report, draft, work product, map, record and other document produced, prepared or caused to be prepared by Provider pursuant to or in connection with this Agreement shall be the exclusive property of the City.
b. No report, information or other data given to or prepared or assembled by Provider pursuant to this Agreement shall be made available to any individual or organization by Provider without prior approval of the City Manager or their designee. c. Provider shall, at such time and in such form as City Manager or their designee may require, furnish reports concerning the status of services and tasks required under this Agreement.
16. RECORDS:
a. Provider shall maintain complete and accurate records with respect to the services, tasks, work, documents and data in sufficient detail to permit an evaluation of Provider’s performance under the Agreement , as well as maintain books and records related to sales, costs, expenses, receipts and other such information required by the City that relate to the performance of the services and tasks under this Agreement (collectively the “Records”). b. All Records shall be maintained in accordance with generally accepted accounting principles and shall be clearly identified and readily accessible. Provider shall provide free access to the Records to the representatives of the City or its designees during regular business hours upon reasonable prior notice. The City has the right to examine and audit the Records , and to make copies or transcripts therefrom as necessary, and to allow inspection of all proceedings and activities related to this Agreement. Such Records, together with supporting documents, shall be HNTB Corporation 8 Version 12-01-21
kept separate from other documents and records and shall be maintained by Provider for a period of three (3) years after receipt of final payment.
c. If supplemental examination or audit of the R ecords is necessary due to concerns raised by the City’s preliminary examination or audit of records, and the City ’s supplemental examination or audit of the records discloses a failure to adhere to appropriate internal financial controls, or other breach of this Agreement or failure to act in good faith, then Provider shall reimburse the City for all reasonable costs and expenses associated with the supplemental examination or audit.
17. NOTICES:
a. All notices shall be in writing and delivered: (i) by hand; or (ii) sent by registered, express, or certified mail, with return receipt requested or with delivery confirmation requested from the U.S. postal service; or (iii) sent by overnight or same day courier service at the party’s respective address listed in this Section.
b. Each notice shall be deemed to have been received on the earlier to occur of : (x) actual delivery or the date on which delive ry is refused ; or (y) three (3) days after notice is deposited in the U.S. mail or with a courier service in the manner described above (Sundays and City holidays excepted).
c. Either party may, at any time, change its notice address (other than to a post office box address) by giving the other party three (3) days prior written notice of the new address. d. All notices, demands, requests, or approvals from Provider to the City shall be addressed to the City at:
City of Alameda
Planning Building & Transportation
2263 Santa Clara Ave
Alameda, CA 94501
ATTENTION: Rochelle Wheeler, Senior Transportation Coordinator Ph: (510) 747-7442
e. All notices, demands, requests, or approvals from the City to Provider shall be addressed to Provider at:
HNTB
1111 Broadway, 9
th Floor
Oakland, CA 94607
ATTENTION: Rodney Pimentel, Senior Project Manager
Ph: 510-208-4599
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f. All updated insurance certificates from Provider to the City shall be addressed to the City at:
City of Alameda
Planning Building & Transportation
2263 Santa Clara Ave
Alameda, CA 94501
ATTENTION: Rochelle Wheeler, Senior Transportation Coordinator Ph: (510) 747-7442/ [email protected]
18. SAFETY:
a. Provider will be solely and completely responsible for conditions of all vehicles owned or operated by Provider , including the safety of all persons and property during performance of the services and tasks under this Agreement . This requirement will appl y continuously and not be limited to normal working hours. In addition, Provider will comply with all s afety provisions in conformance with U.S. Department of Labor Occupational Safety and Health Act, any equivalent state law, and all other applicable federal, state, county and local laws, ordinances, codes, and any regulations that may be detailed in other parts of the Agreement. Where any of these are in conflict, the more stringent requirement s will be followed. Provider’s failure to thoroughly familiarize itself with the aforementioned safety provisions will not relieve it from compliance with the obligations and penalties set forth herein. b. Provider will immediately notify the City within 24 hours of any incident of death, serious personal injury or substantial property damage that occurs in connection with the performance of this Agreement. Provider will promptly submit to the City a wr itten report of all incidents that occur in connection with this Agreement. This report must include the following information: (i) name and address of injured or deceased person(s); (ii) name and address of Provider’s employee(s) involved in the incident ; (iii) name and address of Provider’s liability insurance carrier; (iv) a detailed description of the incident; and (v) a police report.
19. TERMINATION:
a. In the event Provider fails or refuses to perform any of the provisions hereof at the time and in the manner required hereunder, Provider shall be deemed in default in the performance of this Agreement . If such default is not cured within two (2) business days after receipt by Provider from the City of written notice of default, specifying the nature of such default and the steps necessary to cure such default, the City may thereafter immediately terminate the Agreement forthwith by giving to Provider written notice thereof. b. The foregoing notwithstanding, the City shall have the option, at its sole discretion and without cause, of terminating this Agreement by giving seven (7) days’ prior written notice to Provider as provided herein.
c. Upon termination of this Agreement either for cause or for convenience, each party shall pay to the other party that portion of compensation specified in this Agreement that is earned HNTB Corporation 10 Version 12-01-21
and unpaid prior to the effective date of termination. The obligation of the parties under this Section 19.c. shall survive the expiration or early termination of this Agreement.
20. ATTORNEYS’ FEES:
In the event of the bringing of any action or suit by a party hereto against the other party by reason of any breach of any covenants, conditions, obligation or provision arising out of this Agreement, the prevailing party shall be entitled to recover from the non-prevailing party all of its costs and expenses of the action or suit, including reasonable attorney’s fees, experts’ fees, all court costs and other costs of action incurred by the prevailing party in connection with the prosecution or defense of such action and enforcing or establishing its rights hereunder (whether or not such action is prosecuted to a judgment). For the purposes of this Agreement, reasonable fees of attorneys of the Alameda City Attorney’s office shall be based on the fees regularly charged by private attorneys with the equivalent number of years of experience in the subject matter area of the law for which the services were rendered who practice in Alameda County in law firms with approximately the same number of attorneys as employed by the Alameda City Attorney’s Office.
21. HEALTH AND SAFETY REQUIREMENTS.
Provider acknowledges that the City shall have the right to impose , at the City’s sole discretion, requirements that it deems are necessary to protect the health and safety of the City employees, residents, and visitors. Provider agrees to comply with all such requirements, including, but not limited to, mandatory vaccinations, the use of personal protective equipment (e.g. masks), physical distancing, and health screenings. Provider also agrees to make available to the City, at the City’s request, records to demonstrate Provider’s compliance with this Section. [See Certification of Compliance attached.]
22. COMPLIANCE WITH ALL APPLICABLE LAWS:
During the term of this Agreement, Provider shall keep fully informed of all existing and future state and federal laws and all municipal ordinances and regulations of the City of Alameda which affect the manner in which the services or tasks are to be performed by Provider, as well as all such orders and decrees of bodies or tribunals having any jurisdiction or authority over the same. Provider shall comply with all applicable laws, state and federal and all ordinances, rules and regulations enacted or issued by the City.
23. CONFLICT OF LAW:
This Agreement shall be interpreted under, and enforced by the laws of the State of California without regard to any choice of law rules which may direct the application of laws of another jurisdiction. The Agreement and obligations of the parties are subject to all valid laws, orders, rules, and regulations of the authorities having jurisdiction over this Agreement (or the successors of those authorities). Any suits brought pursuant to this Agreement shall be filed with the courts of the County of Alameda, State of California.
24. WAIVER:
A waiver by the City of any breach of any term, covenant, or condition contained herein shall not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant, or condition contained herein, whether of the same or a different character.
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25. INTEGRATED CONTRACT:
Subject to the language of Section 30, the Recitals and exhibits are a material part of this Agreement and are expressly incorporated herein . This Agreement represents the full and complete understanding of every kind or nature whatsoever between the parties hereto, and all preliminary negotiations and agreements of whatsoever kind or nature are merged herein. No verbal agreement or implied covenant shall be held to vary the provisions hereof. Any modification of this Agreement will be effective only by written execution signed by both the City and Provider.
26. CAPTIONS:
The captions in this Agreement are for convenience only, are not a part of the Agreement and in no way affect, limit or amplify the terms or provisions of this Agreement.
27. COUNTERPARTS:
This Agreement may be executed in any number of counterparts (including by fax, PDF , DocuSign, or other electronic means), each of which shall be deemed an original, but all of which shall constitute one and the same instrument.
28. SIGNATORY:
By signing this A greement, signatory warrants and represents that they executed this Agreement in their authorized capacity and that by their signature on this Agreement, they or the entity upon behalf of which they acted, executed this Agreement.
29. CONTROLLING AGREEMENT:
In the event of a conflict between the terms and conditions of this Agreement (as amended, supplemented, restated or otherwise modified from time to time) and any other terms and conditions wherever contained, including, without limitation, terms and conditions included within exhibits, the terms and conditions of this Agreement shall control and be primary.
30. ALAMEDA CTC LOCAL BUSINESS CONTRACT EQUITY PROGRAM:
a. Provider shall comply with all applicable provisions of Alameda County Transportation Commission’s (ALAMEDA CTC’s) Local Business Contract Equity (LBCE) Program, as set forth in Exhibit C.
b. If the Provider or any subconsultant is a Local Business Enterprise (“LBE”), Small Local Business Enterpr ise (“SLBE”), and/or Very Small Local Business Enterprise (“VSLBE”) firm, the certificate for that firm shall be attached to this Agreement. These certificates are included as Exhibit D.
c. No substitution of a listed LBE, SLBE, or VSLBE subconsultant on a contract can be made without the prior written approval of the City with agreement of ALAMEDA CTC. If an LBE, SLBE, or VSLBE subconsultant is unable to perform successfully, the City or Provider shall HNTB Corporation 12 Version 12-01-21
submit a written request to ALAMEDA CTC for approval to replace such firm. Provider must make good faith efforts to replace such LBE, SLBE, or VSLBE with another LBE, SLBE, or VSLBE, respectively. ALAMEDA CTC may investigate the circumstances surro unding the substitution request.
d. Provider agrees that within ten (10) calendar days’ receipt of payment from t he City, Provider shall pay to its subconsultants all amounts due from such payment for satisfactory performance of its contract, subject to such legal requirements under federal or state law regarding withholding of disputed payments and applicable penalties. Any delay or postponement of payment over thirty (30) days may take place only for good cause and with ALAMEDA CTC’s prior written approval. This requirement shall not be construed to limit or impair any contractual, administrative, or judicial remedies, otherwise available to the Provider or subconsultant in the event of a dispute involving late payment or nonpayment by the Provider, deficient subconsultant performance, and/or noncompliance by a subconsultant. This clause applies to LBE, SLBE, and VSLBE and non- LBE, SLBE, and VSLBE subconsultants.
e. Provider agrees to include any subconsultant’s acceptable invoices with each Payment Request Form that it submits to the City no later than thirty (30) calendar days after receipt of such invoice from the subconsultant. This clause applies to LBE, SLBE, and VSLBE and non- LBE, SLBE, and VSLBE subconsultants.
f. Provider agrees further to release retainage payments, if any, to each subconsultant within thirty (30) calendar days after the subconsultant’s work is completed and accepted. Any delay or postponement of payment over thirty (30) days may take place only for good cause and with ALAMEDA CTC’s prior written approval. This clause applies to LBE, SLBE, and VSLBE and non- LBE, SLBE, and VSLBE subconsultants.
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IN WITNESS WHEREOF, the parties have each caused this Agreement to be duly executed on its behalf as of the Effective Date.
HNT
B Corporation CITY OF ALAMEDA
a Delaware corporation a municipal corporation
Jeff Watson, PE, PMP Dirk Brazil
Northern California Office Leader Interim City Manager
Vice President
R
ECOMMENDED FOR APPROVAL
NAME
TITLE
Andrew Thomas
Planning Building & Transportation
Director
AP
PROVED AS TO FORM:
City Attorney
C elena H. Chen
Chief Planning Counsel
Certification of Compliance
With the City of Alameda’s Vaccination Requirement
The City of Alameda (“City”) requires all individuals who perform work for the City to be fully vaccinated1 against COVID-19. All service providers and contractors for the City must sign the following statement certifying compliance with this requirement.
By signing below, I certify that all of our personnel who are performing work for the City are fully vaccinated against COVID-19. I also acknowledge that the City reserves the right to review any relevant records to demonstrate our compliance with this requirement.
I declare under penalty of perjury that the foregoing is true and correct.
HNTB Corporation Date:______________________
__________________________________
By: Jeff Watson, PE, PMP
Northern California Office Leader
Vice President
1 For the purposes of this Certification of Compliance, an individual is considered to be fully vaccinated if two weeks have passed since their second dose in a 2 -dose series (such as the Pfizer or Moderna vaccines) or if two weeks have passed since receiving their single-dose vaccine (such as Johnson & Johnson’s Janssen vaccine).
June 27, 2022 Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
SCOPE OF WORK
This Scope of Work is for HNTB Consulting (CONSULTANT/PROVIDER) to provide planning, design, engineering and environmental services to the City of Alameda (CITY) for completing the Project Initiation Document (PID) for the Oakland-Alameda Bike/Pedestrian Bridge Project (Project).
Project Description
A
lameda and Oakland are East Bay neighbor cities separated by the Oakland Estuary which ranges in width from 600 to 1600 feet. Every day, thousands of commuters, residents, and visitors cross the estuary using a variety of modes: vehicle, bus, bicycle, ferry, and on foot. The only existing link for people on foot or bike to cross the estuary is a narrow, shared, bi
-d
irectional three-f
oot wide pathway inside of the Posey Tube. With
strong and growing bicycle networks in both Oakland and Alameda, there is an opportunity and need to create a sustainable link between the two cities and the greater East Bay. To address this significant transportation gap, the CITY initiated project development activities for implementation of a new cross -
e
stuary pedestrian and bicycle bridge.
T
he PROVIDER will develop solutions and complete comprehensive studies to develop a PID for a new pedestrian and bicycle bridge, to be adopted by the City Councils of Alameda and Oakland. The CITY’s goal is to have this phase of the Project delivered creatively and expeditiously in order to position the Project for successful implementation, including, in the near term, having strong stakeholder support and an identified project lead, securing funding from all levels (federal, state and regional), and positioning the bridge Project to move to the next phase: Project Approval and Environmental Document (PA&ED).
T
he PROVIDER will serve as the City’s implementation and delivery team by providing technical and engineering services, including but not limited to, project management; preliminary environmental, hydraulics, traffic, and structural analyses; stakeholder/public coordination and engagement; right-o f-w
ay
data; and other support services as required.
P
roject Schedule
The current assumed high-level project milestone schedule for the PID is:
Milestone Submittal Date
Notice to Proceed (NTP) from CITY July 18, 2022
Draft Project Study Report (PSR) June 2023
Final PSR Dec 2023
PSR Adopted by Alameda and Oakland Councils April 2024
Ta
sk 1.1 includes developing a detailed Project Schedule to meet these milestones.
Key Tasks
The scope of services key tasks are as follows:
• Task 1.0 Project Management
o Task 1.1 Project Management & Administration
o Task 1.2 Project Meetings
Exhibit A
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
o Task 1.3 Project Communications
• Task 2.0 Project Initiation Document Development
o Task 2.1 Alternative Screening
o Task 2.2 Bike/Pedestrian
o Task 2.3 Prepare Preliminary Studies
o Task 2.4 Prepare Preliminary Environmental Analysis Report (PEAR) o Task 2.5 Prepare Project Study Report
Applicable Standards
The project design and technical deliverables shall be prepared based on the most current standards.
Reference standards to be included are:
• American Association of State Highway and Transportation Officials (AASHTO) Load Resistance Factor Design (LRFD) bridge design criteria
• AASHTO Guide Specifications for the Design of Pedestrian Bridges (PED) • Caltrans Seismic Design Criteria (SDC)
• Caltrans SDC for Steel Bridges
• Design will conform to Americans with Disabilities Act Standards for Accessible Design (ADA) • Design within local jurisdictions will comply with local standards (City of Alameda Bicycle Facility Design Standards, City of Alameda Specifications and Plans, City of Oakland Standard Details for Public Works Construction) and current AASHTO Geometric Design of Highways and Streets • AASHTO Guide for the Planning, Design, and Operation of Pedestrian Facilities, 2021 • AASHTO Guide for the Development of Bicycle Facilities, 2012 • California Manual on Uniform Traffic Control Devices, 2018 • FHWA Guidebook for Developing Pedestrian and Bicycle Performance Measures, 2016 • FHWA Bikeway Selection Guide, 2019
• NACTO Urban Street Design Guide, 2013
• NACTO Urban Bikeway Design Guide, 2014
• NACTO Designing for All Ages and Abilities, 2017
Scope Assumptions
For the purpose of developing the scope of services for these tasks, the following assumptions were followed:
• Assume 18-month project duration: 12-months for Draft PID and 6-months for PID adoption by City Councils.
• PSR to comply with current Caltrans Project Development Procedures Manual (PDPM). • Drawings will be developed using MicroStation and Inroads platform. • The plan scales shown are nominal for full-size plans (22x34) and will be reduced 50% for reproduction at 11x17.
• Preliminary Plans shall be prepared at 1” = 50’ scale.
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• Draft documents for CITY review will be submitted electronically only. All submittals of final technical reports and drawings shall be provided electronically in Adobe Acrobat PDF format or Microsoft Word format, as directed by CITY.
• PROVIDER work shall be performed using the following software or converted to the following software: text documents shall be DOC/DOCX format; engineering drawings shall be in the latest version of MicroStation; estimates and tables shall be XLS/XLSX format. • Survey Control Datums for vertical and horizontal control will be established by the team at the start of the project.
• The PID will consider up to three (3) bridge design locations/alternatives, in addition to the no-build alternative.
• 3D visualizations of conceptual bridge design alternatives will be produced for up to three locations/alternatives.
• This scope of work exclude funding application support. (See task 2.5.3 for funding support to be provided.)
• The estimate of labor hours and time scheduled to perform the work is limited by the assumptions above and as may be noted elsewhere.
DETAILED SCOPE OF WORK
TASK 1 – PROJECT MANAGEMENT
1.1 Project Management & Administration
Subtask 1.1.1 Prepare Project Work Plan
Following receipt of the Notice to Proceed, Consultant shall prepare a Project Work Plan to be distributed to all team members. The Project Work Plan will establish the project scope, budget, schedule, risks, and summarize Quality Assurance/Quality Control (QA/QC) procedures. The Project Work Plan will also outline roles and responsibilities, identify appropriate lines of authority and communication, and establish project protocols and procedures.
Subtask 1.1.2 Develop & Maintain QA/QC Program
CONSULTANT shall develop a Quality Management Plan (QMP) to establish QA/QC plans and procedures and conduct an independent Quality Review of reports, plans, estimates and design documents.
CONSULTANT shall:
• Ensure promulgation to the CITY and CALTRANS quality standards and strict adherence to the QMP in the conduct of the work. Subconsultants can either subscribe to the CONSULTANT’s QMP or have their own QA/QC Plan as approved by CONSULTANT and CITY. • Convene and document quality reviews and make findings and corrective actions available for the CITY’s review. Documentation of compliance with QMP is provided to CITY upon request or during project audits.
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• Ensure quality control procedures are strictly adhered to and properly documented throughout the entire course of the work.
• Ensure a thorough review and verification of corrections by an Independent Reviewer is performed. • Provide documentation of compliance with Project QA/QC plan to CITY upon request or during project audits.
• Conduct periodic reviews / audits to verify compliance to above requirements. • Take corrective actions to rectify findings of non-compliance by a QA/QC audit.
Subtask 1.1.3 Project Controls & Administration
CONSULTANT shall perform the following project administrative duties:
• Prepare a detailed schedule and submit an updated electronic file schedule on a quarterly or as- needed basis.
• Prepare, update and submit a four-week Horizon Schedule at monthly Project Development Team (PDT) meetings.
• Prepare and submit monthly progress reports that will identify work performed on each task the preceding month. Percent complete compared to percentages billed for each task will be shown. • Prepare a monthly summary of total charges made to each task. This summary shall present the contract budget for each task, reallocated budget amounts, prior billing amount, current billing, total billed to date, and a total percent billed to date. • Provide a summary table indicating the amount of firm participation each month based upon current billing and total billed to date.
• Provide a monthly invoice by task that will present charges by CONSULTANT staff members at agreed to hourly rates, expense charges, and sub-consultant charges. Support documentation for CONSULTANT direct expenses and sub-consultant charges will be attached. Monthly invoices shall be in conformance with CITY’S Standard Service Provider Agreement and Alameda CTC Consultant Payment Request Forms.
• Perform monthly in-house Project Reviews to discuss and monitor project budget and schedule, issues, risks, and staffing needs.
• Prepare and maintain a submittal log registry which shall include scheduled and actual submittal dates, review periods, and receipt of comments.
Subtask 1.1.4 Team Management & Coordination
CONSULTANT shall perform the following team management and coordination duties:
• Supervise, coordinate and monitor activities and product development for conformance with Caltrans and CITY standards and policies.
• Assure compliance with other codes and standards as acceptable to CALTRANS and local jurisdictions if applicable and approved by the CITY.
• Prior to the start of any work, CONSULTANT shall interface with CITY staff to assure format consistency of all deliverables.
• Coordinate in-house design staff and sub-consultants to ensure free and timely flow of information for each task activity.
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Subtask 1.1.5 Prepare and Maintain a Risk Management Plan CONSULTANT shall prepare a Risk Management Plan (RMP) per Caltrans guidelines and use the Caltrans template. CONSULTANT shall meet on a quarterly basis with CITY to update the RMP.
Subtask 1.1.6 Maintain Project Records
CONSULTANT shall:
• Maintain project records for all alternatives developed. • Retain documents for at least five (5) years from the end of the term of the contract. • Provide all pertinent project records, materials and documents to CITY at project closeout.
Task 1.1 Deliverables:
• Project Work Plan
• Quality Management Plan (QMP)
• Regularly updated electronic Project Schedules
• Monthly Four-week Horizon Schedules
• Submittal log Registry
• Monthly Invoices and Progress Reports
• Monthly Summary table with amount of firm participation • Risk Management Plan
1.2 Project Meetings
Subtask 1.2.1 Internal Team Coordination Meetings
CONSULTANT will hold internal team coordination meetings bi-weekly and team attendance shall be as- needed, to coordinate work and staffing availability, communicate project information, and coordinate and submit deliverables in accordance with workflow and schedule. The CONSULTANT shall summarize meeting actions for CITY, as appropriate.
CONSULTANT shall hold monthly internal project review meetings with HNTB Office Delivery and Operations Manager, as well as the assigned project analyst to review and discuss project details, including risk to schedule, scope, budget, and staffing. This routine process provides for regular communication with office management on project progress and staffing needs and helps to confirm that performance issues are addressed quickly and effectively.
Subtask 1.2.2 – Not Used
Subtask 1.2.3 Monthly PDT Meetings with CITY
CONSULTANT shall lead monthly Project Development Team (PDT) meetings with CITY, and Subconsultants as needed, to provide project status, a briefing on the tasks underway and upcoming, and to solicit input on issues related to the Project development. Budgeted meetings are defined in the project cost estimate.
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CONSULTANT shall lead up to six (6) Technical Advisory Committee (TAC) meetings with the CITY to brief stakeholders on the Project status and to solicit input on issues related to the Project development.
CONSULTANT shall consult with CITY to determine key stakeholders to form TAC. TAC members will include, but not be limited to, the following:
• Alameda CTC
• Caltrans
• Port of Oakland
• U.S. Coast Guard
• City of Oakland
Subtask 1.2.5 Stakeholder Outreach
CONSULTANT shall lead up to 12 stakeholder outreach meetings with CITY to inform them of the project and to solicit input on issues related to the Project development.
Stakeholder outreach meetings include agency coordination meetings with agencies listed below, but not limited to:
• Port of Oakland
• City of Oakland
• U.S. Coast Guard
• Alameda CTC
• Caltrans
• US Army Corps of Engineers
• Regional Water Quality Control Board
• National Marine Fisheries Service
• California Department of Fish and Wildlife
• Bay Conservation and Development Commission
• Estuary Park Renovation and Expansion Project Team
• Waterfront Ballpark District (Howard Terminal)
• Shipways Development
Subtask 1.2.6 Public Engagement Events
CONSULTANT will develop an Engagement Strategy, which will include consultation with local bike/pedestrian advocacy and social service groups before being solidified. Strategy will include organizing and implementing a minimum of four (4) public engagement meetings or events.
Two of these meetings will be held as virtual workshops with participatory breakout sessions and interactive polling. This will give participants the opportunity to learn about the project and share their viewpoints. Invitations will be shared through the CITY’s channels, community organization channels, and throughout Jack London Square. They will also be distributed to select residences and businesses in Jack London Square and Alameda within a meaningful radius of the potential bridge landing positions.
The priority will be focusing on the low income, underserved, or historically marginalized residents and neighborhoods. One meeting will take place near the beginning of the PID process, and the other will be scheduled at a meaningful point in the middle, when the project team thinks that they would most benefit from public feedback.
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Two of these events will be in-person outdoor pop-up workshops, one in Alameda and one in Oakland.
The purpose of the in-person workshops is to receive the attention of people who commonly spend time in the area, but may not live or work in the area. On the Alameda side, the team will select an area with a high level of foot traffic in the vicinity of the potential bridge footings. On the Oakland side, this pop- up would take place at the Jack London Square Farmers’ Market or one of the other numerous placemaking events that Jack London Square organizes, such as Pedalfest. Both pop-ups will include engaging and entertaining interactive exhibits to entice the public to share their experiences and priorities for the potential crossing. The timing for these pop-up events will be determined when the Engagement Strategy is developed.
In-person events will include materials and giveaways, to be specified in Engagement Strategy.
Additional outreach events may be added if budget allows.
Subtask 1.2.7 Political Advisory Committee
CONSULTANT shall lead up to five (5) Political Advisory Committee (PAC) meetings with the City of Alameda. The PAC will consist of elected and appointed officials, as directed by the CITY.
Task 1.2 .1 to 1.2.7 Deliverables:
• Meeting agendas and draft/final meeting minutes for all Project-related meetings.
Subtask 1.2.8 Funding Strategy
The Consultant shall work with City to prepare an overall funding plan and strategy for the project.
Potential funding sources will be identified and categorized into a matrix identifying the source, administering agency, potential amount available, next funding cycle and other relevant information.
Deliverable:
• Funding Matrix and Funding Plan
1.3 Project Communications
Subtask 1.3.1 Prepare and Maintain a Communication Plan The CONSULTANT shall prepare and maintain a communication plan. The plan will lay out the overall strategy and lines of communication, and will be approved by the CITY.
Subtask 1.3.2 Prepare materials for City Presentations, TAC and other stakeholder meetings CONSULTANT shall develop, with input from CITY, presentation materials for meetings of the TAC, City Boards and Commissions, City Councils, stakeholders, and interested parties.
Subtask 1.3.3 Prepare/Maintain Project fact sheet, web-page & materials for public & electeds CONSULTANT shall develop and maintain, with input from CITY, Project fact sheets and a stand-alone June 27, 2022
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web page to keep the public and stakeholders updated and engaged throughout the planning process.
CONSULTANT will prepare other public materials needed to update the public and elected officials of project progress, such as email updates to keep people informed about the project status and press releases.
Subtask 1.3.4 Online Survey
CONSULTANT shall prepare at least one online survey to collect input from the public on the Project purpose and alternatives. It will be advertised through stakeholder lists, community organization partners, and social media channels. The survey will provide a low-barrier option for engagement so community members can share their concerns and aspirations from their home computer or mobile device.
Task 1.3 Deliverables
• Communication Plan
• Presentation Materials for City Presentations, TAC, and other stakeholders • Project Fact Sheet
• Project Webpage
• Online Survey
TASK 2 - PROJECT INITIATION DOCUMENT
2.0 Data Collection
Subtask 2.0.1 Review Existing Data, Identify and Collect New Data CONSULTANT shall solicit CITY and stakeholder input on existing available data and new data needs, and collect such data. CONSULTANT will perform a review of available information, and conduct additional reconnaissance and database scans to identify constraints within the vicinity of the Project location.
Data may include the following:
• As-built plans
• Utility information
• Drainage information
• Flood Plain Information from FEMA mapping
• Sea level rise data
• Relevant mapping
• Right-of-way information
• City records for project entitlements and easements
• Cultural resource data from Northwest Information Center (NWIC) of California Historical Resources Information System (CHRIS)
• Review of State Lands Commission (SLC) Shipwreck Inventory • Streetlight Data
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Subtask 2.0.2 Site Visits
CONSULTANT shall conduct site visits and field reviews to verify existing conditions such as utilities, drainage, grading, and other existing features. CONSULTANT shall document the conditions observed during these site visits through photos, field notes, and field measurements.
A total of 8 site visits are included in this scope.
Subtask 2.0.3 Define Project Boundary
CONSULTANT shall develop a project boundary for the Project in consultation with the CITY to determine project study limits. Project boundary will be developed as appropriate to determine the extent of data collection.
Subtask 2.0.4 Problem Identification/Deficiencies
CONSULTANT shall review the outcomes of the bicycle/pedestrian existing conditions analysis (Task
2.2.3) and in conjunction with stakeholder input, summarize the deficiencies and identify the problems that the project is intended to address.
Subtask 2.0.5 Draft Project Description and Purpose & Need Statement CONSULTANT shall draft project description and project purpose and need statement in coordination with CITY and the TAC. Once consensus has been reached on the project alternatives for study, CONSULTANT shall prepare a project description for review and acceptance by the CITY.
Task 2.0 Deliverables:
• Definition of Project Boundary
• Summary of Problems that Project will address
• Draft and Final Purpose and Need Statement
• Draft and Final Project Description
Task 2.1 Alternative Screening and Development
Subtask 2.1.1 Develop Design Standards
CONSULTANT shall review relevant design guidelines, standards, and criteria and summarize those to be used in the development and design of bridge concepts and alternatives. Criteria shall include recommendations for appropriate design guidelines for bicycle/pedestrian facilities , s tandards for movable bridges, urban design and landscape elements.
Deliverable:
• Draft and final Design Standards Memo
Subtask 2.1.2 Prepare Base Maps
Consultant shall develop a base map for the Oakland Estuary and adjacent land where bridge could land, based on the agreed project limits in task 2.03. Base maps will be based on available digital imagery and will show key features such as the Oakland Estuary; existing and proposed bikeways; nearby landmarks; sidewalks, walkways and pathways; bus stops and key land uses; right of way; existing and type of June 27, 2022
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bicycle facilities; traffic control devices. Jurisdictional right-of-way limits will be identified based on information available.
Subtask 2.1.3 Concept Development
CONSULTANT shall review past studies and , in conjunction with inputs from CITY , TAC and project stakeholders, develop a range of feasible crossing alternatives within the project boundary. The feasibility of a crossing will be determined based on CITY, TAC and project stakeholders as well as technical engineering analysis.
Alternatives studied will include consideration to local and regional active transportation networks, interactions with motor vehicles, best practice for design of separated and shared bicycle and pedestrian routes and appropriate signing and striping.
The crossing’s use will in large part be determined by its connections on each side of the estuary.
Therefore, the Consultant will work with the CITY to define an influence area at each landing and to develop each concept to provide logical connections to existing and planned low-stress bicycle infrastructure and pedestrian paths. The connections, including any traffic control necessary, will be developed as part of the crossing concepts. On the Oakland side, connection quality will depend on the location of the landing and on the fate of the Howard Terminal project. On the Alameda side, the immediate landing area will likely be served by new developments, with logical connection to the rest of the island of paramount importance.
Consultant will review the three (3) existing Oakland-Alameda Bicycle/Pedestrian Bridge alternative alignments related to urban design and landscape issues and recommend refinements to the alignments and initial designs to improve the public realm and multimodal connections between or under the bridge, landings, and surrounding public spaces and land uses. A matrix will be developed that links the design standards defined in Task 2.1.1 to specific bridge, landing, and other elements of the project. A major goal for the urban design and landscaping improvements will be to provide a balance of placemaking and placekeeping in the communities in the areas surrounding the bridge structure and landings.
Deliverable:
• Draft and Final Bridge concepts at each of three (3) bridge locations • Design standards matrix
Subtask 2.1.4 Placemaking and Complete Streets
CONSULTANT shall prepare recommendations for how urban design and landscape elements can be integrated and used to create placemaking and placekeeping that enhances and provides connectivity between from the bridge landings and adjacent pedestrian and bicyclist facilities and linking the bridge with the surrounding community.
Deliverable:
• Connectivity recommendations to achieve Placemaking and Placekeeping.
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Subtask 2.1.5 Alternative Screening
CONSULTANT shall conduct a two-tiered process to (1) screen alternatives, and (2) compare and evaluate the alternatives. This task includes the tier one planning-level evaluation to screen and narrow down the alternatives to be carried forward for additional quantitative analysis. CONSULTANT will identify generalized and high-level evaluation criteria for use in this initial screening process without requiring extensive analysis. Example criterion for active transportation include, and are not limited to:
• Pedestrian and bicycle demand (e.g., forecasts from CONSULTANT’s travel demand forecast tool)
• Pedestrian and bicycle access (e.g., network connectivity at bridge approaches) • Pedestrian and bicycle comfort on the bridge span (e.g., length and grade of ramping, facility width, geometric design and traffic control at transitions) • Pedestrian and bicycle safety (e.g., number and type of conflict points) CONSULTANT will coordinate with the City and TAC to develop the screening criteria and method of the evaluation. For example, CONSULTANT could use a ranking scale (e.g., low, medium, high) to illustrate and simplify results for comparison across alternatives.
Deliverable:
• Alternative Screening Criteria and Analysis (Quantitative and Qualitative) Task 2.2 – Bike/Pedestrian Design Development
Subtask 2.2.1 Data Collection
Consultant shall inventory available data and determine if additional data is necessary to support the analysis and evaluation process. Additional data needs will include supplementing the data/information gathered during the Estuary Crossing Study completed under the Oakland-Alameda Access Project effort with additional data/information compiled in Task 2.2.3 to develop updated estimates of active transportation (walk and bike) demand for each alternative.
Origin-Destination Data: Utilize the StreetLight data set obtained for the Oakland-Alameda Access Project effort and work with City staff to refine “zones” for origins and destinations as well as “middle filters” (such as the Webster/Posey tubes or other Estuary crossings) to better define routes used.
Process this data focusing on the specific questions defined in the data collection plan, which will be documented in the Approach & Methodology Memo as part of Task 2.2.2. The origin-destination patterns by mode will be used as a base condition for model calibration and forecasts.
Subtask 2.2.2 Approach and Methodology Memo
CONSULTANT will work with City staff to confirm the scenarios and methodology for use in the alternative screening analysis, which shall include:
• Existing Conditions
• Future Conditions with Plan Bay Area 2050 projections • Future Conditions with A’s Stadium at Howard Street Terminal (if applicable) June 27, 2022
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• Mode Share Scenarios – Various mode share scenarios could be modeled to develop a forecasting range that would take into consideration future changes in land use patterns, population and employment densities, commuting behaviors, and environmental, social, and economic factors, as well as unmet latent demand for higher quality pedestrian and bicycle facilities than currently exist between West Alameda and Oakland.
o Maintain existing walk/bike mode share
o Increase existing walk/bike mode share for all trip distances by X percent o Increase walk/bike mode share to reflect non-drive alone mode share target for morning peak hour estuary crossing trips from 27 percent to 39 percent1 In addition to basic weekday travel mode choice information, the spreadsheet tool will incorporate off- model techniques to predict weekend travel and unmet/latent and recreational demand on the new facility, as well as potential mode shift, vehicle miles traveled, and travel times for each alternative.
The following measures of effectiveness are also intended to provide easily understood metrics that can be used to weigh trade-offs and communicate high-level impacts between alternatives:
• Pedestrian and bicycle demand. Consultant will refine the methodology and tool that was created as part of the Oakland-Alameda Access Project to forecast future pedestrian and bicycle travel demand for the selected Estuary Crossing alternatives. For this analysis, “bicycle” refers to traditional bicycles, electric bicycles, and other personal mobility devices such as e-scooters. • Travel time for people walking and biking. Changes to trip length and travel times will be analyzed for the various origin-destination combinations. These changes can also be evaluated for different populations or geographies to facilitate a comparison of outcomes across populations (e.g., Equity Priority Communities, low-income populations, Black, Indigenous, People of Color).
Deliverable:
• Approach & Methodology Memo
Subtask 2.2.3 Existing Conditions
Document existing walking and biking conditions in the study area, including:
• Existing facilities inventory and map, including the location and type of bicycle facilities, sidewalks and crossings, and traffic control devices.
• Bicycle and pedestrian activity, including travel patterns and mode share, based on available counts and StreetLight data.
• Demographic data from the most recently available Census American Community Survey • Land use context based on data in the Alameda Countywide travel demand and updates from the CITY and City of Oakland.
Project Team will summarize this information in text, tables, and graphics, for inclusion in the Active Transportation Analysis Memo (Task 2.2.4).
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Subtask 2.2.4 Active Transportation and Methodology Memo The performance measures defined in the Approach & Methodology Memo (Task 2.2.2) will be evaluated for each alternative.
The resulting pedestrian and bicycle demand estimates and performance relative to other measures, will be documented for each of up to four alternatives (3 alternatives plus a no-build), in the Active Transportation Analysis Memo.
CONSULTANT will prepare a draft technical memorandum summarizing the work completed in Task 2.2.
Supporting data and calculation worksheets will be provided as an appendix. CONSULTANT will respond to one set of comments compiled by HNTB and CITY staff and submit a final technical memorandum.
Task 2.3 – Preliminary Studies
Subtask 2.3.1 Scoping Checklists
THE CONSULTANT shall prepare the following scoping checklists in accordance with CALTRANS STANDARDS:
• Design Scoping Index
• Headquarters Division of Engineering Services Scoping Checklist • Transportation Planning Scoping Information Sheet
Subtask 2.3.2 Alternative Development
Based on the refined concepts from task 2.1.3 and subsequent inputs from Stakeholders and feedback from the PSR technical studies, up to three (3) project Build Alternatives and a No-build Alternative will be developed to a PSR level and, sufficient to obtain conceptual project approval. The project will be developed to produce preliminary striping plans; approximately 15% geometric horizontal and vertical design and typical sections; and indicating bridge structure and retaining walls, major utility conflicts and proposed relocations, and preliminary right-of-way needs.
As with concept development in Task 2.1.3, connectivity to local and regional active transportation networks, interactions with motor vehicles, best practices for design of separated and shared bicycle/pedestrian routes, and appropriate signing and striping will all be evaluated.
Stakeholder and community input will collected on the three alternatives.
After the discussion, evaluation, and screening of alternative bridge designs, it is assumed that the CITY, with input from the TAC and PAC, will select one bridge type to move forward with placement on three different alignments. CONSULTANT will prepare accurate 3D models of the selected bridge type for three (3) alternative locations. CONSULTANT will refine ADA and Caltrans HDM Chapter 1000 complaint geometrics of preferred bridge type and refine the 3D model. CONSULTANT will develop high-resolution still renderings for the preferred bridge type applied to three (3) locations. CONSULTANT will refine ADA and Caltrans HDM Chapter 1000 compliant alternative bridge approach geometry for the preferred bridge type applied to three (3) locations and refine 2D diagrams for incorporation into the 3D visualization model.
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Deliverable:
• 3D models of selected bridge type for three (3) project locations/alignments • High-resolution still renderings for the preferred bridge type applied to three (3) locations CD+A will provide review input on the team's development of the build alternatives in relation to the physical characteristics of the bridge, landings, and connections and how these provide opportunities for public space, placemaking, and placekeeping.
Subtask 2.3.3 Urban Design/Landscaping
In parallel with the development of the build alternatives and defining the public space, placemaking, and placekeeping design features in Task 2.3.2, Consultant will develop urban design and landscape design concepts to illustrate selected urban design features for each of the build alternatives. These features might include a public space in and around the landing points, artistic or landscape enhancement to over-land bridge or landing/ramping structures and the spaces under these structures.
One 3D design study will be prepared for each of the three build alternatives: a total of three (3) 3D rendering.
Deliverable:
• Three (3) draft and final urban design/landscaping design feature 3D renderings; one for each build alternative.
Subtask 2.3.4 Structures Advanced Planning Studies
CONSULTANT will prepare Advance Planning Studies (APS) in accordance with guidelines set forth in CALTRANS Memo to Designer for one structure type proposed under the project. C ONSULTANT shall be responsible for developing feasible structure costs, and controls appropriate for each location within the allotted budget provided for three locations.
Consultant will preform preliminary engineering to justify the proposed bridge types and develop a cost estimate for the structures work.
Subtask 2.3.5 Structures Preliminary Geotechnical Report As part of the Advanced Planning Study (APS), CONSULTANT will provide Structures Preliminary Geotechnical Report (SPGR) for the bridge and non-standard retaining walls. The format and contents of these reports will follow recommendations in Caltrans Geotechnical Manual – Foundation Report for Bridges and Earth Retaining Systems (January 2021).
The report will cover the following topics:
• Project description
• Existing geotechnical investigations
• Geotechnical conditions (Geology, surface, and subsurface conditions) • Groundwater conditions
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• Scour and corrosion evaluation
• Seismic information (ground motion hazard and other seismic hazards) • Geotechnical recommendations (seismic design criteria, suitable foundation types, foundation capacities, liquefaction impact and mitigation measures, slope stability evaluations, construction considerations, etc.)
• Additional fieldwork and laboratory testing recommendations
It is anticipated that three alternatives will be evaluated in the PID phase, therefore the SPGR will cover these three alternatives.
Deliverables:
• Draft and Final Report
Subtask 2.3.6 Preliminary Geotechnical Design Report
Consultant will prepare a District Preliminary Geotechnical Report in general accordance with Caltrans Guidelines for Preparing District Preliminary Geotechnical Reports for the project in order to summarize the existing geologic and geotechnical data for the potential project alternatives and provide an evaluation of geologic hazards. The report will also provide an assessment of the required level of exploration effort for up to three proposed alternatives.
Deliverables:
• Draft and Final Report
Subtask 2.3.7 Not Used
Subtask 2.3.8 Design Standards Risk Assessment
Any proposed non-standard features associated with the project alternatives will be documented through a design standards risk assessment , to be included in the PID. The design standards risk assessment will list any design standards that will likely not be met for each alternative and the probability of approval for each proposed exception to a design standard. (This task does not include preparation of design exception fact sheets to document non-standard Mandatory and Advisory features within the project limits, which will occur during the next (PA/ED) phase.)
Deliverable:
• Design Standard Risk Matrix
Task 2.3.9: Storm Water Data Report
The PID Storm Water Data Report (SWDR) initiates the process of identifying the minimum temporary and permanent Best Management Practices (BMPs) required for the Project to allow for proper allocation of funds during the development of the preliminary Project cost estimate.
Task Description:
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• Provide initial documentation of potential water quality impacts to receiving water bodies and anticipated BMPs to minimize these potential water quality impacts. • Identify the Project receiving water bodies and describe the existing water quality limitations. • Describe the general geotechnical conditions of the Project area for identification of BMPs that may be required for the Project.
• Provide an understanding of potential impacts that result from the disturbed soil area created by the Project.
• Provide an understanding of potential downstream impacts and water quality impacts related to the increase in impervious areas created by the Project.
The SWDR will document general feasibility of appropriate treatment BMPs.
Deliverable:
• Draft and Final Storm Water Data Report
Subtask 2.3.10 Right of Way Data Sheets
This task includes services related to cost estimating for potential right of way acquisitions for each of the three Alternatives. The right of way estimate will include:
• Research of subject properties including land use designations. • An analysis of the probable highest and best use of the properties. • Classification of properties into land use categories to establish land value ranges. • Analysis of right of way acquisitions and impacts to improvements. • Consideration of severance damages and benefits.
• Estimated relocation assistance costs.
• Estimated right of way support costs.
CONSULTANT will not make any contact with the owner or lessees or conduct internal inspections of the subject properties. The estimate will address proposed acquisitions as if free and clear of hazardous materials and with marketable title. The right of way estimate is not an appraisal. It utilizes resources such as information available in the market or from past relevant appraisals, sales data, listings, field inspections, interviews with brokers and Assessor’s information.
Deliverable:
• Right of Way Data Sheet
Subtask 2.3.11 Constructability
CONSULTANT shall review each alternative and staging requirements to maintain waterway operations within the Oakland Estuary and minimizing on-land impacts. Potential for construction strategies shall also be investigated so the project can meet available funding options.
Subtask 2.3.12 Transportation Planning Scoping Information Sheets CONSULTANT shall develop the Transportation Planning Scoping Information Sheets per Caltrans standards and template. This will be submitted as an attachment to the draft and final PSR.
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
Subtask 2.3.13 Complete Streets Decision Documents
CONSULTANT shall develop the Complete Streets Decision Documents per Caltrans standards and template. This will be submitted as an attachment to the draft and final PSR.
Subtask 2.3.14 Risk Register
CONSULTANT shall develop and maintain a risk register in compliance with Caltrans’ standard guidelines and template. The risk register will be prepared to identify and track potential risks to the successful delivery of the project. The most current RMP will be attached to the draft and final PSR.
Subtask 2.3.15 Cost Estimates
CONSULTANT shall develop preliminary cost estimates in compliance with Caltrans’ standards, guidelines and templates for PID phase. They will include estimating preliminary quantities for major cost items and determining appropriate unit costs. The unit costs will be adjusted for standard indexes as well as specific project details. Costs will include an estimate for operations and maintenance.
Preliminary cost estimates will be prepared for up to three (3) alternatives.
Deliverable:
• Draft and Final Cost Estimates
Task 2.4 – Preliminary Environmental Analysis Report
Subtask 2.4.1 Prepare Technical Studies & Conduct Field Visit This task will include the preparation of technical studies in support of the preparation of the Preliminary Environmental Analysis Report (PEAR). Limited personnel will conduct field visits as needed for field verification of resources.
Each technical discipline listed in this scope will prepare a brief memo covering topics required per the Caltrans Standard Environmental Reference (SER) and current PEAR templates as described in the following Subtasks.
Subtask 2.4.2 Hydrology and Floodplain Technical Memo
CONSULTANT shall:
• Perform a drainage and floodplain assessment for up to three Alternatives in the PSR. • Provide a general assessment of drainage impacts due to the proposed project and develop conceptual drainage improvement needs.
• Perform a preliminary floodplain risk assessment to determine the potential impacts to floodplains from the proposed Project.
• Identify potential mitigation measures if there will be any proposed development within a floodplain.
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
CONSULTANT will prepare a Drainage and Floodplain Technical Memorandum to document the Project impacts and needs for improvements and mitigation.
Deliverable:
• Draft and Final Preliminary Drainage and Floodplain Technical Memorandum Subtask 2.4.3 Water Quality Assessment Report (WQAR)
The PID WQAR will evaluate the water quality impacts for the proposed alternatives and recommend possible minimization measures to reduce the adverse impacts to water quality.
Deliverable:
• Draft PID WQAR
• Final PID WQAR
Subtask 2.4.4 Noise/Vibration/Hydroacoustic Technical Memos CONSULTANT shall provide desktop-based memo for Noise Vibration and Hydroacoustics. The memos will identify Noise Vibration and Hydroacoustic issues that could influence the project’s scope, schedule, or cost at later phases . These are technical reports required to support the environmental document. The memo will also identify potential mitigation needs and high-level associated costs.
Deliverable:
• Draft and Final Noise and Vibration Memo
• Draft and Final Hydroacoustics Memo
Subtask 2.4.5 Air Quality/Green House Gases (GHG) Technical Memo CONSULTANT shall provide desktop-based memo for air quality/ GHG. The memo will identify air quality/ GHG issues that could have an effect on the project’s scope, schedule, or cost at later phases, and the resources needed to complete the environmental document or determination, and the estimated costs for environmental mitigation.
Deliverable:
• Draft and Final Air Quality/GHG Memo
Subtask 2.4.6 Biological Resources Memo
CONSULTANT shall prepare a Biological Assessment memorandum with the purpose of identifying early project planning constraints, information to supplement considerations of alternative project design, and early identification of critical construction avoidance and minimization measures (such as work windows).
The assessment will provide initial support and identifications of future required permitting documents, including a California Environmental Quality Act Biological Resources Assessment, S ection 7 Endangered Species Ac t Biological Assessment, and any California Department of Fish and Wildlife Services authorizations needed in future phases. The memorandum will also identify a preliminary schedule for permitting requirements and activities associated with obtaining regulatory approvals for the future Project.
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
Scope of Memo includes:
• Early conceptual project description
• Identification of scope of analysis for relevant resource agencies • Determination of special status species with potential to occur • Preliminary assessment of Project effects on special status species
Deliverable:
• Draft and Final Biological Resources Memo
Subtask 2.4.7 Cultural Resources Memo
CONSULTANT shall prepare an archaeological resources memo that includes the following:
• description of the project and location;
• results of the records and literature search;
• results of Shipwreck Inventory;
• discussion of constraints, observations, and a summary with conclusions and recommendations; and • maps, archaeological site location data (if relevant), and other graphics as needed.
Deliverable:
• Draft and Final Archaeological Resources Memo
Assumptions:
• No fieldwork at this time.
• Records search at the Northwest Information Center (NWIC) of 0.10-mile buffer. • Review of the SLC Shipwreck Inventory.
• No in-person meetings required.
• No more than 11 one-hour electronic team meeting.
• No more than 6 rounds of review on draft memo.
• We assume minimal comments on draft memo;
• Memo is limited to desktop review and assessment.
• No Native American outreach included and
• No cultural resources will be evaluated for listing in the CRHR or NRHP.
CONSULTANT will also prepare an architectural history memo for use in the PEAR. This memo will cover research and analysis regarding historic architectural/built environment resources for t he cultural resources sections of PEAR. Project archaeologists will conduct records searches for the project at the appropriate Information Center (NWIC) and share the built resources results with the cultural team.
CONSULTANT will coordinate with project archaeologists regarding the records search request, as needed.
CONSULTANT will conduct preliminary archival research for the overall project study area that includes county property records available through the commercial real estate service ParcelQuest , current and historic aerial photographs, historic United States Geological Survey Quadrangle Maps, limited online newspaper sources, and other sources as needed.
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
Following the Caltrans Standard Environmental Reference, CONSULTANT will provide the built resources setting/context, list sources consulted, note the results of the research, itemize the reports anticipated during environmental documentation, review results of the NWIC records search, provide analysis regarding possible project effects on historic properties, including effects on possible Section 4(f) historic properties, plus assessment of possible mitigation. CONSULTANT will also provide estimated preparation time for the necessary reports, such as a Historical Resources Evaluation Report (HRE R) and Historic Property Survey Report (HPSR), and anticipated timeframe for agency compliance review concurrence.
Deliverable:
• Draft and Final Architectural History Resources Memo
Assumptions:
• Desktop exercise only- no field work will be conducted. • Consultant shall attend up to 5 hour-long project team video or teleconference meetings, including a kick-off meeting.
Consultant shall prepare an administrative draft deliverable within six weeks of receipt of the project study area limits and results of the records searches. Subtask 2.4.8 Paleontological Resources Technical Memo
CONSULTANT shall prepare a memo assessing the potential for paleontological resources which will be evaluated based on previous reporting and geologic maps of the area to determine if there are any soil types within the depth of proposed excavation that could contain fossil resources.
Deliverable:
• Draft and Final Paleontology Resources Memo
Subtask 2.4.9 Hazardous Materials/Hazardous Waste Study CONSULTANT shall prepare a Hazardous Materials/Waste Study, which will include a high-level summary of hazardous materials/waste conditions within the project study area based on an understanding of past land uses in the area and the review of readily available regulatory agency records. Consultant will summarize potential sources of hazardous materials contamination and prepare a list of known hazardous materials release sites within and adjacent to the project study area. Based on the findings of the Hazardous Materials/Waste Study, Baseline will provide recommendations on whether an Initial Site Assessment (ISA) and Preliminary Site Investigation (PIS) should be prepared for the proposed project.
Consultant will assist HNTB in preparation of estimated cost for project mitigation related to Hazardous Materials/Waste. Baseline will provide rough order of magnitude (ROM) cost estimates for performing additional investigation activities (e.g., ISA and PSI), as recommended in the Hazardous Materials/Waste Study, and will assist HNTB in estimating ROM costs (e.g., by providing estimated unit costs) for disposal of contaminated soil that could be encountered during construction. Baseline would assist HNTB with answering questions from the City related to these costs. Baseline will spend up to 6 hours on this task.
Deliverable:
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
• Draft and Final Hazardous Materials/Waste Study
Subtask 2.4.10 Sea Level Rise Memo
CONSULTANT shall verify the impacts of Sea-level Rise (SLR) for the Project and will confirm tidal datum and predicted SLR elevations (low, medium, or high) per Caltrans, BCDC and National Oceanic and Atmospheric Administration (NOAA) guidelines. CONSULTANT shall prepare a memo discussing the Project’s design life/timeframe, adaptive capacity, and risk tolerance. CONSULTANT shall also use Caltrans, CITY, and BCDC guidance in assessing potential impact costs, permitting, and mitigation measures potentially needed for the project.
Deliverable:
• Draft and Final Sea Level Rise Memo
Subtask 2.4.11 Visual/Aesthetics Technical Memo
CONSULTAT will prepare a Visual/Aesthetics memo and Caltrans Visual impact screening questionnaire.
The memo will discuss potential sensitive receptors and discuss the approach to a range of specific strategies, treatments, and design features to mitigate the visual impacts anticipated by the project.
The memo will also estimate costs and the level of Visual Impact Assessment (VIA) needed to document changes to the visual and aesthetic landscape as a result of the project. The Screening questionnaire will be included as an attachment to the PEAR.
Deliverable:
• Draft and Final Visual Aesthetic Memo
• Draft and Final Visual Screening Questionnaire
Subtask 2.4.12 Community Impacts/Land Use/Growth/EJ/Section 4(f) CONSULTANT shall evaluate and describe the Impacts to community resources and land use resources within the PEAR document. CONSULTANT shall request a list of planned and potential land use changes from jurisdictions along the Oakland Estuary. It is assumed that the jurisdictions will provide a listing of planned and potential land uses by lo cation, type and size. Jurisdictional data may be derived from General Plans, recent land use applications, and other sources. Equity, potential impacts to community cohesion, and characterizing Environmental Justice considerations will be covered among other topics per the Caltrans Standard Environmental Reference.
Subtask 2.4.13 Geology, Soils, Seismic and Topography
CONSULTANT shall summarize the Geology, Soils and Seismic and topographic considerations in the PEAR.
They will draw upon the conceptual engineering studies produced for the PID.
Subtask 2.4.14 Energy and Climate Change
CONSULTANT shall assess the need for future energy studies and the risks for the project in relation to wildfire hazards will be summarized in the PEAR.
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
Subtask 2.4.15 Cumulative Impacts Technical Memo
CONSULTANT shall assess, as part of the PEAR, the potential for cumulative impacts on the environment as a result of the project.
Subtask 2.4.16 Mitigations Assessment
CONSULTANT shall assess the need for mitigation s for the project. Caltrans standard mitigation and Compliance Cost Estimate checklist will be filled out identifying the type and estimated cost of mitigations anticipated. The form includes an identification of the permit/agency requiring the mitigation and th e estimated cost. Costs will be assessed on a rough order -of-magnitude based on available information at the time of the estimate and are subject to changes. The checklist will be attached to the PEAR.
Deliverable:
• Mitigation and Compliance Cost Estimate sheet
Subtask 2.4.17 Permits & Agreements Technical Memo
CONSULTANT shall identify all permits and agreements anticipated to be required from regulatory agencies and stakeholder agencies for inclusion the PEAR and PSR documents.
Subtask 2.4.18 PEAR Documentation
CONSULTANT shall prepare the PEAR document which will include a preliminary project statement of Purpose and Need, narrative description of the project alternatives, and will list the technical studies and recommendations for subsequent work needed in the PA/ED stage of project development. It will include recommendations on the type of environmental document for NEPA and CEQA compliance, and specific regulatory and permit requirements as well as an estimate of the costs and anticipated schedu le for environmental clearance. Preliminary mitigation and avoidance measures will be identified for the environmental, final design and construction phase and these costs will be estimated for inclusion in the PSR.
Consultant will prepare the PEAR in conformance with Caltrans SER standards and requirements and will conduct quality control reviews of all environmental technical reports prior to submittal to CITY.
Deliverable:
• Draft and Final PEAR and all Attachments
Task 2.5 – Project Study Report and Emergency Action Plan Subtask 2.5.1 Waterway Clearance Emergency Action Plan
Consultant will include a Waterway Clearance Emergency Action Plan and include it as an attachment in the PSR. The action plan shall lay out procedures to establish the full vertical clearance required by the U.S. Coast Guard in the event of mechanical failure of the bridge.
June 27, 2022
Oakland-Alameda Bike/Pedestrian Bridge
Project Initiation Document (PID)
Deliverable:
• Draft and Final Emergency Action Plan
Subtask 2.5.2: Draft and Final PSR
Consultant will prepare the Draft and Final PSR document in accordan ce with the format and content requirements of the PSR as defined in Appendix L of the Caltrans Project Development Procedures Manual (PDPM). The PSR will incorporate summary information from all the other studies and work tasks performed in the previous tasks.
Deliverable:
• Draft and Final PSR
Oakland-Alameda Bicycle/Pedestrian Bridge Project
Task # Description of Work Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget Hours Budget HNTB HNTB I&R I&R PacLeg PacLeg JRP JRP JMC JMC Earthview Earthview EMI EMI CD+A CD+A Baseline Baseline Kittleson Kittleson SGA SGA ARWS ARWS Eisen Eisen Winter Winter TOTAL TOTAL
1.0 Project Management 967.00 $ 244,842.19 10.00 $ 3,609.52 12.00 $ 1,777.64 9.00 $ 1,257.16 33.00 $ 5,367.11 6.00 $ 948.00 50.00 $ 11,817.31 66.00 $ 15,375.36 5.00 $ 1,013.20 150.00 $ 26,861.96 180.00 $ 30,659.74 16.00 $ 2,886.65 - $ - 875.00 $ 112,547.07 2,429.00 $ 471,462.91
1.1 Project Management & Administration 562.00 $ 138,898.97 - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - 562.00 $ 138,898.97
1.1.1 Prepare Project Work Plan 5 1,388.12$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 5.00 1,388.12$
1.1.2 Develop & Maintain QA/QC Program 41 8,176.69$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 41.00 8,176.69$
1.1.3 Project Controls & Administration 270 60,410.70$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 270.00 60,410.70$
1.1.6 Team Management & Coordination 200 58,144.58$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 200.00 58,144.58$
1.1.7 Prepare and Maintain a Risk Management Plan 28 8,309.17$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 28.00 8,309.17$
1.1.8 Maintain Project Records 18 2,469.70$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 18.00 2,469.70$
1.2 Project Meetings 325.00 $ 89,510.03 10.00 $ 3,609.52 12.00 $ 1,777.64 9.00 $ 1,257.16 33.00 $ 5,367.11 6.00 $ 948.00 50.00 $ 11,817.31 66.00 $ 15,375.36 5.00 $ 1,013.20 98.00 $ 18,615.71 76.00 $ 13,499.90 16.00 $ 2,886.65 - $ - 322.00 $ 44,340.59 1,078.00 $ 222,518.18
1.2.1 Internal Team Coordination Meetings (bi-weekly) 110 26,424.79$ 10 3,609.52$ 12 1,777.64$ 9 1,257.16$ 12 1,951.68$ 6 948.00$ 50 11,817.31$ 36 8,581.44$ 5 1,013.20$ 44 8,573.77$ 40 7,679.95$ 16 2,886.65$ 0 -$ 18 4,171.86$ 368.00 80,692.99$
1.2.2 NOT USED 0 -$ -$
1.2.3 Monthly PDT Meetings w/City of Alameda 81 22,848.58$ 0 -$ 0 -$ 0 -$ 21 3,415.44$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 102.00 26,264.02$
1.2.4 TAC Meetings (6 total) 36 11,265.77$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 30 6,793.92$ 0 -$ 30 5,672.11$ 0 -$ 0 -$ 0 -$ 0 -$ 96.00 23,731.79$
1.2.5 Stakeholder Outreach (as-needed, assumed 12 mtgs) 48 13,414.35$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 12 2,465.63$ 0 -$ 0 -$ 0 -$ 0 -$ 60.00 15,879.98$
1.2.6 Public Engagement Events (4 total) 40 11,431.33$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 12 1,904.20$ 36 5,819.94$ 0 -$ 0 -$ 304 40,168.73$ 392.00 59,324.21$
1.2.7 Political Advisory Committee (5 total) 10 4,125.22$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 10.00 4,125.22$
1.2.8 Funding Strategies 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 50 12,499.99$ 0 -$ 50.00 12,499.99$
1.3 Project Communications 80.00 $ 16,433.19 - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - 52.00 $ 8,246.24 104.00 $ 17,159.84 - $ - - $ - 553.00 $ 68,206.48 789.00 $ 110,045.76
1.3.1 Prepare and Maintain a Communication Plan 2 689.17$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 212 24,428.98$ 214.00 25,118.15$
1.3.2 Prepare materials for City presentations, TAC and other stakeholders 58 11,127.50$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 52 8,246.24 $ 104 17,159.84$ 0 -$ 0 -$ 106 14,232.48 $ 320.00 50,766.06$
1.3.3 Prepare/maintain project factsheet, web-page information & materials for public & elected 16 3,238.19$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 134 16,327.39 $ 150.00 19,565.59$
1.3.4 Online Survey 4 1,378.33$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 101 13,217.63$ 105.00 14,595.97$
2.0 Project Initiation Development 2,767.00 $ 545,013.68 44.00 $ 11,087.90 56.00 $ 9,169.80 94.00 $ 9,775.75 70.00 $ 9,828.98 20.00 $ 3,160.00 186.00 $ 34,688.31 560.00 $ 85,062.26 44.00 $ 8,979.46 294.00 $ 49,104.17 598.00 $ 90,548.97 152.00 $ 22,117.34 - $ - - $ - 4,885.00 $ 878,536.62
2.01 Review Existing Data, Identify and Collect New Data 46 7,860.55$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 42 7,145.35$ 0 -$ 8 1,599.39$ 16 2,759.98$ 0 -$ 0 -$ 0 -$ 112.00 19,365.26$
2.02 Site Visits 48 11,547.41$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 40 7,219.60$ 0 -$ 8 1,454.67$ 0 200.00$ 0 -$ 0 -$ 0 -$ 96.00 20,421.68$
2.03 Define Project Boundary 8 1,666.69$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 8.00 1,666.69$
2.04 Problem identification/deficiencies 38 9,463.52$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 38.00 9,463.52$
2.05 Draft Purpose & Need Statement 24 5,441.62$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 24.00 5,441.62$
2.1 Alternative Screening 319.00 $ 83,327.74 - $ - - $ - - $ - - $ - - $ - - $ - 214.00 $ 33,853.03 - $ - 50.00 $ 9,793.91 390.00 $ 58,629.33 - $ - - $ - - $ - 973.00 $ 185,604.00
2.1.1 Develop Design Standards 21 4,961.11$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 54 7,751.75$ 0 -$ 12 2,738.87$ 64 9,479.89$ 0 -$ 0 -$ 0 -$ 151.00 24,931.62$
2.1.2 Prepare Base Maps 27 7,075.83$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 120 17,839.79$ 0 -$ 0 -$ 0 -$ 147.00 24,915.62$
2.1.3 Concept Development 131 34,080.17$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 68 11,279.53$ 0 -$ 28 5,094.89$ 192 29,219.67$ 0 -$ 0 -$ 0 -$ 419.00 79,674.26$
2.1.4 Complete Streets/Context-sensitive-solutions 24 4,820.98$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 54 8,439.35$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 78.00 13,260.33$
2.1.5 Alternative Screening 116 32,389.65$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 38 6,382.40$ 0 -$ 10 1,960.15$ 14 2,089.98$ 0 -$ 0 -$ 0 -$ 178.00 42,822.18$
2.2 Bike/Pedestrian 16.00 $ 4,226.30 - $ - - $ - - $ - - $ - - $ - - $ - 48.00 $ 7,329.27 - $ - 196.00 $ 29,874.82 - $ - - $ - - $ - - $ - 260.00 $ 41,430.39
2.2.1 Data Collection 3 900.32$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 6 952.10$ 0 -$ 0 -$ 0 -$ 0 -$ 9.00 1,852.43$
2.2.2 Approach & Methodology Memo 7 1,525.33$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 56 8,938.41$ 0 -$ 0 -$ 0 -$ 0 -$ 63.00 10,463.73$
2.2.3 Existing Conditions 3 900.32$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 48 7,329.27$ 0 -$ 34 4,889.17$ 0 -$ 0 -$ 0 -$ 0 -$ 85.00 13,118.76$
2.2.4 Active Transportation and Methodology memo 3 900.32$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 100 15,095.15$ 0 -$ 0 -$ 0 -$ 0 -$ 103.00 15,995.47$
2.3 Preliminary Studies 1,253.00 $ 226,896.23 - $ - - $ - - $ - - $ - - $ - 186.00 $ 34,688.31 216.00 $ 29,515.03 - $ - 32.00 $ 6,381.37 192.00 $ 28,959.67 152.00 $ 22,117.34 - $ - - $ - 2,031.00 $ 348,557.95
2.3.1 Scoping Checklists 25 6,159.20$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 25.00 6,159.20$
2.3.2 Alternative Development 142 25,692.32$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 30 5,115.38$ 0 -$ 32 6,381.37$ 152 22,839.74$ 0 -$ 0 -$ 0 -$ 356.00 60,028.80$
2.3.3 Urban Design/Landscaping 2 825.04$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 186 24,399.65$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 188.00 25,224.69$
2.3.4 Structures Advance Planning Studies 821 134,817.87$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 40 6,119.93$ 0 -$ 0 -$ 0 -$ 861.00 140,937.80$
2.3.5 Structures Preliminary Geotechnical Recommendations Report 9 3,190.47$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 108 20,172.80 $ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 117.00 23,363.27$
2.3.6 District Preliminary Geotechnical Report 5 1,801.50$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 78 14,515.51$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 83.00 16,317.00$
2.3.7 NOT USED 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ - -$
2.3.8 Design Standards Risk Assessment 52 9,089.04$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 52.00 9,089.04$
2.3.9 Storm Water Data Report 40 11,715.39$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 40.00 11,715.39$
2.3.10 Right of Way Data Sheets 2 656.42$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 152 22,117.34$ 0 -$ 0 -$ 154.00 22,773.76$
2.3.11 Constructability 22 7,149.62$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 22.00 7,149.62$
2.3.12 Transportation Planning Scoping Information Sheet (TPSIS) 18 3,631.35$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 18.00 3,631.35$
2.3.13 Complete Streets Decision Document (CSDD) 11 2,272.49$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 11.00 2,272.49$
2.3.14 Risk Register 21 4,671.54$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 21.00 4,671.54$
2.3.15 Cost Estimates 83 15,223.98$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 83.00 15,223.98$
2.4 Preliminary Environmental Analysis Report (PEAR) 774.00 $ 142,028.14 44.00 $ 11,087.90 56.00 $ 9,169.80 94.00 $ 9,775.75 70.00 $ 9,828.98 20.00 $ 3,160.00 - $ - - $ - 44.00 $ 8,979.46 - $ - - $ - - $ - - $ - - $ - 1,102.00 $ 194,030.02
2.4.1 Prepare Technical Studies & Conduct Field Visit 8 1,845.76$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 8.00 1,845.76$
2.4.2 Hydrology & Floodplain 50 8,416.37$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 50.00 8,416.37$
2.4.3 Water Quality 50 8,416.37$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 50.00 8,416.37$
2.4.4 Noise/ Vibration/ HydroAcoustics 5 1,107.67$ 24 6,539.65$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 29.00 7,647.32$
2.4.5 Air Quality/Green House Gases 4 922.88$ 14 3,128.05$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 18.00 4,050.93$
2.4.6 Biological Resources 12 2,416.40$ 0 -$ 0 -$ 0 -$ 40 4,949.79$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 52.00 7,366.18$
2.4.7 Cultural Resources ( Archaeology and Architectural History) 3 738.09$ 0 -$ 56 9,169.80 $ 84 8,514.73$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 143.00 18,422.61$
2.4.8 Paleontological Resources 2 369.59$ 0 -$ 0 -$ 0 -$ 0 -$ 20 3,160.00$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 22.00 3,529.59$
2.4.9 Hazardous Materials/Waste 3 646.23$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 38 7,750.96$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 41.00 8,397.19$
2.4.10 Sea Level Rise 60 11,744.31$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 60.00 11,744.31$
2.4.11 Visual/Aesthetics 58 10,603.20$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 58.00 10,603.20$
2.4.12 Community Impacts/Land Use/ Growth/ EJ/Section 4(f) 37 7,081.98$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 37.00 7,081.98$
2.4.13 Geology Soils Seismic and Topography 2 313.41$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 2.00 313.41$
2.4.14 Energy and Climate Change 30 5,163.91$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 30.00 5,163.91$
2.4.15 Cumulative Impacts 10 1,847.94$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 10.00 1,847.94$
2.4.16 Mitigations Assessment 28 5,555.90$ 6 1,420.19$ 0 -$ 10 1,261.02$ 30 4,879.19$ 0 -$ 0 -$ 0 -$ 6 1,228.50$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 80.00 14,344.81$
2.4.17 Permits & Agreements 22 4,687.92$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 22.00 4,687.92$
2.4.18 PEAR Documentation 390 70,150.22$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 390.00 70,150.22$
2.5 Project Study Report 241.00 $ 52,555.48 - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - - $ - 241.00 $ 52,555.48
2.5.1 Waterway Clearance Emergency Action Plan 8 2,288.45$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 8.00 2,288.45$
2.5.2 Draft and Final PSR 233 50,267.04$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 0 -$ 233.00 50,267.04$ TOTAL 3,734.00 789,856$ 54.00 14,697$ 68.00 10,947$ 103.00 11,033$ 103.00 15,196$ 26.00 4,108$ 236.00 46,506$ 626.00 100,438$ 49.00 9,993$ 444.00 75,966$ 778.00 121,209$ 168.00 25,004$ - -$ 875.00 112,547$ 7,314.00 1,350,000$ % of Total Hours/Budget 51.05% 58.51% 0.74% 1.09% 0.93% 0.81% 1.41% 0.82% 1.41% 1.13% 0.36% 0.30% 3.23% 3.44% 8.56% 7.44% 0.67% 0.74% 6.07% 5.63% 10.64% 8.98% 2.30% 1.85% 0.00% 0.00% 11.96% 8.34% 100.00% 100.00% Budget %
Total 1,350,000$ 100%
LBE 1,296,573$ 96.04%
SLBE 430,751$ 31.91%
VSLBE 348,294$ 25.80%
Exhibit B
ALAMEDA COUNTY TRANSPORTATION COMMISSION
LOCAL BUSINESS CONTRACT EQUITY PROGRAM
Adopted December 7, 2017
Exhibit C
i
TABLE OF CONTENTS
TABLE OF CONTENTS ................................................................................................................................................................... I SECTION I. POLICY ............................................................................................................................................................................ 1 A. Policy Statement ...................................................................................................................................................................... 1 B. Background ............................................................................................................................................................................ 1 C. Applicability ........................................................................................................................................................................... 2 SECTION II. PROGRAM IMPLEMENTATION .......................................................................................................................... 2 A. LBE, SLBE and VSLBE Goals and Participation ............................................................................................................ 2 B. Waiver of Goals ..................................................................................................................................................................... 4 C. Use of Sponsor Agency Local Business Preference Program ..................................................................................................... 4 D. Certification ............................................................................................................................................................................ 4 E. Status Monitoring and Reporting ............................................................................................................................................ 7 F. Program Compliance ............................................................................................................................................................... 8 G. Program Outreach ................................................................................................................................................................... 8 SECTION III. REPORTING AND OTHER REQUIREMENTS .............................................................................................. 9 A. Reporting Requirements .......................................................................................................................................................... 9 B. Records Maintenance .............................................................................................................................................................. 9 C. Prompt Payment ................................................................................................................................................................... 10 D. Penalties and Sanctions ......................................................................................................................................................... 10 E. Program Review .................................................................................................................................................................... 11 F. Severability ........................................................................................................................................................................... 11 G. Confidentiality ...................................................................................................................................................................... 11 APPENDICES ....................................................................................................................................................................................... 12 APPENDIX A. DEFINITIONS ........................................................................................................................................................ 13 APPENDIX B. RESPONSIBILITIES OF SPONSOR AGENCIES ......................................................................................... 17 APPENDIX C. GOOD FAITH EFFORTS FOR CONSTRUCTION CONTRACTS ......................................................... 18 A. Good Faith Efforts Criteria ................................................................................................................................................. 18 B. Good Faith Efforts Review ................................................................................................................................................... 19 APPENDIX D. RESPONSIBILITIES OF LBCE LIAISON OFFICER .................................................................................. 20
1 SECTION I. POLICY
A. Policy Statement
The Alameda County Transportation Commission (Alameda CTC) has established this Local Business Contract Equity (LBCE) Program to create economic growth and jobs within Alameda County by requiring local contracting that supports residents and business es in Alameda County. The LBCE Program helps to identify and engage the participation of Local Business Enterprise (LBE), Small Local Business Enterprise (SLBE) and Very Small Local Business Enterprise (VSLBE) firms located in Alameda County on applicable contracts as specified in Section I.C (Applicability).
Further, the LBCE Program contributes to the overall economic vitality of the County by:
1. Encouraging businesses to locate and remain in Alameda County;
2. Providing employment opportunities for residents of Alameda County; and
3. Generating economic activity and stimulating the local economy.
B. Background
The Alameda County Transportation Authority (ACTA) adopted a Local Business and Minority/Woman-Owned Business Enterprise Construction P rogram in 19 95 as part of the first Measure B program. The initial goal of the program was to ensure participation of local firms as well as minority- and women-owned businesses. Over the years, the program evolved to reflect changes in statutes and court rulings associated with contract equity issues at both the state and federal levels.
In 2000 and 2001, ACTA formally adopted an LBE/SLBE Program with the specific purpose of encouraging businesses of all sizes to locate and remain in Alameda County, employ County residents, and spend Measure B funds for goods and services within Alameda County.
In 2007, ACTA and the Alameda County Transportation Improvement Authority (ACTIA), the agency created to administer the 2000 Measure B sales tax, jointly adopted a Local Business Contract Equity Program as a replacement for the earlier LBE/SLBE Program, extending its application to VSLBE firms and incorporating other policy changes designed to improve and facilitate implementation of the program.
In July 2010, Alameda CTC was created by the merger of the Alameda County Congestion Management Agency (ACCMA) and ACTIA, to streamline operations, eliminate redundancies , and save taxpayers’ dollars. Alameda CTC is responsible for administering the sales tax Expenditure Plans, including contract ov ersight, policy direction, financing, investment management, and coordinati on of projects with regional transit and transportation agencies and other project sponsors, as required.
In November 2010, Alameda County voters approved the Measure F Alameda Cou nty Vehicle Registration Fee (VRF) program. The goal of the VRF program is to sustain the county’s transportation network and reduce traffic congestion and vehicle-related pollution.
In November 2014, Alameda County voters approved Measure BB, augment ing and extending the existing transportation sales tax to fund implementation of a 30-year Transportation Expenditure Plan through 2045.
The funds produced by Measure B , Measure BB and the VRF provide significant dollars in transportation-related contracts for Alameda County -based firms. It is Alameda CTC’s objective to identify and include qualified Alameda County -based businesses in the purchases of goods and
2 services required by the Alameda CTC and its Sponsor Agencies for area-wide transportation capital projects, local streets and roads, mass transit projects, bicycle and pedestrian safety, special transportation for seniors and people with disabilities, and other programs included in the Transportation Expenditure Plans.
C. Applicability
This LBCE Program applies to contracts in excess of $25,000, in accordance with both Paragraphs 1 and 2 below:
1. Fund Source. This LBCE Program applies to contracts which are funded either:
a. Solely by VRF, Measure B and/or Measure BB funds, or b. In part by VRF, Measure B, and/or Measure BB funds in combination with other local funds.
The LBCE Program does not apply to contracts that include state and/or federal funds.
2. Contract Type. This LBCE Program applies to contracts which are either:
a. Administered by Alameda CTC, or
b. Related to, or in support of, a Sponsor Agency-administered capital project.
The applicable goals are specified in Section II.A (LBE, SLBE and VSLBE Goals and Participation).
This LBCE Program is intended to be consistent with the Alameda CTC’s Procurement Policy, which may be updated and approved by the Commission as necessary.
This LBCE Program is neutral as to race, religion, color, ethnicity, national origin, age, sex, physical handicap, sexual orientation, and any other characteristic protected by law.
SECTION II. PROGRAM IMPLEMENTATION
A. LBE, SLBE and VSLBE Goals and Participation
An LBE, SLBE or VSLBE contract goal is a percentage of the total contract amount that is expected to be performed by the firms with the corresponding certification . LBE, SLBE, and VSLBE firms must be certified prior to submission of any bid or proposal to be counted towards mee ting the applicable LBE, SLBE, and/or VSLBE goals.
1. Summary of Goals
TABLE 1: SUMMARY OF GOALS
Type of Contract LBE SLBE1 VSLBE2
Contract over $75,000
Construction 60.0% 20.0% N/A
Professional Services 70.0% 30.0% N/A
Contract greater than $25,000 and equal to or less than $75,000 Construction N/A N/A N/A
Professional Services N/A N/A 30.0%
1. SLBE participation also counts toward fulfilling the LBE goal.
2. VSLBE participation also counts toward fulfilling the LBE and SLBE goals.
3 2. Applicable Credits for Contract Award
During the selection process for contract award of professional service s contracts, the ability to meet or exceed LBE, SLBE and/or VSLBE goals shall yield applicable credits as follows:
• LBE and SLBE Goals: F ive percent (5 .0%) of the total evaluation points for each goal, for a total of ten percent (10.0%).
• VSLBE Goal: Twenty percent (20.0%) of the total evaluation points.
3. LBE Goals
The LBE goals for contracts over $75,000 are as follows:
• Sixty percent (60.0%) on construction contracts, and
• Seventy percent (70.0%) on professional services contracts.
Participation of businesses that are certified as LBE, SLBE, or VSLBE count toward fulfilling a LBE contract goal.
The LBE goal for construction contracts can be met through the p articipation of certified prime and/or subcontractor(s). A bidder that fails to meet the LBE goal on a construction contract shall not be awarded the contract unless the Good Faith Effort s (GFE) requirements are met (see Appendix C).
The LBE goal for professional services contracts can be met through the participation of certified prime and/or subcontractor(s). A proposer that fails to meet the LBE goal shall not receive the applicable credit of five percent (5.0%) of the total evaluation points during the selection process.
4. SLBE Goals
The SLBE goals for contracts over $75,000 are as follows:
• Twenty percent (20.0%) on all construction contracts, and • Thirty percent (30.0%) on all professional services contracts.
Participation of businesses that are cert ified as SLBE or VSLBE count toward fulfilling a SLBE contract goal.
The SLBE goal for construction contracts can be met through the participation of certified prime and/or subcontractor(s). A bidder that fails to meet the SLBE goal on a construction contract shall not be awarded the contract unless the GFE requirements are met (see Appendix C).
The SLBE goal for professional services contracts can be met through the participation of certified prime and/or subcontractor(s). A proposer that fails to meet the SLBE goal shall not receive the applicable credit of five percent (5.0%) of the total evaluation points during the selection process.
5. VSLBE Goal
The VSLBE goal of thirty percent (30.0%) applies to professional services contracts greater than $25,000 and equal to or less than $75,000.
The VSLBE goal can be met through the participation of certified prime and/or subcontractor(s).
A proposer that fails to meet the VSLBE goal shall not receive the applicable credit of twenty percent (20.0%) of the total evaluation points during the selection process.
4 B. Waiver of Goals
In some cases, a request may be made to waive the LBE and/or SLBE goals due to extremely limited subcontracting opportunities for LBE and/or SLBE firms, lack of interested LBE and/or SLBE firms in the geographic area in which work is to be performed, or other reasons. Alameda CTC or the Sponsor Agency may recommend that a contract be advertised without LBE and/or SLBE goals, and such recommendation must be reviewed and approved by the Commission. Before making a recommendation to waive the goals, the following due-diligence steps must be completed:
1. Define the draft scope of work, items of work and estimated value of work items.
2. Review Alameda CTC certification database , and the certification database of partner certifying agencies, for certified businesses that are willing and able to perform the listed items of work.
3. Conduct focused outreach to identify Alameda County businesses, whether certified or eligible for certification, that are willing and able to perform the listed items of work.
4. Post the “Intent to Waive Goals” notice and the description of the draft scope o f work and items of work on Alameda CTC ’s website at least forty-five ( 45) calendar days before advertising the contract to allow any LBE, SLBE and/or VSLBE firms to notify Alameda CTC of their interest and ability to perform such work.
If Alameda CTC determines that, after completing the steps listed above, there is an insufficient number of LBE and/or SLBE firms willing and able to perform the items of work, a recommendation shall be submitted to the Commission for permission to advertise without one or both goals. Alameda CTC’s report to the Commission shall contain a detailed description of the steps taken to identify any LBE, SLBE and/or VSLBE firms to perform the items of work.
C. Use of Sponsor Agency Local Business Preference Program A Sponsor Agency may request to use its own local business preference program in lieu of this LBCE Program if such program has been formally adopted by the Sponsor Agency’s governing body . A Sponsor Agency’s request to use its own local business program must include a copy of the program and evidence of the governing body’s adoption of such program. Substitution of the LBCE Program must be approved in writing by the LBCE Liaison Officer prior to advertisement of the contract.
D. Certification
1. Eligibility
For a business (e.g., non-profit, sole proprietorship, partnership, corporation, or joint venture) to be eligible for certification under this LBCE Program, it must meet or exceed all applicable criteria set forth below:
• LBE Criteria
a. Hold a valid business license issued by Alameda County or a city within Alameda County for at least six (6) months prior to certification date; b. Be located and fully operational at a fixed place of business within Alameda County where administrative, clerical, professional, and other productive work is continuously performed relative to its commercial contracts for at least six (6) months prior to the certification date, with two types of evidence of maintaining a working office at such
5 business address: (1) proof of a prior or c urrent fully executed contract containing such business address, and (2) a lease agreement or proof of ownership of real property for the fixed place of business (a temporary, mobile or virtual office, project work station, telephone answering and/or mail service in an office suite, post office box or address, etc., do not constitute a fixed place of business location); c. Have a minimum of one full -time equivalent employee staffing the Alameda County office, if the business has one or more offices located outside of Alameda County; d. Be bona fide with real and continuing business activities and ownership interests which are not created merely for the purpose of meeting the objectives of the LBCE Program; and
e. Be economically independent, perform commercially use ful functions , and have a customer base (a business acting as a passive conduit rather than contributing a value added or actual portion of the work performed does not qualify for certification). • SLBE Criteria
a. Meet all LBE Criteria; and
b. Have annual gross revenue, averaged over the most recent three (3) tax years, that does not exceed the current small business size standard for its principal business activity code as established by the U.S. Small Business Administration (SBA) and available on the SBA website.
• VSLBE Criteria
a. Meet all SLBE Criteria; and
b. Have annual gross revenue, averaged over the most recent three (3) tax years, that does not exceed $3,500,000.
2. Certification Process
Businesses must submit a valid and complete application, with all required forms and documentation, in accordance with application instructions. Alameda CTC may conduct a site visit before certifying the firm , and at any time during the term of the certification as it may be extended. The application processing period is approximately thirty (30) calendar days from the date a valid and complete application is received by Alameda CTC. Alameda CTC certifications shall be valid for up to two (2) years from the last day of the month in which the certification was granted.
3. Recertification Process
Certifications must be renewed biennially by submitting a valid and complete recertification application, with a ll required forms and documentation, in accordance with application instructions. If a firm’s certification lapses, that firm must follow the Certification Process to again be certified under this LBCE Program.
4. Certification Denial Appeals
A firm that is found to be ineligible for certification under the LBCE Program may make a written appeal within ten (10) calendar days of the notice of determination. Written appeals must be addressed to the LBCE Liaison Officer, and must include any evidence that might refute the original finding. The LBCE Liaison Officer will conduct an investigation, and review all records
6 used in making the determination, along with the written appeal. The LBCE Liaison Officer will present findings and make a recommendation to the Executive Director for action. The Executive Director will render a final determination within thirty (30) calendar da ys of receiving the appeal, and such determination shall be final.
5. Status Changes
A firm that no longer meets the certification requirements will be subject to decertification.
Changes to eligibility criteria may result in status changes from one certification category to another. Alameda CTC shall inform such firms of any such changes to status or decertification. A certified firm shall promptly notify Alameda CTC in writing of any change in circumstances affecting such firm’s ability to meet size, certification status, ownership, or control requirements or any material change in the information provided in its application form.
6. Investigations of Any Challenges to LBE, SLBE, or VSLBE Status Alameda CTC may investigate any written communication s challenging the validity of a certification status of a business. The communication must clearly outline the reason (s), and include any evidence, on which the validity of a certification is questioned. If an investigation determines that a firm was properly certified but is no longer eligible, Alameda CTC will adjust or cancel the certification pursuant to the Status Changes provisions above. Any firm determined to have knowingly made, used, or caused to be made or used a false record, information or statement to secure its status as an LBE, SLBE or VSLBE will be decertified and sanctions will be imposed.
Sanctions may include, but are not limited to:
a. Banning of the business from bidding, working or providing goods and services on all Alameda CTC contracts for a period of three (3) years;
b. Ineligibility, if applicable, as an LBE, SLBE, and VSLBE for the purposes of all contracts projects, and programs , including subcontracting and joint ventures, under this LBCE Program for a period of three (3) years;
c. Referral of the matter to legal counsel for determination as to refer complaint to the District Attorney for criminal prosecution; and
d. Any other penalty available by law or in equity.
Any violations found after awarding a contract will be considered a material breach of contract and Alameda CTC may, at its option, consider the contract null and void; recover any and all damages; and immediately implement penalties. Alameda CTC shall inform such firms, and may advise partner certifying agencies of any status changes, including decertification and debarment.
7. Decertification Appeals
If a firm disputes a certification status change or decertification following an investigation, that firm may appeal the finding by submitting a written appeal within ten (10) calendar days after Alameda CTC’s issuance of the notice of the results of the investigation. Written appeals must be addressed to the LBCE Liaison Officer , and must include any evidence that might refute the original finding. The LBCE Liaison Officer will review all records used in making the determination, along with the written appeal. The LBCE Liaison Officer will present findings and make a recommendation to the Executive Director for action. If the Executive Director finds that the status change or decertification was valid, the matter will be presented to the Commission for a final determination, and such determination shall be final. If, however, the Executive Director
7 finds that the appeal is valid, the Executive Director shall rescind the certification status change or decertification.
E. Status Monitoring and Reporting
1. Measurement
Only the value of the work actually performed by LBE, SLBE and /or VSLBE firms will be counted towards the applicable goals. Alameda CTC will count expenditures to LBE, SLBE and/or VSLBE firms when the firm is performing a Commercially Useful Function on that contract. The entire amount of that portion of a contract that is performed by the LBE , SLBE, and/or VSLBE firm’s own workforce will be counted. This includes the cost of equipment, supplies, and materials obtained by the LBE, SLBE and/or VSLBE firms for work on the contract.
Alameda CTC or its Sponsor Agency will evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing, as well as the c redit claimed for its performance of the work, and other relevant factors in determining whether a business is performing a Commercially Useful Function.
When a business is presumed to not be performing a Commercially Useful Function, the business may present evidence to rebut this presumption. Alameda CTC or the Sponsor Agency will make the final determination whether the firm is performing a Commercially Useful Function given the type of work involved, normal industry practices, and the evidence presented.
2. Participation Requirements
When a firm loses or changes its certification status after contract award, the participation of such firm shall continue to count toward the goal(s) based on its certification status as reported at the time of the contract awa rd. However, any additio nal work given to a firm through a contract amendment after it has lost its certification, shall not count towards the applicable goal.
3. Joint Ventures
For joint ventures, Alameda CTC will count the total participation dollar value (participation ratio times the total project cost) of the LBE, SLBE , and/or VSLBE contract(s) equal to the distinct, clearly defined portion of the work of the contract that the LBE, SLBE, and/or VSLBE performs toward the goals. The participation ratio will be based on the average of LBE , SLBE, and/or VSLBE revenue share and the profit share, if different, attributed to the LBE, SLBE , and/or VSLBE. When a joint venture subcontracts part of the work on its contract to another firm, the value of the subcontracted work may be counted toward the LBE, SLBE, and/or VSLBE goal if the subcontractor(s) are certified as such. Work on s ubcontracts to non -certified firms do not count toward the LBE, SLBE, and/or VSLBE goals.
The dollar amount of the joint venture to be counted towards the goals for LBE, SLBE and/or VSLBE participation, is calculated using the following formula:
Dollar value of
joint venture
contract
X
Percent of LBE/SLBE/VSLBE joint
venture financial participation in the
contract
=
Dollar value of joint
venture contract
applicable to goals
8 Whenever a joint venture involves LBE, SLBE, and/or VSLBE firms, the prime contractor shall provide Alameda CTC with the basis for creation of the joint venture, the responsibilities of each of the parties, and a full account of the LBE, SLBE, and/or VSLBE participation of each of the parties. Such joint venture shall ensure that the participating LBE, SLBE, and/or VSLBE have a commensurate share of the profit or loss to be realized from the joint venture. The agreement establishing the joint venture shall be in writing. Alameda CTC shall have the right to review the joint venture agreement and determine if such arrangement is within the requirements and intent of this LBCE Program.
F. Program Compliance
All prime contractors shall take all necessary and reasonable measures to achieve the LBE, SLBE, and/or VSLBE participation commitment established in the contract by the completion of the contract. Any modification to the original participation level shall be approved by Alameda CTC.
Any substitution of LBE, SLBE, and/or VSLBE subcontractor(s) must be approved in writing beforehand by Alameda CTC, or by the Sponsor Agency with written consent from Alameda CTC. If an LBE, SLBE, and/or VSLBE subcontractor is unable to perform successfully, such subcontractor shall be replaced and the Sponsor Agency , or the prime contractor , shall notify Alameda CTC and respectively seek written consent or approval to substitute such subcontractor . Alameda CTC may investigate the circumstances surrounding the request for substitution. The prime contractor shall make its best effort to replace the original LBE, SLBE, or VSLBE with another firm that shall count toward the same participation (e.g., an LBE firm may be substituted by an LBE, SLBE or VSLBE).
Alameda CTC and its Sponsor Agencies shall monitor compliance with the requirements of this LBCE Program during the term of the contract. If Alameda CTC or its Sponsor Agency determines that a prime contractor or subcontractor has failed to comply with the LBCE Program, Alameda CTC or its Sponsor Agency shall notify the contractor to remedy any such failure(s). Alameda CTC may require reports, information, and documentation from prime contrac tors, subcontractors, bidders, and the Sponsor Agency, as reasonably necessary, to determine compliance with this LBCE Program. Alameda CTC may hold a hearing to evaluate potential non-compliance issues. While the evaluation points for meeting the LBE, SLB E and/or VSLBE goals are applied during the selection process, t here is no requirement that any particular goal be met on non-construction contracts. Similarly, participation falling short of the overall goal on construction contracts shall not be considered non-compliant if the bidder made Good Faith Efforts to meet the goals.
G. Program Outreach
Alameda CTC will use the following means to increase LBE, SLBE, and VSLBE participation:
1. Hold periodic workshops to inform businesses of upcoming contract and business networking opportunities.
2. Provide information on contracting processes and specific contract opportunities (e.g., make an effort to ensure: inclusion of LBE, SLBE, and/or VSLBE firms on contracting opportunity mailing lists; dissemination of the list of potential subcontractors to bidders regarding prime contracts; and make information available in languages other than English, as appropriate).
3. To the extent practicable, unbundle large contracts to make them more accessible to small businesses.
9 4. Encourage prime contractors to subcontract portions of work that they might otherwise perform with their own workforce.
5. Provide assistance to Sponsor Agencies during bid evaluations and with ways to achieve LBCE Program goals.
6. Employ robust contract compliance measures to ensure that prime contractor commitments to LBE, SLBE, and/or VSLBE firms are met.
SECTION III. REPORTING AND OTHER REQUIREMENTS
A. Reporting Requirements
Alameda CTC shall submit an LBCE Utilization Report to the Commission on an annual basis. The report shall include expenditures made by Alameda CTC and its Sponsor Agencies to LBE, SLBE, and VSLBE firms during the reporting period. The expenditures will show award amount and payments to the prime contractors and their respective subcontr actors by contract type ( e.g., construction contract or professional services contract) and certification status.
The Sponsor Agencies shall provide this information on a semi -annual basis or when requesting reimbursement from Alameda CTC , whichever occurs first, regardless of whether or not such contracts are subject to the LBCE Program goal requirements . The information shall list the total payments made on each active contract during the reporting period, in addition to awards, modifications, and payments to all LBE, SLBE, VSLBE prime and subcontractors at all tiers of the contract.
B. Records Maintenance
The awarding agency (Alameda CTC or its Sponsor Agency) shall maintain accurate records for each contract awarded. The records shall include dollar values, the nature of the goods or services to be provided, the name of the prime contractor to which the contract was awarded, and the effort the prime contractor employed to solicit bids from LBE, SLBE and /or VSLBE firms. In addition, the information shall include all subcontracts awarded by the prime contractor identifying for each subcontractor the dollar value, the nature of the goods or services provided, and the name of the subcontractor.
All prime contractors are required to maintain certain records and documents for a period of five (5) years after Alameda CTC ’s payment of the final invoice . These records will be made available for inspection upon request by an authorized representative of Alameda CTC and shall inclu de the following:
1. The name and address of each first-tier subcontractor;
2. The name and business address, regardless of tier, of every LBE, SLBE and/or VSLBE subcontractor;
3. The date of payment and the total dollar amount paid to each subcontractor; and
4. The date of work performed by their own workforce along with the corresponding dollar value of the work claimed toward the applicable LBCE goal.
10 C. Prompt Payment
The prime contractor shall be paid within thirty (30) calendar days of submitting a valid and complete invoice with all required supporting documentation. Accompanying the request for payment, a prime contractor will submit a Payment Request Form summarizing payments due.
When paying the prime contractor, Alameda CTC or its Sponsor Agency will include a Payment Request Form that reflects all approved items. Prime contractors shall include an exact copy of this Payment Request Form with each payment to subcontractors.
The prime contractor shall submit acceptable subcontractors’ invoices with each Payment Request Form no later than thirty (30) calendar days after receipt of such invoices from its subcontractors.
Alameda CTC or its Sponsor Agency shall ensure that the clause(s) regarding prompt payment will be included in each contract subject to this LBCE Program, per Alameda CTC’s Sample Contract Language requirements.
D. Penalties and Sanctions
When a contract subject to this LBCE Program is awarded and Alameda CTC and/or Sponsor Agency has cause to believe that any bidder, prime contractor, or subcontractor has willfully failed to comply with any of the provisions of this LBCE Program, either Alameda CTC or the Sponsor Agency may conduct an investigation. In order to complete its investigation, Alameda CTC or Sponsor Agency may require reports, information and documentation from bidders, prime contractors, subcontractors, and/or the Sponsor Agency, as are reasonably necessary to determine compliance with the requirements of this LBCE Program.
Based on this investigation, if Alameda CTC, or the Sponsor Agency with the advice and consent of Alameda CTC, finds non-compliance, the investigating entity will provide the bidder or prime contractor with written notice that a determination of non-compliance has been made. The recipient of such written notice shall reply within thirty (30) calendar days concerning whether it wishes to file a protest of the determination. Alameda CTC or the Sponsor Agency shall review the protest for at least thirty (30) calendar days, but not more than one hundred twenty (120) calendar days from the date the protest is received. Alameda CTC or the Sponsor Agency may extend the review period for up to thirty (30) calendar days for good cause, consistent with applicable statutes.
The sanctions that may be imposed for each violation of this LBCE Program are as follows:
1. Imposing a fine;
2. Suspending the contract until violation is remedied;
3. Terminating the contract; and
4. Disqualifying the bidder, contractor, subcontractor or other business from eligibility for providing goods or services to Alameda CTC for a period of up to three (3) years.
The Alameda CTC or the Sponsor Agency shall monitor the recipient’s implementation of the agreement terms to ensure compliance.
If a bidder, prime contractor or subcontractor disputes a determination of non-compliance or any sanction imposed as a result of such a determination, the bidder, prime contractor or subcontractor may appeal Alameda CTC’s or the Sponsor Agency’s determination to the Commission. To be considered by the Commission, any such appeal must be submitted in writing to the LBCE Liaison
11 Officer and must be received within thirty (30) calendar days after issuance of the determination of non-compliance by Alameda CTC or the Sponsor Agency.
E. Program Review
This LBCE Program will be reviewed periodically by Alameda CTC. Alameda CTC may make changes to the LBCE Program as needed to implement the goals and objectives of the LBCE Program. Changes to the LBCE Program shall be submitted to the Commission for approval.
F. Severability
The provisions of this LBCE Program are declared to be separate and severable. The invalidity of any clause, sentence, paragraph, subdivision, section or portion of this LBCE Program, or the invalidity of the application thereof to any person or circumstances shall not affect the validity of the remainder of this LBCE Program, or the validity of its application to other persons or circumstances.
G. Confidentiality
Alameda CTC and its consultants shall safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with federal, state, and local law.
12 APPENDICES
APPENDIX A. DEFINITIONS ...................................................................................................................................................... 133 APPENDIX B. RESPONSIBILITIES OF SPONSOR AGENCIES ....................................................................................... 177 APPENDIX C. GOOD FAITH EFFORTS FOR CONSTRUCTION CONTRACTS ....................................................... 188 A. Good Faith Efforts Criteria ............................................................................................................................................... 188 B. Good Faith Efforts Review ................................................................................................................................................. 199 APPENDIX D. RESPONSIBILITIES OF LBCE LIAISON OFFICER .................................................................................. 20
13 APPENDIX A.
DEFINITIONS
The terms used in this LBCE Program are defined in the list below, in alphabetical order.
Alameda County Transportation Commission (Alameda CTC). Alameda CTC is a joint powers agency which plans, funds and delivers a broad spectrum of transportation projects and programs to enhance mobility throughout Alameda County, as the successor to three previous agencies: Alameda County Transportation Authority (ACTA), Alameda County Transportation Improvement Authority (ACTIA), and Alameda County Congestion Management Agency (ACCMA). Alameda CTC is responsible for the administration of voter-approved Measure B and Measure BB sales taxes and other local funds for transportation improvements and the Congestion Management Program in Alameda County.
Awarding Agency. Alameda CTC or a Sponsor Agency responsible for advertising, awarding and administering a contract.
Bid. A quote, proposal, or offer by a contractor to provide labor, material, goods and/or services to Alameda CTC or a Sponsor Agency for a specified price.
Capital Project. A capital project (as differentiated from a program) specifically listed in the Measure B or Measure BB Transportation Expenditure Plans, or an individual project to which the Commission uses its discretion to allocate Measure B, Measure BB or VRF funds to fund any portion of the development or construction of that project. Projects funded through Sponsor Agency’s direct local distribution funds are not included.
Certification. The process of granting a status to firms qualified in the LBCE Program through the submission of a completed application. A firm may qualify as an LBE, SLBE, or a VSLBE, which are further defined herein.
Certification List. List of certified LBE, SLBE, and VSLBE firms maintained by Alameda CTC and available to the public on Alameda CTC’s website.
Commercially Useful Function. A responsibility of a business for carrying out a piece of contract work by actually performing, managing, and supervising the work involved or providing the materials, equipment, or supplies to Alameda CTC or a Sponsor Agency as required by bid solicitation. To perform a Commercially Useful Function, a business must perform or exercise responsibility for at least thirty percent (30%) of the total cost of its contract with its own workforce, or the business must not subcontract a greater portion of the work than would be expected on the basis of normal industry practice for the type of work involved.
Commission. The governing body of Alameda CTC. The Commission is comprised of 22 members, with the following representation: All five Alameda County Supervisors, two representatives from the City of Oakland, one representative from each of the other 13 incorporated cities in Alameda County, one representative from the Alameda-Contra Costa Transit District, and one representative from the Bay Area Rapid Transit District.
14 Construction Contract. A legally binding agreement between Alameda CTC or a Sponsor Agency and a duly licensed person or firm to provide labor, materials, and/or equipment for Construction work.
Construction Work. Services performed by a duly licensed person or firm to build or construct structures, roadways, or roadway appurtenances for Alameda CTC or a Sponsor Agency.
Contract. A legally binding agreement obligating a seller to furnish goods or services (including, but not limited to, construction and professional services) and a buyer to pay for the goods or services.
Contractor/Consultant. A person or business entity with a current business license issued by a city or county that undertakes a contract to provide materials or labor to perform services or complete a job.
Fixed Place of Business. A fixed office, place, site, structure, or other similar facility, through which an individual or firm engages in a trade or business. For this purpose a fixed place of business shall include, but not be limited to, a designated office space; a factory; a store or sales outlet; or a workshop. A firm shall not be considered to have a fixed place of business merely because such individual or firm uses another person’s office or fixed place of business, if such trade or business activities are relatively sporadic or infrequent, taking into account what is normal industry practice for that trade or business.
Good Faith Efforts (GFE). The steps set forth in Appendix C of this LBCE Program undertaken to comply with the goals and requirements imposed by Alameda CTC for participation of LBE and SLBE firms as a subcontractor on construction contracts.
GFE Points. The evaluation methodology employed on a construction bid to determine if a business meets the LBE or SLBE goals or made an acceptable effort towards attaining the goals established.
Joint Venture. An association of two or more individuals or entities for the purpose of engaging in a specific business enterprise for profit.
Local Business Contract Equity (LBCE) Liaison Officer. Alameda CTC’s LBCE Liaison Officer is the agency representative primarily responsible for implementing all aspects of the LBCE Program.
Local Business Enterprise (LBE). An Alameda County business that meets LBE Criteria and is certified by the Alameda CTC.
LBE Goal. The targeted percentage of participation by LBE firms, as established by Alameda CTC, for contracts which are awarded by Alameda CTC and/or its Sponsor Agencies which are subject to this LBCE Program.
Measure B. The local initiatives approved by the voters of Alameda County in 1986 and 2000 to levy a one-half (1/2) cent sales and use tax on purchases within the County in order to finance certain transportation-related projects and programs as set forth in the Transportation Expenditure Plans that supported the measures which are incorporated by reference into this LBCE Program.
The measures authorized the creation of Alameda CTC’s predecessor agencies to administer the
15 implementation of Measure B. A copy of both Measure B documents, including the Transportation Expenditure Plans, are available at Alameda CTC’s office and on its website.
Measure BB. The local initiative approved by Alameda County voters on November 4, 2014, to levy a one-half (1/2) cent sales and use tax through March 31, 2022 and thereafter a one cent sales and use tax through March 31, 2045 on purchases within the County to finance certain capital transportation projects and programs as set forth in the 2014 Transportation Expenditure Plan which outlines essential transportation improvements in every city throughout Alameda County and is incorporated by reference into this LBCE Program. A copy of Measure BB documents, including the Transportation Expenditure Plan, are available at Alameda CTC’s office and on its website.
North American Industry Classification System (NAICS). The standardized system that classifies business establishments for the purpose of collecting, analyzing, and publishing statistical data related to the U.S. economy. The NAICS industry codes define establishments based on the activities in which they are primarily engaged.
Participation. Instance in which a prime contractor utilizes one or more LBE, SLBE, and/or VSLBE firms to meet Alameda CTC’s LBE and SLBE subcontracting requirements. Prime contractors may count towards its subcontracting goals only those expenditures to LBE, SLBE, and VSLBE firms that perform a Commercially Useful Function.
Partner Certifying Agencies. Alameda County certifying agencies which work cooperatively with Alameda CTC in its efforts to certify Alameda County businesses under the LBCE Program.
Prime Contractor/Prime Consultant. Any person(s), firm, partnership, corporation, or joint venture who submits a bid or proposal and/or enters into a contract with Alameda CTC or a Sponsor Agency to provide goods and/or perform construction or professional services. Prime contractors shall perform at least thirty percent (30.0%) of construction work or professional services on a contract.
Principal Business Activity Code. A code designed to classify an enterprise by the type of activity in which it is engaged to facilitate the administration of the Internal Revenue Code. The principal business activity codes are based on the North American Industry Classification System.
Professional Services. Labor, materials, or equipment for professional services including, but not limited to, architects, engineering and construction-related services.
Small Local Business Enterprise (SLBE). An LBE with annual gross revenues, averaged over the most recent three (3) tax years, that does not exceed the U.S. Small Business Administration (SBA) small business size standard for its principal business activity.
SLBE Goal. The targeted percentage of participation by SLBE firms, as established by Alameda CTC, for contracts awarded by Alameda CTC and/or its Sponsor Agencies which are subject to this LBCE Program.
Sponsor Agency. Any public entity receiving Measure B, Measure BB, VRF, and/or other local funds from Alameda CTC to implement projects. Please refer to Appendix B for Responsibilities of Sponsor Agencies.
16 Subcontractor/Subconsultant. Any individual, partnership, corporation, firm, or other legal entity entering into a contract with a prime contractor to perform a portion of the construction work or professional services under a contract with Alameda CTC or a Sponsor Agency, including but not limited to truckers, manufacturers, suppliers of goods and/or services, and owner-operators of equipment.
U.S. Small Business Administration (SBA) Small Business Size Standard. A small business size standard determined by the U.S. SBA that represents the largest the gross revenues of a business (including its subsidiaries and affiliates) may be and still remain classified as a small business. SBA has established a Table of Small Business Size Standards which is matched to the North American Industry Classification System (NAICS) for industries.
Vehicle Registration Fee (VRF). Alameda County VRF Program that was approved by the voters in November 2010. The fee generates revenues through a $10 per year vehicle registration fee.
Very Small Business Local Enterprise (VSLBE). An SLBE with annual gross revenue, averaged over the most recent three (3) tax years, which does not exceed $3,500,000.
VSLBE Goal. The targeted percentage of participation by VSLBE firms, as established by Alameda CTC, for contracts awarded by Alameda CTC and/or its Sponsor Agencies which are subject to this LBCE Program.
17 APPENDIX B.
RESPONSIBILITIES OF SPONSOR AGENCIES
Sponsor Agencies’ responsibilities for contracts that are subject to the LBCE Program are as follows:
1. Advertise, award and administer any professional services or construction contract on capital projects not performed by the Sponsor Agency’s own forces.
2. Include required provisions verbatim in the procurement document and subsequent contract for professional service and construction contracts (see Alameda CTC’s Sample Contract Language for sample language and requirements).
3. Invite Alameda CTC staff and/or consultants to participate as a voting member in the selection of professional consultants and furnish copies of the procurement documents (e.g., Request for Proposals and Invitation for Bids) and contracts to Alameda CTC for review prior to approval by the Sponsor Agency on contracts utilizing Alameda CTC funds.
4. Advertise, award, and administer the construction and utility relocation contracts for Capital Projects in accordance with the applicable requirements of the Local Agency Public Construction Act and the California Labor Code, including its prevailing wage provisions. The Sponsor Agency shall obtain applicable wage rates from the California Department of Industrial Relations and shall adhere to the applicable provisions of the California Labor Code. Violations shall be reported to the California Department of Industrial Relations.
5. Comply with Alameda CTC’s LBCE Program when selecting all professional consultants and construction contractors, unless the Sponsor Agency has received approval from Alameda CTC for the Waiver of Goals provisions or for the use of the Sponsor Agency’s own local business program.
6. Utilize applicable credits for evaluation when selecting all vendors on phases of the Capital Projects for non-construction contracts. In the event that LBE or SLBE goals are not met on construction projects, Sponsor Agency will require contractors and vendors to make GFE using the process set forth in this LBCE Program. In the event that LBE or SLBE goals are not met on professional services contracts, Sponsor Agency will ensure that evaluation criteria will be applied as set forth in this LBCE Program.
7. Work with Alameda CTC to achieve Alameda CTC’s objectives and clarify the required participation goals in the specific agreement in the event that the Sponsor Agency is bound by other mandated contract participation requirements.
8. On capital projects where the Sponsor Agency hires a consultant to administer a phase of the work funded by Alameda CTC, the Sponsor Agency will provide Alameda CTC with a list of prime contractors and subcontractors showing tasks and dollar values, and Progress Reports by project phase, when requesting reimbursement or on a semi-annual basis, whichever comes first.
These reports shall describe the following: current status of the capital project; actions and eligible costs expended or incurred since the last report; actions expected to be taken during the next month; an updated schedule with estimated completion timeframe; scope changes; capital project related issues; any unexpected legal, environmental, engineering or construction difficulties; notices of potential claim; business enterprise participation from prime contractors and first-tier subcontractors; and any additional relevant information requested by Alameda CTC.
18 APPENDIX C.
GOOD FAITH EFFORTS FOR CONSTRUCTION CONTRACTS
It is Alameda CTC’s intent and policy to fulfill its goals for LBE and SLBE participation. If a bidder fails to meet the LBE or SLBE goals, Alameda CTC must determine whether the bidder made GFE to meet the LBE and SLBE goals. Efforts that are merely pro forma shall not be deemed GFE.
Documentation of the contractor’s GFE shall be submitted within four (4) calendar days of bid opening if the bidder does not meet the LBE and/or SLBE goals.
A. Good Faith Efforts Criteria
The prime contractor’s GFE to reach out to LBE and SLBE firms shall be determined by the level of effort put into achieving the eight (8) measures outlined below. Failure to meet LBE and SLBE goals will not by itself be the basis for disqualification or determination of non-compliance with the LBCE Program. However, failure to include supporting documentation of a GFE and failure to achieve 70 out of 100 GFE evaluation points will render the bid non-responsive and will result in its rejection. A prime contractor shall certify, in its bid documents, which of the following actions it took in order to establish that it made a reasonable GFE to meet Alameda CTC’s LBE and SLBE goals:
1. Attend pre-bid meetings scheduled by Alameda CTC or its Sponsor Agency to inform all bidders of the LBCE Program requirements for the project for which the contract will be awarded. Alameda CTC must have a record of the prime contractor’s signature on the attendance sheet. GFE Points = 5
2. Identify specific items of work to be performed by LBE and SLBE firms in order to increase the likelihood of meeting the LBE and SLBE Goals. This includes, where appropriate, breaking out contract work items into economically feasible units to facilitate LBE and SLBE participation. GFE Points = 15
3. Advertise, not less than ten (10) business days before the date the bids are opened, in one or more local daily or weekly newspapers, trade association publications, trade oriented publications, trade journals, or other appropriate media to solicit LBE and/or SLBE firms that are interested in participating in the project. GFE Points = 10
4. Provide written notice of interest in bidding LBE and SLBE firms. Written notice shall specify which items of work the prime contractor has identified pursuant to Item 2 above.
This notice shall be provided to LBE and SLBE firms within five (5) calendar days after the pre-bid meeting. GFE Points = 15
5. Follow-up on the written notice of interest by contacting the owner or other manager of the LBE and SLBE firms to determine whether the enterprises were interested in performing specific items of the project. The prime contractor is required to document the follow-up activities and provide written documentation (including copies of all communications) stating the date and method of contact and the reason for not using the subcontractor. GFE Points = 20
6. Make the project plans, specifications, and requirements for the selected work items available for review by interested LBE and SLBE firms. The prime contractor is required to provide a list of all LBE and SLBE firms to whom the project information was made available, method of contact, and copies of notifications. GFE Points = 5
19 7. Where needed, advise and make an effort to assist interested LBE and SLBE firms in obtaining lines of credit, or required insurance. GFE Points = 5
8. Negotiate in good faith with LBE and SLBE subcontractors. The prime contractor shall provide evidence that negotiations with LBE and SLBE firms were completed in good faith by documenting and providing names, addresses, telephone numbers, and email addresses of LBE and SLBE firms that were considered. To the extent that the prime contractor negotiated with the LBE and SLBE firms and did not select them for the work, the prime contractor shall provide written documentation for rejecting LBE and SLBE bids.
GFE Points = 25
B. Good Faith Efforts Review
The GFE Evaluation Process consists of a two-tiered review process:
1. Interdisciplinary Review Team: The initial review/analysis of the GFE documents will be performed by Alameda CTC staff. This initial report will be presented to the Interdisciplinary Review Team (IRT), nominated by the Executive Director, which determines if a GFE was demonstrated. A written evaluation report will be submitted to all bidders, stating whether the apparent low bidder has complied with the GFE requirements.
To protest the IRT decision, a bidder has five (5) business days from the date of the written evaluation report to file a written objection. In the event a hearing is deemed appropriate by the Executive Director, all bidders shall be given at least five (5) business days’ notice of the hearing. The IRT shall make its findings within ten (10) business days after the hearing. The IRT’s decision may be appealed by the bidder or other interested parties, as defined in the bid document.
2. GFE Review Committee: Review of a decision of the IRT that is appealed will be conducted by a GFE Review Committee (Committee), which will be comprised of two (2) Commission members and an outside independent appointee. The two (2) Commission members will be appointed by the Chair of the Commission. The outside independent appointee will be retained by the Alameda CTC’s Executive Director. The Committee shall hold a hearing in Alameda County. All subcontractors listed on the Good Faith Efforts Report and all bidders and their subcontractors that participated in the bidding process will be given at least ten (10) business days’ notice of the hearing. The Committee will review evidence at the hearing and other factors relevant to the case to determine whether the apparent low bidder made GFE to meet the LBE and SLBE goals. The Committee shall review and keep confidential any information revealing a prime contractor’s proprietary interests and shall exclude the public from the hearing for that limited purpose. The Committee shall give all bidders and all subcontractors participating in bids on the project an opportunity to present evidence relating to the apparent low bidder’s GFE to meet the LBE and SLBE goals. The Committee makes a final determination as to whether a GFE was demonstrated. Alameda CTC or Sponsor Agency will rely on the decision of the Committee, and Alameda CTC will hold the Sponsor Agency harmless for implementing the decision of the Committee.
20 APPENDIX D.
RESPONSIBILITIES OF LBCE LIAISON OFFICER
Alameda CTC’s LBCE Liaison Officer is responsible for implementing all aspects of the LBCE Program. The LBCE Liaison Officer has direct, independent access to the Executive Director of Alameda CTC concerning LBCE Program matters. The LBCE Liaison Officer may be assisted by staff and Alameda CTC consultants as necessary.
The specific duties and responsibilities of the LBCE Liaison Officer under this LBCE Program shall include, but not be limited to, the following:
1. Analyze and assess the available resources and evidence to establish and achieve overall annual program goals each year;
2. Develop, monitor and evaluate the LBCE Program, and prepare supplemental written procedures and guidelines to implement the LBCE Program;
3. Maintain and update the LBCE Program Certification List;
4. Oversee measures to facilitate the participation of local and small business concerns through outreach and other community programs, training and business development programs, restructuring contracting opportunities, and simplifying bonding, surety and insurance requirements;
5. Oversee the contract bid and award process, review contract specifications, ensure the staffing of pre-bid conferences to provide LBCE Program information and participate in the process of evaluating bids for contractor responsiveness, responsibility and GFE;
6. Monitor specific contract performance, payments, and actual participation;
7. Monitor overall participation, adjust the overall goals and means of achievement, assess areas of over-concentration of participation, identify ways to improve progress and reporting to Alameda CTC, as needed;
8. Refer LBE, SLBE and VSLBE firms to resources that provide technical assistance;
9. Oversee outreach to LBE, SLBE and VSLBE firms and community organizations to advise them of opportunities; and
10. Maintain all appropriate records and documentation of the LBCE Program, including gathering and reporting statistical data.
Exhibit D
ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED?
INSR
ADDL
SUBR
LTR
INSD
WVD
DATE (MM/DD/YYYY)
PRODUCER
CONTACT
NAME:
FAX
PHONE
(A/C, No):
(A/C, No, Ext):
E-MAIL
ADDRESS:
INSURER A :
INSURED
INSURER B :
INSURER C :
INSURER D :
INSURER E :
INSURER F :
POLICY NUMBER
POLICY EFF
POLICY EXP
TYPE OF INSURANCE
LIMITS
(MM/DD/YYYY)
(MM/DD/YYYY)
AUTOMOBILE LIABILITY
UMBRELLA LIAB
EXCESS LIAB
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
AUTHORIZED REPRESENTATIVE
EACH OCCURRENCE
$
DAMAGE TO RENTED
CLAIMS-MADE
OCCUR
$
PREMISES (Ea occurrence)
MED EXP (Any one person)
$
PERSONAL & ADV INJURY
$
GEN'L AGGREGATE LIMIT APPLIES PER:
GENERAL AGGREGATE
$
PRO-
POLICY
LOC
PRODUCTS - COMP/OP AGG
$
JECT
OTHER:
$
COMBINED SINGLE LIMIT
$
(Ea accident)
ANY AUTO
BODILY INJURY (Per person)
$
OWNED
SCHEDULED
BODILY INJURY (Per accident)
$
AUTOS ONLY
AUTOS
HIRED
NON-OWNED
PROPERTY DAMAGE
$
AUTOS ONLY
AUTOS ONLY
(Per accident)
$
OCCUR
EACH OCCURRENCE
$
CLAIMS-MADE
AGGREGATE
$
DED
RETENTION
$
$
PER
OTH-
STATUTE
ER
E.L. EACH ACCIDENT
$
E.L. DISEASE - EA EMPLOYEE
$
If yes, describe under
E.L. DISEASE - POLICY LIMIT
$
DESCRIPTION OF OPERATIONS below
INSURER(S) AFFORDING COVERAGE
NAIC #
COMMERCIAL GENERAL LIABILITY
Y / N
N / A
(Mandatory in NH)
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS.
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed.
If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).
COVERAGES
CERTIFICATE NUMBER:
REVISION NUMBER:
CERTIFICATE HOLDER
CANCELLATION
© 1988-2015 ACORD CORPORATION. All rights reserved.
The ACORD name and logo are registered marks of ACORD
ACORD 25 (2016/03)
CERTIFICATE OF LIABILITY INSURANCE
Lockton Companies
444
W
. 47th Street, Suite 900
Kansas City MO 64112-1906
(816) 960-9000
HNTB CORPORA
TION
715 KIRK DRIVE
KANSAS CITY MO 64105
MAIN
American Guarantee and Liab
. Ins. Co.
26247
Zurich
American Insurance Compan
y
16535
X
2,000,000
1,000,000
10,000
2,000,000
4,000,000
4,000,000
X
2,000,000
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
X
X
X
5,000,000
5,000,000
XXXXXXX
N
X
1,000,000
1,000,000
1,000,000
A
B
AP 0769452
1/1/2022
1/1/2023
A
GLO 0769451
1/1/2022
1/1/2023
B
A
UC 1424208
1/1/2022
1/1/2023
A
WC 0769453
1/1/2022
1/1/2023
1/1/2023
1489520
N
N
N
N
N
N
N
12/21/2021
17389595
17389595
XXXXXXX
EVIDENCE OF CO
VERA
GE
RE: EVIDENCE OF CO
VERA
GE.
X
X
ANY PROPRIETOR/PARTNER/EXECUTIVE
OFFICER/MEMBER EXCLUDED?
INSR
ADDL
SUBR
LTR
INSD
WVD
DATE (MM/DD/YYYY)
PRODUCER
CONTACT
NAME:
FAX
PHONE
(A/C, No):
(A/C, No, Ext):
E-MAIL
ADDRESS:
INSURER A :
INSURED
INSURER B :
INSURER C :
INSURER D :
INSURER E :
INSURER F :
POLICY NUMBER
POLICY EFF
POLICY EXP
TYPE OF INSURANCE
LIMITS
(MM/DD/YYYY)
(MM/DD/YYYY)
AUTOMOBILE LIABILITY
UMBRELLA LIAB
EXCESS LIAB
WORKERS COMPENSATION
AND EMPLOYERS' LIABILITY
DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES (ACORD 101, Additional Remarks Schedule, may be attached if more space is required)
AUTHORIZED REPRESENTATIVE
EACH OCCURRENCE
$
DAMAGE TO RENTED
CLAIMS-MADE
OCCUR
$
PREMISES (Ea occurrence)
MED EXP (Any one person)
$
PERSONAL & ADV INJURY
$
GEN'L AGGREGATE LIMIT APPLIES PER:
GENERAL AGGREGATE
$
PRO-
POLICY
LOC
PRODUCTS - COMP/OP AGG
$
JECT
OTHER:
$
COMBINED SINGLE LIMIT
$
(Ea accident)
ANY AUTO
BODILY INJURY (Per person)
$
OWNED
SCHEDULED
BODILY INJURY (Per accident)
$
AUTOS ONLY
AUTOS
HIRED
NON-OWNED
PROPERTY DAMAGE
$
AUTOS ONLY
AUTOS ONLY
(Per accident)
$
OCCUR
EACH OCCURRENCE
$
CLAIMS-MADE
AGGREGATE
$
DED
RETENTION
$
$
PER
OTH-
STATUTE
ER
E.L. EACH ACCIDENT
$
E.L. DISEASE - EA EMPLOYEE
$
If yes, describe under
E.L. DISEASE - POLICY LIMIT
$
DESCRIPTION OF OPERATIONS below
INSURER(S) AFFORDING COVERAGE
NAIC #
COMMERCIAL GENERAL LIABILITY
Y / N
N / A
(Mandatory in NH)
SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE
THE EXPIRATION DATE THEREOF, NOTICE WILL BE DELIVERED IN ACCORDANCE WITH THE POLICY PROVISIONS.
THIS IS TO CERTIFY THAT THE POLICIES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED. NOTWITHSTANDING ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS
CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS.
THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS
CERTIFICATE DOES NOT AFFIRMATIVELY OR NEGATIVELY AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. THIS CERTIFICATE OF INSURANCE DOES NOT CONSTITUTE A CONTRACT BETWEEN THE ISSUING INSURER(S), AUTHORIZED REPRESENTATIVE OR PRODUCER, AND THE CERTIFICATE HOLDER.
IMPORTANT: If the certificate holder is an ADDITIONAL INSURED, the policy(ies) must have ADDITIONAL INSURED provisions or be endorsed.
If SUBROGATION IS WAIVED, subject to the terms and conditions of the policy, certain policies may require an endorsement. A statement on this certificate does not confer rights to the certificate holder in lieu of such endorsement(s).
COVERAGES
CERTIFICATE NUMBER:
REVISION NUMBER:
CERTIFICATE HOLDER
CANCELLATION
© 1988-2015 ACORD CORPORATION. All rights reserved.
The ACORD name and logo are registered marks of ACORD
ACORD 25 (2016/03)
CERTIFICATE OF LIABILITY INSURANCE
Lockton Companies
444
W
. 47th Street, Suite 900
Kansas City MO 64112-1906
(816) 960-9000
HNTB CORPORA
TION
715 KIRK DRIVE
KANSAS CITY MO 64105
MAIN
Le
xington Insurance Compan
y
19437
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
XXXXXXX
PR
OFESSION
AL
LIABILITY
$5,000,000 PER CLAIM/
ANNU
AL
A
GGREGA
TE
A
061853762
5/1/2022
5/1/2023
NO
T
APPLICABLE
NO
T
APPLICABLE
NO
T
APPLICABLE
NO
T
APPLICABLE
5/1/2023
1444813
4/28/2022
N
N
15884612
15884612
XXXXXXX
EVIDENCE OF CO
VERA
GE
RE: FOR INFORMA
TION
AL PURPOSES ONL
Y